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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Former SEC-registered adviser

W••••• S••••• I••••••••• A••••••• L••

Former SEC-registered adviserCincinnati, OhioCRD 309300SEC 801-118919IAPD
Latest filing May 15, 2020
First filing on the tape May 15, 2020 · 2 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$0 as of May 15, 2020
May 15, 2020$0 then
HNW client RAUM$0 as of May 15, 2020
May 15, 2020$0 then
State-registered IARs (5.B.3)13 as of May 15, 2020
May 15, 202013 then
Employees (5.A)16 as of May 15, 2020
May 15, 202016 then
Private funds: no history
Practice profile
derived from the filing of May 15, 2020; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
6.5derived2 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
participatesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • O•••••••• F•••• T••••• · Shareholdercontrol
        since 12/2004 · owns 75% or more of F••• I•••
      • S••••••••• M••••• · Shareholder, President/Ceocontrol
        since 09/1989 · owns 50% to 75% of R•••• S•••••••• • A••••••••• L••
      • T•••• L••••• N••••• · Shareholdercontrol
        since 12/2004 · owns 75% or more of L•• H••••••• I•••
      • B••••• P••••• P••• · Chief Investment Officer
        since 04/2020 · owns less than 5%
      • W••••••• A•••••• S• · Chief Compliance Officer
        since 04/2020 · owns less than 5%
      • W•••••••• T•••••• R•••••• · Executive Officer
        since 04/2020 · owns less than 5%
      Entity owners
      • R•••• S•••••••• • A••••••••• L•• · Member
        direct · owns 75% or more
      • F••• I••• · Member
        direct · owns 5% to 10%
      • L•• H••••••• I••• · Member
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Dayton, OH1 employees
      What changed
      consecutive filings, newest first
      • Financial planning clients · unset to 0
        May 15, 2020 to May 15, 2020
      Signals
      1 dated events
      • W••••• S••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        May 15, 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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026