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••••••• W•••••
Legal name P••••••• W••••• L••
Latest filing Aug 20, 2026
First filing on the tape Mar 15, 2024 · 9 filings
SEC status approved since Apr 11, 2024
RAUM
$149M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$122M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$37.2M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$149M as of Aug 20, 2026
Mar 18, 2025$102M then
HNW client RAUM$88.9M as of Aug 20, 2026
Mar 18, 2025$71.2M then
State-registered IARs (5.B.3)4 as of Aug 20, 2026
Mar 18, 20253 then
Employees (5.A)4 as of Aug 20, 2026
Mar 18, 20253 then
Private funds: no history
RAUM +45% over the last fiscal yearIARs 3 to 4offices 0 to 1
Practice profile
derived from the filing of Aug 20, 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
- $37.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $353,094derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +45%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +24%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for investment companies, pension consulting, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$88.9M60%
- Individuals$33.3M22%
- Investment companies$26.5M18%
- Individual clients
- 140reported
- HNW clients
- 79reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 421reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.82 fund_share=0.18 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• O••••• T••••••• | Columbus, Oh | Dec 10, 2019 | 28 y | 1 |
| R••••• P••••••••• | Spring, Tx | Dec 5, 2023 | 10 y | 0 |
| S•••••• J•••••• | Spring, Tx | Mar 18, 2025 | 12 y | 3 |
| J••• W•••••• E••••••• | Columbus, Oh | Aug 21, 2026 | 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
none on the tape
Joined, latest
- S•••••• J•••••• from I••••••••• A••••• I••••••••• M••••••••• L••Mar 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- E••• O••••• T••••••• from W•••• F•••• A•••••••Dec 10, 2019 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••••• E•••• O••••• · President & Ccocontrolsince 09/2019 · 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 |
|---|---|---|---|---|---|
| Columbus, Oh · principal | 3 | 1 | 0 | ||
| Spring, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Apr 13, 2026RAUM (Item 5.F) moved from $102,228,000 to $148,652,650 (+45.0%) between the annual amendments of 2025-03-18 and 2026-04-13; the peer median change was +15.0% (4550 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 95% percentile
- client mix shiftChange between filings · filing Apr 13, 2026private-client share of RAUM moved from 100.0% to 82.0% between the annual amendments of 2025-03-18 and 2026-04-13peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Jul 24, 2026 to Aug 20, 2026
- BD registered reps · 0 to 1Jul 24, 2026 to Aug 20, 2026
- Employees · 3 to 4Jul 24, 2026 to Aug 20, 2026
- State-registered IARs · 3 to 4Jul 24, 2026 to Aug 20, 2026
- Other offices · 0 to 1Apr 13, 2026 to Jul 24, 2026
- Accounts · 420 to 421Mar 27, 2026 to Apr 13, 2026
- Discretionary RAUM · $122M to $149MMar 27, 2026 to Apr 13, 2026
- RAUM · $122M to $149MMar 27, 2026 to Apr 13, 2026
- Accounts · 404 to 420Jan 29, 2026 to Mar 27, 2026
- HNW clients · 69 to 79Jan 29, 2026 to Mar 27, 2026
- Individual clients · 108 to 140Jan 29, 2026 to Mar 27, 2026
- Discretionary RAUM · $102M to $122MJan 29, 2026 to Mar 27, 2026
- HNW RAUM · $71.2M to $88.9MJan 29, 2026 to Mar 27, 2026
- Individual RAUM · $31.0M to $33.3MJan 29, 2026 to Mar 27, 2026
- RAUM · $102M to $122MJan 29, 2026 to Mar 27, 2026
- Accounts · 304 to 404Mar 18, 2024 to Mar 18, 2025
- Advisory employees · 2 to 3Mar 18, 2024 to Mar 18, 2025
- HNW clients · 46 to 69Mar 18, 2024 to Mar 18, 2025
- Individual clients · 116 to 108Mar 18, 2024 to Mar 18, 2025
- Employees · 2 to 3Mar 18, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Mar 18, 2024 to Mar 18, 2025
- State-registered IARs · 1 to 3Mar 18, 2024 to Mar 18, 2025
- Discretionary RAUM · $87.8M to $102MMar 18, 2024 to Mar 18, 2025
- HNW RAUM · $64.3M to $71.2MMar 18, 2024 to Mar 18, 2025
- Individual RAUM · $23.4M to $31.0MMar 18, 2024 to Mar 18, 2025
- RAUM · $87.8M to $102MMar 18, 2024 to Mar 18, 2025
Signals
1 dated events
- P••••••• W••••• filed its initial SEC registration (Form ADV)Mar 15, 2024 · 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
- Business phone
- 614-754-1281reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-824-2824reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- Peerless-Wealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 614-824-2824reportedpublic record, Form ADV, Aug 20, 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
- $37.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026