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
P•••••• F•••••••• P•••••••• L••
Latest filing Apr 8, 2026
First filing on the tape May 7, 2025 · 4 filings
SEC status approved since May 7, 2025
RAUM
$226M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$214M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$226M as of Apr 8, 2026
May 7, 2025$192M then
HNW client RAUM$179M as of Apr 8, 2026
May 7, 2025$63.0M then
State-registered IARs (5.B.3)2 as of Apr 8, 2026
May 7, 20252 then
Employees (5.A)3 as of Apr 8, 2026
May 7, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 8, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $495,614derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $226MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$179M79%
- Individuals$35.0M15%
- Charitable organizations$10.0M4.4%
- Pension and profit-sharing plans$2.0M0.9%
- Individual clients
- 75reported
- HNW clients
- 68reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 456reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| R••••• T••••• D••••••• | Westerville, Oh | May 17, 2019 | 42 y | 3 |
| W•••••• B••••••• H••••••• | Westerville, Oh | Nov 8, 2024 | 10 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
- S••••• T••••• M••••• to A•••• P•••• A•••••••Mar 16, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- S••••• T••••• M••••• from C•••••• G•••• • C• I••May 17, 2019 · Affiliated broker-dealer or bank to independent RIA
- R••••• T••••• D••••••• from C•••••• G•••• • C• I••May 17, 2019 · Affiliated broker-dealer or bank to independent RIA
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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westerville, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 430 to 456Jun 5, 2025 to Feb 19, 2026
- Corporate clients · 1 to 0Jun 5, 2025 to Feb 19, 2026
- HNW clients · 59 to 68Jun 5, 2025 to Feb 19, 2026
- Individual clients · 50 to 75Jun 5, 2025 to Feb 19, 2026
- Pension plan clients · 2 to 1Jun 5, 2025 to Feb 19, 2026
- Employees · 5 to 3Jun 5, 2025 to Feb 19, 2026
- Discretionary RAUM · $192M to $226MJun 5, 2025 to Feb 19, 2026
- HNW RAUM · $63.0M to $179MJun 5, 2025 to Feb 19, 2026
- Individual RAUM · $118M to $35.0MJun 5, 2025 to Feb 19, 2026
- RAUM · $192M to $226MJun 5, 2025 to Feb 19, 2026
- Financial planning clients · 1-10 to 1-10May 7, 2025 to Jun 5, 2025
Signals
1 dated events
- S••••• T••••• M••••• left P•••••• F•••••••• P•••••••• L•• for A•••• P•••• A••••••• (registered 2022-10-12)Mar 16, 2023 · 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
- Business phone
- 614-901-3400reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/polaris-financial-partners-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- polarisfinancial.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 614-901-3400reportedpublic record, Form ADV, Apr 8, 2026
- Contact form
- polarisfinancial.net/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- polarisfinancial.net/partnersreportedpublished 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
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026