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
M••••••• • C••• F•••••••• P•••••••
Legal name M••••••• • C••• L••
Latest filing Mar 20, 2026
First filing on the tape May 18, 2022 · 9 filings
SEC status approved since Jun 21, 2022
RAUM
$169M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$167M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$84.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$169M as of Mar 20, 2026
Mar 16, 2023$104M then
HNW client RAUM$127M as of Mar 20, 2026
Mar 16, 2023$67.0M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Mar 16, 20232 then
Employees (5.A)2 as of Mar 20, 2026
Mar 16, 20232 then
Private funds: no history
RAUM +20% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $84.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $301,884derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $65.1M, 89 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)
- 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
- High-net-worth individuals$127M75%
- Individuals$40.1M24%
- Pension and profit-sharing plans$2.0M1.2%
- Individual clients
- 118reported
- HNW clients
- 50reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 560reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $65.1M for 89 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• G••••• C•••Certified Financial Planner | Cincinnati, Oh | Sep 29, 2020 | 19 y | 2 |
| M•••••• F•••••• A••••••••Chartered Financial Analyst | Cincinnati, Oh | Nov 20, 2023 | 13 y | 1 |
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
- M•••••• F•••••• A•••••••• from H•••• C•••••• A•••••••• L••Nov 20, 2023 · RIA to RIA
- C••••••••• G••••• C••• from C••••••••• F•••••••• N••••••Sep 29, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• C••••••••• G••••• · Managing Member And Ccocontrolsince 06/2020 · 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 |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 2 | 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
- business activity changedChange between filings · filing Mar 20, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2026-01-05, no on the filing of 2026-03-20peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 612 to 560Jan 5, 2026 to Mar 20, 2026
- Advisory activities · 3 to 2Jan 5, 2026 to Mar 20, 2026
- HNW clients · 44 to 50Jan 5, 2026 to Mar 20, 2026
- Individual clients · 116 to 118Jan 5, 2026 to Mar 20, 2026
- Assets in custody · $113M to $65.1MJan 5, 2026 to Mar 20, 2026
- Discretionary RAUM · $141M to $169MJan 5, 2026 to Mar 20, 2026
- HNW RAUM · $102M to $127MJan 5, 2026 to Mar 20, 2026
- Individual RAUM · $37.3M to $40.1MJan 5, 2026 to Mar 20, 2026
- Pension RAUM · $1.7M to $2.0MJan 5, 2026 to Mar 20, 2026
- RAUM · $141M to $169MJan 5, 2026 to Mar 20, 2026
- Accounts · 458 to 612Jan 23, 2024 to Mar 7, 2025
- HNW clients · 39 to 44Jan 23, 2024 to Mar 7, 2025
- Individual clients · 106 to 116Jan 23, 2024 to Mar 7, 2025
- Assets in custody · $54.7M to $113MJan 23, 2024 to Mar 7, 2025
- Financial planning clients · 101-250 to 101-250Jan 23, 2024 to Mar 7, 2025
- Discretionary RAUM · $121M to $141MJan 23, 2024 to Mar 7, 2025
- HNW RAUM · $85.4M to $102MJan 23, 2024 to Mar 7, 2025
- Individual RAUM · $34.3M to $37.3MJan 23, 2024 to Mar 7, 2025
- Pension RAUM · $1.6M to $1.7MJan 23, 2024 to Mar 7, 2025
- RAUM · $121M to $141MJan 23, 2024 to Mar 7, 2025
- Accounts · 422 to 458Jan 10, 2024 to Jan 23, 2024
- HNW clients · 34 to 39Jan 10, 2024 to Jan 23, 2024
- Individual clients · 124 to 106Jan 10, 2024 to Jan 23, 2024
- Assets in custody · $32.5M to $54.7MJan 10, 2024 to Jan 23, 2024
- Discretionary RAUM · $104M to $121MJan 10, 2024 to Jan 23, 2024
- HNW RAUM · $67.0M to $85.4MJan 10, 2024 to Jan 23, 2024
- Individual RAUM · $35.2M to $34.3MJan 10, 2024 to Jan 23, 2024
- Pension RAUM · $1.4M to $1.6MJan 10, 2024 to Jan 23, 2024
- RAUM · $104M to $121MJan 10, 2024 to Jan 23, 2024
- Advisory employees · 3 to 2Nov 28, 2023 to Jan 10, 2024
- Employees · 3 to 2Nov 28, 2023 to Jan 10, 2024
- State-registered IARs · 3 to 2Nov 28, 2023 to Jan 10, 2024
- Advisory employees · 2 to 3Mar 16, 2023 to Nov 22, 2023
- Employees · 2 to 3Mar 16, 2023 to Nov 22, 2023
- State-registered IARs · 2 to 3Mar 16, 2023 to Nov 22, 2023
- Accounts · 428 to 422May 18, 2022 to Mar 16, 2023
- HNW clients · 33 to 34May 18, 2022 to Mar 16, 2023
- Individual clients · 122 to 124May 18, 2022 to Mar 16, 2023
- Pension plan clients · unset to 1.0May 18, 2022 to Mar 16, 2023
- Assets in custody · $43.0M to $32.5MMay 18, 2022 to Mar 16, 2023
Signals
1 dated events
- M••••••• • C••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)May 18, 2022 · 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
- 513-792-9990reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/mccarley-&-cookreportedpublic record, Form ADV, Sep 18, 2026
- Website
- mccarleycook.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 513-792-9990reportedpublic record, Form ADV, Mar 20, 2026
- Team page
- mccarleycook.com/team-member/christopher-cook-cfprreportedpublished 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $84.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026