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

M•••••• C•••••• A••••••• L••

Independent wealth managerMilford, OhioCRD 305387SEC 801-135247websiteIAPD
Latest filing Sep 14, 2026
First filing on the tape Mar 31, 2026 · 4 filings
SEC status approved since Mar 16, 2026
RAUM
$130M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$129M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$65.2M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$130M as of Aug 20, 2026
Mar 31, 2026$130M then
HNW client RAUM$87.5M as of Aug 20, 2026
Mar 31, 2026$87.5M then
State-registered IARs (5.B.3)2 as of Aug 20, 2026
Mar 31, 20262 then
Employees (5.A)4 as of Aug 20, 2026
Mar 31, 20264 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 14, 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
RAUM per advisor
$65.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
108derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$219,864derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.7derived3 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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
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$87.5M67%
  • Individuals$41.9M32%
  • Pension and profit-sharing plans$954,6550.7%
Individual clients
168reported
HNW clients
47reported
Pension plan clients
3reported
Charitable clients
n/areported
Accounts
593reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M•••••• J• M••••••Milford, OhOct 28, 201913 y1
D••••• P••• M••••••Milford, Oh Jul 10, 202413 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M••••••• D•••••• P••• · Managing Membercontrol
      since 05/2024 · owns 50% to 75%
    • M••••••• M••••••• J• · Managing Member, Chief Compliance Officercontrol
      since 07/2019 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Milford, Oh · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Other offices · 1 to 2
      Sep 9, 2026 to Sep 14, 2026
    • Financial planning clients · 0 to 0
      Aug 20, 2026 to Sep 9, 2026
    • Succession · false to unset
      Aug 20, 2026 to Sep 9, 2026
    Signals
    No event on the tape.
    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
    m•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    740-972-1196reportedpublic record, Form ADV, Sep 14, 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
    $65.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026