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
R•••••••• W••••• M•••••••••
Legal name R•••••••• R••••••••• M••••••••• L••
Latest filing Feb 18, 2026
First filing on the tape Jul 30, 2021 · 7 filings
SEC status approved since Aug 30, 2021
RAUM
$209M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
82%
$170M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$209M as of Feb 18, 2026
Mar 1, 2022$130M then
HNW client RAUM$109M as of Feb 18, 2026
Mar 1, 2022$43.6M then
State-registered IARs (5.B.3)2 as of Feb 18, 2026
Mar 1, 20222 then
Employees (5.A)2 as of Feb 18, 2026
Mar 1, 20222 then
Private funds: no history
RAUM +19% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 219derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $235,371derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $85.8M, 151 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$109M52%
- Individuals$61.0M29%
- Pension and profit-sharing plans$30.2M14%
- Corporations and businesses$8.2M3.9%
- Individual clients
- 357reported
- HNW clients
- 81reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 887reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $85.8M for 151 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• T••••• W••••Certified Financial Planner | Lima, Oh | May 14, 2018 | 26 y | 1 |
| S•••• C• G•••• | Lima, Oh | Dec 5, 2019 | 20 y | 0 |
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
- J•••• T••••• W•••• from 1•• G••••• A••••••• I••May 14, 2018 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• J••••• T••••• · Managing Partner, Ccocontrolsince 01/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lima, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 895 to 887Feb 26, 2025 to Feb 18, 2026
- HNW clients · 90 to 81Feb 26, 2025 to Feb 18, 2026
- Individual clients · 344 to 357Feb 26, 2025 to Feb 18, 2026
- Assets in custody · $72.2M to $85.8MFeb 26, 2025 to Feb 18, 2026
- Discretionary RAUM · $150M to $179MFeb 26, 2025 to Feb 18, 2026
- HNW RAUM · $94.2M to $109MFeb 26, 2025 to Feb 18, 2026
- Individual RAUM · $48.1M to $61.0MFeb 26, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $25.5M to $29.5MFeb 26, 2025 to Feb 18, 2026
- Pension RAUM · $26.1M to $30.2MFeb 26, 2025 to Feb 18, 2026
- RAUM · $176M to $209MFeb 26, 2025 to Feb 18, 2026
- Accounts · 868 to 895Feb 2, 2024 to Feb 26, 2025
- HNW clients · 84 to 90Feb 2, 2024 to Feb 26, 2025
- Individual clients · 351 to 344Feb 2, 2024 to Feb 26, 2025
- Pension plan clients · 7 to 8Feb 2, 2024 to Feb 26, 2025
- Assets in custody · unset to 72209538.0Feb 2, 2024 to Feb 26, 2025
- Custody of client assets · false to trueFeb 2, 2024 to Feb 26, 2025
- Financial planning clients · 251-500 to 251-500Feb 2, 2024 to Feb 26, 2025
- Discretionary RAUM · $129M to $150MFeb 2, 2024 to Feb 26, 2025
- HNW RAUM · $76.4M to $94.2MFeb 2, 2024 to Feb 26, 2025
- Individual RAUM · $45.5M to $48.1MFeb 2, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $22.2M to $25.5MFeb 2, 2024 to Feb 26, 2025
- Pension RAUM · $22.2M to $26.1MFeb 2, 2024 to Feb 26, 2025
- RAUM · $152M to $176MFeb 2, 2024 to Feb 26, 2025
- Accounts · 851 to 868Sep 25, 2023 to Feb 2, 2024
- Corporate clients · 15 to 14Sep 25, 2023 to Feb 2, 2024
- HNW clients · 78 to 84Sep 25, 2023 to Feb 2, 2024
- Individual clients · 339 to 351Sep 25, 2023 to Feb 2, 2024
- Pension plan clients · 8 to 7Sep 25, 2023 to Feb 2, 2024
- Discretionary RAUM · $106M to $129MSep 25, 2023 to Feb 2, 2024
- HNW RAUM · $51.4M to $76.4MSep 25, 2023 to Feb 2, 2024
- Individual RAUM · $46.6M to $45.5MSep 25, 2023 to Feb 2, 2024
- Non-discretionary RAUM · $20.3M to $22.2MSep 25, 2023 to Feb 2, 2024
- Pension RAUM · $20.3M to $22.2MSep 25, 2023 to Feb 2, 2024
- RAUM · $126M to $152MSep 25, 2023 to Feb 2, 2024
- Accounts · 782 to 851Mar 1, 2022 to Feb 7, 2023
- Corporate clients · 12 to 15Mar 1, 2022 to Feb 7, 2023
- HNW clients · 65 to 78Mar 1, 2022 to Feb 7, 2023
- Individual clients · 308 to 339Mar 1, 2022 to Feb 7, 2023
- Discretionary RAUM · $105M to $106MMar 1, 2022 to Feb 7, 2023
- HNW RAUM · $43.6M to $51.4MMar 1, 2022 to Feb 7, 2023
Signals
1 dated events
- R•••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Jul 30, 2021 · 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
- r•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 567-289-2100reportedpublic record, Form ADV, Feb 18, 2026
- Team page
- r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026