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
V••• I••••••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jun 8, 2020 · 46 filings
SEC status approved since Jul 15, 2020
RAUM
$563M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
24%
$136M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$188M
derived; firm RAUM over IAPD count
Employees
29
23 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$563M as of Mar 26, 2026
Mar 9, 2021$135M then
HNW client RAUM$128M as of Mar 26, 2026
Mar 9, 2021$70.2M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Mar 9, 20217 then
Employees (5.A)29 as of Mar 26, 2026
Mar 9, 202115 then
Private funds: no history
RAUM +16% over the last fiscal year+17% a year over threeIARs 11 to 3offices 0 to 2
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $188MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -73%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for investment companies, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $31.4M, 19 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
- Investment companies$384M68%
- High-net-worth individuals$128M23%
- Charitable organizations$37.9M6.7%
- Individuals$7.1M1.3%
- Corporations and businesses$5.6M1.0%
- Pension and profit-sharing plans$12,6570.0%
- Individual clients
- 58reported
- HNW clients
- 108reported
- Pension plan clients
- 1reported
- Charitable clients
- 6reported
- Accounts
- 346reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $15.6M managedreported
- Custody of client assets
- $31.4M for 19 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.24 fund_share=0.68 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• R•••••• J••Chartered Financial Analyst | New Albany, Oh | Jan 16, 2020 | 19 y | 1 |
| N••••••• R•••••Chartered Financial Analyst | New Albany, Oh | Feb 7, 2022 | 10 y | 1 |
| T••••• L••••• | New Albany, Oh | Oct 10, 2023 | 11 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
- N••••••• R••••• from G• C•••••• M••••••••• L••Feb 7, 2022 · RIA to RIA
- J•••• R•••••• J•• from D•••••• H••• C•••••• M••••••••• L••Jan 16, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• C••••••••• · Member, Research Analystcontrolsince 01/2023 · owns less than 5%
- D•••••• R•••••••• H••••• · Member, Ceo, Cio & Portfolio Managercontrolsince 11/2019 · owns 25% to 50%
- D•••••• J•••• · Member, Portfolio Manager & Research Analystcontrolsince 04/2020 · owns 10% to 25%
- H••••••• J••••••••• M••••••• · Member, Portfolio Manager & Research Analystcontrolsince 04/2020 · owns 5% to 10%
- J••• J••••• R•••••• · Member, Cfo & Portfolio Managercontrolsince 12/2019 · owns 5% to 10%
- K•••• R•••••• W•••••• C••• · Member, Head Tradercontrolsince 01/2023 · owns less than 5%
- M••••••• S•••••• L••• · Member, Operations Managercontrolsince 01/2023 · owns less than 5%
- M•••••• R•••••• M•••••••• · Member, Portfolio Manager & Research Analystcontrolsince 04/2020 · owns less than 5%
- R•••••• N••••••• · Member, Portfolio Manager & Research Analystcontrolsince 01/2023 · owns less than 5%
- S•••••• R•••••• C•••• · Member, Portfolio Manager & Research Analystcontrolsince 09/2020 · owns 5% to 10%
- S••••••• S•••• · Member, Research Analystcontrolsince 01/2023 · owns less than 5%
- S••••• E••••• E•••••••• · Member, Business Developmentcontrolsince 05/2024 · owns less than 5%
- W••••••• L•••• M•••• · Member, President & Coocontrolsince 12/2019 · owns 5% to 10%
- L••••••• B••••••• J••• · Chief Compliance Officersince 10/2021 · owns less than 5%
- L•••••• T••••• · Member, Client Developmentsince 05/2021 · owns less than 5%
- M••••••••• J••••• A••• · Member, Marketing & Communications Directorsince 09/2020 · owns less than 5%
- S••••••••• K•••• L••••• · Member, Portfolio Manager & Research Analystsince 09/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| New Albany, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 26, 2026advisory representatives (Item 5.B.3) moved from 11.0 to 3.0 (-73.0%) between the annual amendments of 2025-03-21 and 2026-03-26; the peer median change was 0.0% (795 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $500M to $1B (795) · 0.5% percentile
What changed
consecutive filings, newest first
- Accounts · 318 to 346Dec 19, 2025 to Mar 26, 2026
- Advisory employees · 14 to 23Dec 19, 2025 to Mar 26, 2026
- HNW clients · 94 to 108Dec 19, 2025 to Mar 26, 2026
- Individual clients · 56 to 58Dec 19, 2025 to Mar 26, 2026
- Pension plan clients · 2 to 1Dec 19, 2025 to Mar 26, 2026
- Assets in custody · $17.7M to $31.4MDec 19, 2025 to Mar 26, 2026
- State-registered IARs · 11 to 3Dec 19, 2025 to Mar 26, 2026
- Other offices · 0 to 2Dec 19, 2025 to Mar 26, 2026
- Discretionary RAUM · $486M to $563MDec 19, 2025 to Mar 26, 2026
- HNW RAUM · $116M to $128MDec 19, 2025 to Mar 26, 2026
- Individual RAUM · $6.4M to $7.1MDec 19, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $86,628 to $88,218Dec 19, 2025 to Mar 26, 2026
- Pension RAUM · $77,255 to $12,657Dec 19, 2025 to Mar 26, 2026
- RAUM · $486M to $563MDec 19, 2025 to Mar 26, 2026
- Wrap assets (manager) · $14.4M to $15.6MDec 19, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Mar 21, 2025 to May 8, 2025
- Accounts · 278 to 318Nov 15, 2024 to Mar 21, 2025
- Charity clients · 7 to 6Nov 15, 2024 to Mar 21, 2025
- HNW clients · 77 to 94Nov 15, 2024 to Mar 21, 2025
- Individual clients · 44 to 56Nov 15, 2024 to Mar 21, 2025
- Assets in custody · $23.0M to $17.7MNov 15, 2024 to Mar 21, 2025
- Employees · 25 to 29Nov 15, 2024 to Mar 21, 2025
- State-registered IARs · 12 to 11Nov 15, 2024 to Mar 21, 2025
- Discretionary RAUM · $398M to $486MNov 15, 2024 to Mar 21, 2025
- HNW RAUM · $113M to $116MNov 15, 2024 to Mar 21, 2025
- Individual RAUM · $6.0M to $6.4MNov 15, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $78,325 to $86,628Nov 15, 2024 to Mar 21, 2025
- Pension RAUM · $908,285 to $77,255Nov 15, 2024 to Mar 21, 2025
- RAUM · $398M to $486MNov 15, 2024 to Mar 21, 2025
- Wrap assets (manager) · $11.4M to $14.4MNov 15, 2024 to Mar 21, 2025
- Accounts · 234 to 278Mar 4, 2024 to Mar 26, 2024
- Advisory employees · 13 to 14Mar 4, 2024 to Mar 26, 2024
- Advisory activities · 3 to 4Mar 4, 2024 to Mar 26, 2024
- Charity clients · 6 to 7Mar 4, 2024 to Mar 26, 2024
- Corporate clients · 4 to 5Mar 4, 2024 to Mar 26, 2024
- HNW clients · 70 to 77Mar 4, 2024 to Mar 26, 2024
- Individual clients · 31 to 44Mar 4, 2024 to Mar 26, 2024
- Assets in custody · $8.8M to $23.0MMar 4, 2024 to Mar 26, 2024
- Employees · 24 to 25Mar 4, 2024 to Mar 26, 2024
- State-registered IARs · 9 to 12Mar 4, 2024 to Mar 26, 2024
Signals
13 dated events
- E•••••••• E•••• S•••• (Member, Business Development) appeared on Schedule A of V••• I••••••••• M••••••••• L••Jun 20, 2024 · Control person joined · fact
- William Chas Robert Koci (Member, Head Trader) appeared on Schedule A of V••• I••••••••• M••••••••• L••Mar 21, 2023 · Control person joined · fact
- N••••••• R••••• (Member, Portfolio Manager & Research Analyst) appeared on Schedule A of V••• I••••••••• M••••••••• L••Mar 21, 2023 · Control person joined · fact
- S•••• S•••••• (Member, Research Analyst) appeared on Schedule A of V••• I••••••••• M••••••••• L••Mar 21, 2023 · Control person joined · fact
- C••••••••• B•••••• (Member, Research Analyst) appeared on Schedule A of V••• I••••••••• M••••••••• L••Mar 21, 2023 · Control person joined · fact
- Lynn Stacey Madison (Member, Operations Manager) appeared on Schedule A of V••• I••••••••• M••••••••• L••Mar 21, 2023 · Control person joined · fact
- V••• I••••••••• M••••••••• L•• reported RAUM $256.2M, up 90% from $134.7M (2021-11-12 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- J•••• D••••• (Portfolio Manager) appeared on Schedule A of V••• I••••••••• M••••••••• L••Sep 29, 2020 · Control person joined · fact
- Mulholand Robert Murphy (Portfolio Manager) appeared on Schedule A of V••• I••••••••• M••••••••• L••Sep 29, 2020 · Control person joined · fact
- Craig Robert Sharpe (Portfolio Manager) appeared on Schedule A of V••• I••••••••• M••••••••• L••Sep 29, 2020 · Control person joined · fact
- Mcdonald Jeannette Hubbard (Portfolio Manager) appeared on Schedule A of V••• I••••••••• M••••••••• L••Sep 29, 2020 · Control person joined · fact
- Marie Lisa Wesolek (President, Coo) appeared on Schedule A of V••• I••••••••• M••••••••• L••Sep 4, 2020 · Control person joined · fact
- V••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 8, 2020 · 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
- 614-653-8352reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- vela-im.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (614) 653-8352reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- vela-im.com/private-clients/contactreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $188Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026