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
T•• P•••••• G••••
Legal name O•• R••••••• G•••• W••••• M••••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Mar 3, 2025 · 2 filings
SEC status approved since Mar 31, 2025
RAUM
$182M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$182M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$91.2M
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$182M as of Mar 17, 2026
Mar 3, 2025$142M then
HNW client RAUM$42.5M as of Mar 17, 2026
Mar 3, 2025$22.0M then
State-registered IARs (5.B.3)3 as of Mar 17, 2026
Mar 3, 20252 then
Employees (5.A)9 as of Mar 17, 2026
Mar 3, 20258 then
Private funds: no history
RAUM +28% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $91.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 300derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $221,863derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $182M, 599 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Individuals$140M77%
- High-net-worth individuals$42.5M23%
- Individual clients
- 589reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 822reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $182M for 599 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| M•••••• J••• M••••••• | Dublin, Oh | Apr 6, 2018 | 22 y | 7 |
| E••• R••••• F••••••• | Dublin, Oh | Jun 29, 2026 | 13 y | 1 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 50% of current headcount2 left over 36 months
Left, latest
- W•••••• J• L••••• to J••• M••••• S••••••••• L••May 13, 2026 · RIA to wirehouse
- J•••• C••••••• to E•••••• A••••••• G••••• L••Feb 13, 2025 · RIA to affiliated broker-dealer or bank
- J••• R••••• F••••••• to G••••• R•••••• R••••••••• L••Oct 10, 2022 · RIA to RIA
- J••••••• D••••• R••••• to M•• I•••••••• S•••••••• L••Jul 15, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- E••• R••••• F••••••• from J••• M••••• S••••••••• L••Jun 29, 2026 · Wirehouse to independent RIA
- W•••••• J• L••••• from J••• M••••• S••••••••• L••Jan 23, 2026 · Wirehouse to independent RIA
- J•••• C••••••• from E•••••• A••••••• G••••• L••Nov 8, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••• R••••• F••••••• from C••••••••• F•••••••• N••••••Aug 4, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••••••• D••••• R••••• from H••••••••• F•••••••• A•••••••Nov 3, 2020 · Affiliated broker-dealer or bank to independent RIA
- M•••••• J••• M••••••• from M•••••• A••••• S••••••••• L••Apr 6, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• L•••••• J••• · Chief Compliance Officercontrolsince 01/2025 · owns less than 5%
- M•••••••• M••••••• J••• · Managing Membercontrolsince 03/2018 · 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 |
|---|---|---|---|---|---|
| Dublin, Oh · principal | 2 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 744 to 822Mar 3, 2025 to Mar 17, 2026
- Advisory employees · 2 to 3Mar 3, 2025 to Mar 17, 2026
- Individual clients · 558 to 589Mar 3, 2025 to Mar 17, 2026
- Assets in custody · $142M to $182MMar 3, 2025 to Mar 17, 2026
- Employees · 8 to 9Mar 3, 2025 to Mar 17, 2026
- State-registered IARs · 2 to 3Mar 3, 2025 to Mar 17, 2026
- Discretionary RAUM · $142M to $182MMar 3, 2025 to Mar 17, 2026
- HNW RAUM · $22.0M to $42.5MMar 3, 2025 to Mar 17, 2026
- Individual RAUM · $120M to $140MMar 3, 2025 to Mar 17, 2026
- RAUM · $142M to $182MMar 3, 2025 to Mar 17, 2026
Signals
3 dated events
- W•••••• J• L••••• left T•• P•••••• G•••• for J••• M••••• S••••••••• L•• (registered 2026-07-17)May 13, 2026 · Advisor changed firm · fact
- J•••• C••••••• left T•• P•••••• G•••• for E•••••• A••••••• G••••• L•• (registered 2025-03-19)Feb 13, 2025 · Advisor changed firm · fact
- J••• R••••• F••••••• left T•• P•••••• G•••• for G••••• R•••••• R••••••••• L•• (registered 2022-11-19)Oct 10, 2022 · Advisor changed firm · 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
- Firm profile
- linkedin.com/company/the-pension-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 614-423-4600reportedpublic record, Form ADV, Mar 17, 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
- $91.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026