DFX Intelligence
RIA Intelligence
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SEC-registered adviser
Y••••• W••••• S••••••••• L••
Latest filing Aug 19, 2026
First filing on the tape Aug 6, 2020 · 22 filings
SEC status approved since Sep 9, 2020
RAUM
$530M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$518M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$530M as of Aug 19, 2026
Mar 11, 2021$314M then
HNW client RAUM$506M as of Aug 19, 2026
Mar 11, 2021$256M then
State-registered IARs (5.B.3)4 as of Aug 19, 2026
Mar 11, 20213 then
Employees (5.A)4 as of Aug 19, 2026
Mar 11, 20214 then
Private funds: no history
RAUM +12% over the last fiscal year+19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Aug 19, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $703,439derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $207M, 84 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$506M96%
- Corporations and businesses$11.9M2.2%
- Individuals$11.8M2.2%
- Individual clients
- 64reported
- HNW clients
- 152reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 753reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $207M for 84 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N•••• S•• R•••••• | Westerville, Oh | Oct 1, 2020 | 25 y | 6 |
| J••••••• L•••• Y••••• | Westerville, Oh | Oct 1, 2020 | 29 y | 5 |
| T•••••• M••• S••••••• | Westerville, Oh | Oct 1, 2020 | 32 y | 5 |
| T••••••• W••••• W••••••Certified Financial Planner, Chartered Financial Analyst | Westerville, Oh | Apr 5, 2023 | 15 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
- J••••••• L•••• Y••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- T•••••• M••• S••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- N•••• S•• R•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 12, 2020 · Westerville, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Y•••••• J•••••••• L•••• · Managing Member, Founder, Chief Executive Officer And Chief Compliance Officercontrolsince 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 |
|---|---|---|---|---|---|
| Westerville, Oh · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 671 to 753Jul 15, 2025 to Mar 20, 2026
- HNW clients · 122 to 152Jul 15, 2025 to Mar 20, 2026
- Individual clients · 79 to 64Jul 15, 2025 to Mar 20, 2026
- Assets in custody · $89.4M to $207MJul 15, 2025 to Mar 20, 2026
- Discretionary RAUM · $419M to $530MJul 15, 2025 to Mar 20, 2026
- HNW RAUM · $401M to $506MJul 15, 2025 to Mar 20, 2026
- Individual RAUM · $18.0M to $11.8MJul 15, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $52.2M to $0Jul 15, 2025 to Mar 20, 2026
- Pension RAUM · 35697373.0 to unsetJul 15, 2025 to Mar 20, 2026
- RAUM · $471M to $530MJul 15, 2025 to Mar 20, 2026
- Financial planning clients · 101-250 to 101-250Mar 19, 2025 to Jul 15, 2025
- Accounts · 599 to 671Feb 16, 2024 to Mar 19, 2025
- HNW clients · 104 to 122Feb 16, 2024 to Mar 19, 2025
- Individual clients · 80 to 79Feb 16, 2024 to Mar 19, 2025
- Assets in custody · $8.8M to $89.4MFeb 16, 2024 to Mar 19, 2025
- Financial planning clients · 51-100 to 101-250Feb 16, 2024 to Mar 19, 2025
- Discretionary RAUM · $341M to $419MFeb 16, 2024 to Mar 19, 2025
- HNW RAUM · $346M to $401MFeb 16, 2024 to Mar 19, 2025
- Individual RAUM · $19.9M to $18.0MFeb 16, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $60.8M to $52.2MFeb 16, 2024 to Mar 19, 2025
- Pension RAUM · $30.0M to $35.7MFeb 16, 2024 to Mar 19, 2025
- RAUM · $402M to $471MFeb 16, 2024 to Mar 19, 2025
- Accounts · 518 to 599Sep 11, 2023 to Feb 16, 2024
- Advisory employees · 3 to 4Sep 11, 2023 to Feb 16, 2024
- HNW clients · 96 to 104Sep 11, 2023 to Feb 16, 2024
- Individual clients · 72 to 80Sep 11, 2023 to Feb 16, 2024
- Pension plan clients · 5.0 to unsetSep 11, 2023 to Feb 16, 2024
- Assets in custody · $132M to $8.8MSep 11, 2023 to Feb 16, 2024
- State-registered IARs · 3 to 4Sep 11, 2023 to Feb 16, 2024
- Discretionary RAUM · $261M to $341MSep 11, 2023 to Feb 16, 2024
- HNW RAUM · $271M to $346MSep 11, 2023 to Feb 16, 2024
- Individual RAUM · $13.5M to $19.9MSep 11, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $49.8M to $60.8MSep 11, 2023 to Feb 16, 2024
- Pension RAUM · $26.2M to $30.0MSep 11, 2023 to Feb 16, 2024
- RAUM · $311M to $402MSep 11, 2023 to Feb 16, 2024
- Accounts · 506 to 518Jan 5, 2023 to Feb 28, 2023
- HNW clients · 95 to 96Jan 5, 2023 to Feb 28, 2023
- Individual clients · 79 to 72Jan 5, 2023 to Feb 28, 2023
- Pension plan clients · 9 to 5Jan 5, 2023 to Feb 28, 2023
- Assets in custody · $74.1M to $132MJan 5, 2023 to Feb 28, 2023
Signals
1 dated events
- Y••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Aug 6, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Y••••• W••••• S••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 614-882-2954reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 614-882-4027reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- y•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (614) 882-2954reportedpublic record, Form ADV, Aug 19, 2026
- Contact form
- y•••••••••.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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026