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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SEC-registered adviser
A•••••• F•••••••• G••••• L••
Latest filing Sep 9, 2026
First filing on the tape Jan 3, 2018 · 23 filings
SEC status approved since Feb 5, 2018
RAUM
$982M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
100%
$982M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$982M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$982M as of Mar 3, 2026
Mar 19, 2019$420M then
HNW client RAUM$960M as of Mar 3, 2026
Mar 19, 2019$393M then
State-registered IARs (5.B.3)1 as of Mar 3, 2026
Mar 19, 20191 then
Employees (5.A)1 as of Mar 3, 2026
Mar 19, 20191 then
Private funds: no history
RAUM +13% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $982MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 134derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.2MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $312,212, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$960M98%
- Individuals$21.8M2.2%
- Individual clients
- 30reported
- HNW clients
- 104reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 599reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $312,212 for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• R••••• T•••••Certified Financial Planner | Lebanon, Oh | Jul 6, 2018 | 18 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••• R••••• T••••• from G••••••••• W•••••• L••Jul 6, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••• D••••• R••••• · Cco/Managing Membercontrolsince 01/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Cincinnati, OH1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 3, 2026 to Sep 9, 2026
- HQ city · to unsetMar 3, 2026 to Sep 9, 2026
- HQ state · to unsetMar 3, 2026 to Sep 9, 2026
- Related adviser · false to unsetMar 3, 2026 to Sep 9, 2026
- Related bank · false to unsetMar 3, 2026 to Sep 9, 2026
- Related broker-dealer · false to unsetMar 3, 2026 to Sep 9, 2026
- Related insurance company · false to unsetMar 3, 2026 to Sep 9, 2026
- Succession · false to unsetMar 3, 2026 to Sep 9, 2026
- Accounts · 613 to 599Feb 10, 2025 to Mar 3, 2026
- HNW clients · 105 to 104Feb 10, 2025 to Mar 3, 2026
- Individual clients · 29 to 30Feb 10, 2025 to Mar 3, 2026
- Assets in custody · $322,217 to $312,212Feb 10, 2025 to Mar 3, 2026
- Discretionary RAUM · $676M to $766MFeb 10, 2025 to Mar 3, 2026
- HNW RAUM · $852M to $960MFeb 10, 2025 to Mar 3, 2026
- Individual RAUM · $17.8M to $21.8MFeb 10, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $194M to $216MFeb 10, 2025 to Mar 3, 2026
- RAUM · $870M to $982MFeb 10, 2025 to Mar 3, 2026
- Accounts · 571 to 613Aug 20, 2024 to Feb 10, 2025
- Charity clients · unset to 0.0Aug 20, 2024 to Feb 10, 2025
- HNW clients · 90 to 105Aug 20, 2024 to Feb 10, 2025
- Individual clients · 34 to 29Aug 20, 2024 to Feb 10, 2025
- Assets in custody · $305,511 to $322,217Aug 20, 2024 to Feb 10, 2025
- Custody of client assets · false to trueAug 20, 2024 to Feb 10, 2025
- Financial planning clients · 0 to 0Aug 20, 2024 to Feb 10, 2025
- HQ city · unset to Aug 20, 2024 to Feb 10, 2025
- HQ state · unset to Aug 20, 2024 to Feb 10, 2025
- Discretionary RAUM · $593M to $676MAug 20, 2024 to Feb 10, 2025
- HNW RAUM · $735M to $852MAug 20, 2024 to Feb 10, 2025
- Individual RAUM · $21.8M to $17.8MAug 20, 2024 to Feb 10, 2025
- Non-discretionary RAUM · $166M to $194MAug 20, 2024 to Feb 10, 2025
- RAUM · $759M to $870MAug 20, 2024 to Feb 10, 2025
- Accounts · 577 to 571Feb 17, 2023 to Feb 19, 2024
- HNW clients · 84 to 90Feb 17, 2023 to Feb 19, 2024
- Individual clients · 43 to 34Feb 17, 2023 to Feb 19, 2024
- Assets in custody · $313,149 to $305,511Feb 17, 2023 to Feb 19, 2024
- Discretionary RAUM · $556M to $593MFeb 17, 2023 to Feb 19, 2024
- HNW RAUM · $661M to $735MFeb 17, 2023 to Feb 19, 2024
- Individual RAUM · $28.5M to $21.8MFeb 17, 2023 to Feb 19, 2024
- Non-discretionary RAUM · $136M to $166MFeb 17, 2023 to Feb 19, 2024
- RAUM · $691M to $759MFeb 17, 2023 to Feb 19, 2024
Signals
2 dated events
- A•••••• F•••••••• G••••• L•• reported RAUM $660.2M, up 39% from $474.2M (2020-12-02 to 2021-02-18)Feb 18, 2021 · RAUM change · derived
- A•••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Jan 3, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- A••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 513-652-5776reportedpublic record, Form ADV, Sep 9, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $982Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026