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
R••••••• F••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape May 22, 2020 · 15 filings
SEC status approved since Jun 22, 2020
RAUM
$314M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$309M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$314M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$314M as of Mar 26, 2026
Mar 1, 2021$261M then
HNW client RAUM$295M as of Mar 26, 2026
Mar 1, 2021$155M then
State-registered IARs (5.B.3)1 as of Mar 26, 2026
Mar 1, 20212 then
Employees (5.A)3 as of Mar 26, 2026
Mar 1, 20214 then
Private funds: no history
RAUM +8.1% over the last fiscal year+6.2% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $314MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$295M94%
- Individuals$13.9M4.4%
- Pension and profit-sharing plans$4.7M1.5%
- Individual clients
- 66reported
- HNW clients
- 49reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 288reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• M••••••• R••••••• | Louisville, Ky | Dec 4, 2024 | 14 y | 2 |
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
- C••••••••• M••••••• R••••••• from R•••••• J•••• • A••••••••• I•••Dec 4, 2024 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••••• C••••••••• M••••••• · Principalcontrolsince 06/2020 · owns 25% to 50%
- R•••••••• P••••••• H•••••• · Chief Compliance Officer & Principalcontrolsince 06/2021 · owns 25% to 50%
- R•••••••• R••• M•••••• · Principalcontrolsince 06/2020 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 289 to 288Jan 13, 2026 to Mar 26, 2026
- Advisory employees · 2 to 1Jan 13, 2026 to Mar 26, 2026
- HNW clients · 48 to 49Jan 13, 2026 to Mar 26, 2026
- Employees · 4 to 3Jan 13, 2026 to Mar 26, 2026
- State-registered IARs · 2 to 1Jan 13, 2026 to Mar 26, 2026
- Discretionary RAUM · $291M to $309MJan 13, 2026 to Mar 26, 2026
- HNW RAUM · $272M to $295MJan 13, 2026 to Mar 26, 2026
- Individual RAUM · $18.6M to $13.9MJan 13, 2026 to Mar 26, 2026
- Non-discretionary RAUM · $0 to $4.7MJan 13, 2026 to Mar 26, 2026
- Pension RAUM · $0 to $4.7MJan 13, 2026 to Mar 26, 2026
- RAUM · $291M to $314MJan 13, 2026 to Mar 26, 2026
- Accounts · 281 to 289Mar 15, 2024 to Mar 19, 2025
- HNW clients · 47 to 48Mar 15, 2024 to Mar 19, 2025
- Individual clients · 67 to 66Mar 15, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 1-10Mar 15, 2024 to Mar 19, 2025
- Discretionary RAUM · $278M to $291MMar 15, 2024 to Mar 19, 2025
- HNW RAUM · $17.7M to $272MMar 15, 2024 to Mar 19, 2025
- Individual RAUM · $260M to $18.6MMar 15, 2024 to Mar 19, 2025
- RAUM · $278M to $291MMar 15, 2024 to Mar 19, 2025
- Accounts · 269 to 281Mar 21, 2023 to Mar 15, 2024
- HNW clients · 44 to 47Mar 21, 2023 to Mar 15, 2024
- Individual clients · 71 to 67Mar 21, 2023 to Mar 15, 2024
- Discretionary RAUM · $262M to $278MMar 21, 2023 to Mar 15, 2024
- HNW RAUM · $245M to $17.7MMar 21, 2023 to Mar 15, 2024
- Individual RAUM · $17.5M to $260MMar 21, 2023 to Mar 15, 2024
- RAUM · $262M to $278MMar 21, 2023 to Mar 15, 2024
- Accounts · 262 to 269Mar 22, 2022 to Mar 6, 2023
- BD registered reps · 2 to 1Mar 22, 2022 to Mar 6, 2023
- Charity clients · unset to 0.0Mar 22, 2022 to Mar 6, 2023
- Corporate clients · unset to 0.0Mar 22, 2022 to Mar 6, 2023
- HNW clients · 45 to 44Mar 22, 2022 to Mar 6, 2023
- Individual clients · 65 to 71Mar 22, 2022 to Mar 6, 2023
- Pension plan clients · unset to 0.0Mar 22, 2022 to Mar 6, 2023
- Pooled vehicle clients · unset to 0.0Mar 22, 2022 to Mar 6, 2023
- Financial planning clients · 0 to 1-10Mar 22, 2022 to Mar 6, 2023
- Discretionary RAUM · $325M to $262MMar 22, 2022 to Mar 6, 2023
- HNW RAUM · $308M to $245MMar 22, 2022 to Mar 6, 2023
- Individual RAUM · $17.0M to $17.5MMar 22, 2022 to Mar 6, 2023
- Pension RAUM · unset to 0.0Mar 22, 2022 to Mar 6, 2023
- Pooled vehicle RAUM · unset to 0.0Mar 22, 2022 to Mar 6, 2023
Signals
5 dated events
- Michael Roy R••••••• (Chief Compliance Officer And Manager) appeared on Schedule A of R••••••• F••••••••• L••Jun 26, 2020 · Control person joined · fact
- Hampton Patrick R••••••• (Manager) appeared on Schedule A of R••••••• F••••••••• L••Jun 26, 2020 · Control person joined · fact
- Mccauley C••••••••• R••••••• (Manager) appeared on Schedule A of R••••••• F••••••••• L••Jun 26, 2020 · Control person joined · fact
- Adam Daniel Bernstein (Chief Compliance Officer) no longer on Schedule A of R••••••• F••••••••• L•• (listed 2020-05-22, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- B•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 22, 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
- 502-975-7326reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (502) 396-4055reportedpublic record, Form ADV, Mar 26, 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
- $314Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026