DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

B••• F•••••••• G••••• I••

Former SEC-registered adviserWorthington, OhioCRD 291799SEC 801-132004websiteIAPD
Latest filing Jul 15, 2025
First filing on the tape Jan 24, 2025 · 2 filings
SEC status approved since Feb 20, 2025
RAUM
$108M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$108M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$108M as of Jul 15, 2025
Jan 24, 2025$108M then
HNW client RAUM$44.1M as of Jul 15, 2025
Jan 24, 2025$44.1M then
State-registered IARs (5.B.3)4 as of Jul 15, 2025
Jan 24, 20254 then
Employees (5.A)5 as of Jul 15, 2025
Jan 24, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 15, 2025; every figure names its basis
RAUM per advisor
$26.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
59derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$122,450derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$63.6M59%
  • High-net-worth individuals$44.1M41%
Individual clients
214reported
HNW clients
23reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
879reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Worthington, Oh · principal0042
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · 101-250 to 101-250
      Jan 24, 2025 to Jul 15, 2025
    Signals
    6 dated events
    • B••• F•••••••• G••••• I•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $107.6M)
      Apr 1, 2026 · Left the SEC roster · derived
    • S•••• T••••• C••••• left B••• F•••••••• G••••• I•• for A••••••• I••••••••• (registered 2019-01-04)
      Mar 24, 2026 · Advisor changed firm · fact
    • D•••• L•• M••••• left B••• F•••••••• G••••• I•• for A••••••• I••••••••• (registered 2019-01-04)
      Mar 24, 2026 · Advisor changed firm · fact
    • A••• C•••• F•••• left B••• F•••••••• G••••• I•• for B•••••• W••••• (registered 2025-05-19)
      Mar 24, 2026 · Advisor changed firm · fact
    • N••• C•••••••• L•••••••• left B••• F•••••••• G••••• I•• for B•••••• W••••• (registered 2025-05-19)
      Mar 24, 2026 · Advisor changed firm · fact
    • 2 advisors left B••• F•••••••• G••••• I•• (Worthington, OH) for A••••••• I••••••••• on the same day
      Mar 24, 2026 · Team lift-out · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026