DFX Intelligence

RIA Intelligence

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SEC-registered adviser

R•••••••• W••••• P••••••• L••

Independent wealth managerCenterville, OhioCRD 307702SEC 801-129850website IAPD

Latest filing Sep 1, 2026

First filing on the tape Mar 7, 2024 · 19 filings

SEC status approved since Apr 8, 2024

RAUM

$260M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

98%

$256M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$51.9M

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$260M as of Jun 26, 2026

Feb 24, 2025$147M then

HNW client RAUM$159M as of Jun 26, 2026

Feb 24, 2025$66.7M then

State-registered IARs (5.B.3)5 as of Jun 26, 2026

Feb 24, 20253 then

Employees (5.A)12 as of Jun 26, 2026

Feb 24, 20259 then

Private funds: no history

RAUM +29% over the last fiscal yearIARs 3 to 5

Practice profile

derived from the filing of Sep 1, 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: $51.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 87derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.8MderivedHNW RAUM over HNW clients
Average account: $178,754derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.4derivedItem 5.A over advisors
Advisors per office: 5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +29%derivedbetween the last two annual amendments
Advisor growth, one year: +67%derivedItem 5.B.3 between annual amendments
Client growth, one year: +13%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, 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$159M61%
Individuals$96.2M37%
Charitable organizations$2.8M1.1%
Corporations and businesses$897,8520.3%
Pension and profit-sharing plans$243,0850.1%

Individual clients: 346reported
HNW clients: 90reported
Pension plan clients: 1reported
Charitable clients: 2reported
Accounts: 1,452reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived

Advisors registered through the firm

5 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
S•••• W• S•••••Certified Financial Planner	Centerville, Oh	Oct 2, 2020	20 y	1
D••••• H••••••• E••••	Centerville, Oh	Jun 23, 2022	14 y	0
D••••• S•••• M•••Certified Financial Planner	Centerville, Oh	Jun 28, 2024	12 y	0
M•••• C••••••• R••••••	Centerville, Oh	Sep 12, 2025	11 y	0
L•••• G•••• B••••	Centerville, Oh	Nov 5, 2025	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

S•••• W• S••••• from F•••••••• C••••••••• I•••
Oct 2, 2020 · RIA to RIA

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S•••••• S••••• W• · Managing Member & Chief Compliance Officercontrol
since 07/2020 · 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
Centerville, Oh · principal	5	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · 251-500 to 251-500
Jun 26, 2026 to Sep 1, 2026
Related adviser · false to unset
Jun 26, 2026 to Sep 1, 2026
Related bank · false to unset
Jun 26, 2026 to Sep 1, 2026
Related broker-dealer · false to unset
Jun 26, 2026 to Sep 1, 2026
Related insurance company · false to unset
Jun 26, 2026 to Sep 1, 2026
Succession · false to unset
Jun 26, 2026 to Sep 1, 2026
Employees · 10 to 12
May 19, 2026 to Jun 26, 2026
Employees · 8 to 10
Mar 16, 2026 to May 19, 2026
Accounts · 1,249 to 1,452
Nov 21, 2025 to Mar 16, 2026
HNW clients · 74 to 90
Nov 21, 2025 to Mar 16, 2026
Individual clients · 311 to 346
Nov 21, 2025 to Mar 16, 2026
Pension plan clients · 2 to 1
Nov 21, 2025 to Mar 16, 2026
Employees · 9 to 8
Nov 21, 2025 to Mar 16, 2026
Financial planning clients · 101-250 to 251-500
Nov 21, 2025 to Mar 16, 2026
Discretionary RAUM · $200M to $259M
Nov 21, 2025 to Mar 16, 2026
HNW RAUM · $113M to $159M
Nov 21, 2025 to Mar 16, 2026
Individual RAUM · $83.8M to $96.2M
Nov 21, 2025 to Mar 16, 2026
Non-discretionary RAUM · $136,042 to $243,085
Nov 21, 2025 to Mar 16, 2026
Pension RAUM · $282,895 to $243,085
Nov 21, 2025 to Mar 16, 2026
RAUM · $200M to $260M
Nov 21, 2025 to Mar 16, 2026
Advisory employees · 3 to 5
Jul 28, 2025 to Nov 21, 2025
State-registered IARs · 3 to 5
Jul 28, 2025 to Nov 21, 2025
Employees · 10 to 9
May 22, 2025 to Jul 28, 2025
Financial planning clients · 101-250 to 101-250
May 22, 2025 to Jul 28, 2025
Employees · 9 to 10
Mar 14, 2025 to May 22, 2025
Accounts · 1,170 to 1,249
Feb 24, 2025 to Mar 14, 2025
Charity clients · 3 to 2
Feb 24, 2025 to Mar 14, 2025
Corporate clients · 3 to 4
Feb 24, 2025 to Mar 14, 2025
HNW clients · 51 to 74
Feb 24, 2025 to Mar 14, 2025
Individual clients · 277 to 311
Feb 24, 2025 to Mar 14, 2025
Financial planning clients · 51-100 to 101-250
Feb 24, 2025 to Mar 14, 2025
Discretionary RAUM · $147M to $200M
Feb 24, 2025 to Mar 14, 2025
HNW RAUM · $66.7M to $113M
Feb 24, 2025 to Mar 14, 2025
Individual RAUM · $79.6M to $83.8M
Feb 24, 2025 to Mar 14, 2025
Non-discretionary RAUM · $68,514 to $136,042
Feb 24, 2025 to Mar 14, 2025
Pension RAUM · $188,820 to $282,895
Feb 24, 2025 to Mar 14, 2025
RAUM · $147M to $200M
Feb 24, 2025 to Mar 14, 2025
Employees · 8 to 9
Nov 22, 2024 to Feb 24, 2025
Advisory activities · 3 to 4
Sep 25, 2024 to Nov 8, 2024
Employees · 11 to 8
Jun 28, 2024 to Jul 17, 2024

Signals

1 dated events

R•••••••• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)
Mar 7, 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: 937-739-3744reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/ridgeline-wealth-planningreportedpublic record, Form ADV, Sep 21, 2026
Website: r•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (937)-739-3744reportedpublic record, Form ADV, Sep 1, 2026
Contact form: r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Team page: r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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: $51.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026