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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R••••••••• P••••••• S••••••••• L••
Legal name R•• A••••••• S••••••••• L••
Latest filing Jul 15, 2026
First filing on the tape Nov 5, 2020 · 30 filings
SEC status approved since Dec 4, 2020
RAUM
$467M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$466M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$467M as of Jul 15, 2026
Mar 31, 2021$58.2M then
HNW client RAUM$163M as of Jul 15, 2026
Mar 31, 2021$3.9M then
State-registered IARs (5.B.3)5 as of Jul 15, 2026
Mar 31, 20213 then
Employees (5.A)10 as of Jul 15, 2026
Mar 31, 20215 then
Private funds: no history
RAUM +24% over the last fiscal year+34% a year over threeIARs 11 to 5offices 3 to 1
Practice profile
derived from the filing of Jul 15, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 303derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $166,086derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- -27%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- $56.5MreportedItem 5.I
- Custody
- $75.3M, 398 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
- is an insurance broker or agent (6.A.6)
- 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
- Individuals$303M65%
- High-net-worth individuals$163M35%
- Charitable organizations$1.1M0.2%
- Individual clients
- 1,136reported
- HNW clients
- 74reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 2,812reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $75.3M for 398 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••••• E•••••• | Louisville, Ky | Mar 1, 2021 | 34 y | 4 |
| P•••• J•••• G•••••• | Louisville, Ky | May 23, 2022 | 43 y | 4 |
| N••• R••• E••••••Certified Financial Planner | Louisville, Ky | Jul 12, 2022 | 13 y | 0 |
| L••••••• W•••• C••••• | Louisville, Ky | Jan 8, 2024 | 27 y | 2 |
Advisor movement
5 left, 0 joined in 12 months
net -5 in 12 months3 left in 90 days0 joined in 90 daysdeparture rate 125% of current headcount5 left over 36 months
Left, latest
- K•••• K•••• to P•••••• A•••••• G••••• L••Sep 2, 2026 · RIA to affiliated broker-dealer or bank
- M••• A•••• N••••• to L••••• A••••••• S•••••••Jul 1, 2026 · Other
- J••• C•••••• H••••••• to S••••• O•• S••••••••• I•••Jul 1, 2026 · RIA to affiliated broker-dealer or bank
- M•••••• G••••• B•••••••• to A•••••• W••••• M••••••••• L••Feb 3, 2026 · RIA to RIA
- B•••• H••••• L••••• to A•••••• W••••• M••••••••• L••Jan 6, 2026 · RIA to RIA
Joined, latest
- L••••••• W•••• C••••• from W•••• F•••• A•••••••Jan 8, 2024 · Wirehouse to independent RIA
- M•••••• G••••• B•••••••• from L••••• A••••••• S•••••••Aug 3, 2022 · Other
- B•••• H••••• L••••• from L••••• A••••••• S•••••••Jul 12, 2022 · Other
- P•••• J•••• G•••••• from R•••••• J•••• • A••••••••• I•••May 23, 2022 · Affiliated broker-dealer or bank to independent RIA
- M••• A•••• N••••• from M•••••• A••••••• S•••••••• L••May 19, 2021 · RIA to RIA
- M•••••• J••••• E•••••• from M•••••• A••••••• S•••••••• L••Mar 1, 2021 · RIA to a newly registered adviser
- J••• C•••••• H••••••• from M•••••• A••••••• S•••••••• L••Mar 1, 2021 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M•••••• A••••••• S•••••••• L••Apr 29, 2021 · Louisville, Ky
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••• M••••••• J••••• · Ceo/Presidentcontrolsince 12/2019 · owns 75% or more
- L•••••• B••••• H••••• · Principalcontrolsince 11/2023 · owns less than 5%
- G••••••• S••••• A•• · Chief Compliance Officersince 01/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 4 | 0 | 4 | ||
| Evansville, In | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Covington, KY2 employees
- Louisville, KY2 employees
- Evansville, IN1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per a••••••Static outlier · filing Jul 15, 2026private clients per advisor of 302.5 against a peer median of 57.3 (3076 comparable advisers, 99.0th percentile, 7.0 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 99% percentile
What changed
consecutive filings, newest first
- Advisory employees · 8 to 5Mar 24, 2026 to Jul 15, 2026
- BD registered reps · 7 to 4Mar 24, 2026 to Jul 15, 2026
- Employees · 17 to 10Mar 24, 2026 to Jul 15, 2026
- State-registered IARs · 8 to 5Mar 24, 2026 to Jul 15, 2026
- Other offices · 2 to 1Mar 24, 2026 to Jul 15, 2026
- Accounts · 2,366 to 2,812Dec 8, 2025 to Mar 24, 2026
- Advisory employees · 11 to 8Dec 8, 2025 to Mar 24, 2026
- Advisory activities · 2 to 3Dec 8, 2025 to Mar 24, 2026
- BD registered reps · 9 to 7Dec 8, 2025 to Mar 24, 2026
- Charity clients · 1 to 2Dec 8, 2025 to Mar 24, 2026
- HNW clients · 72 to 74Dec 8, 2025 to Mar 24, 2026
- Individual clients · 993 to 1,136Dec 8, 2025 to Mar 24, 2026
- Assets in custody · $117M to $75.3MDec 8, 2025 to Mar 24, 2026
- Employees · 20 to 17Dec 8, 2025 to Mar 24, 2026
- State-registered IARs · 11 to 8Dec 8, 2025 to Mar 24, 2026
- Other offices · 3 to 2Dec 8, 2025 to Mar 24, 2026
- Discretionary RAUM · $377M to $467MDec 8, 2025 to Mar 24, 2026
- HNW RAUM · $152M to $163MDec 8, 2025 to Mar 24, 2026
- Individual RAUM · $225M to $303MDec 8, 2025 to Mar 24, 2026
- RAUM · $377M to $467MDec 8, 2025 to Mar 24, 2026
- Related adviser · true to falseDec 8, 2025 to Mar 24, 2026
- Related insurance company · true to falseDec 8, 2025 to Mar 24, 2026
- Financial planning clients · 11-25 to 11-25Jun 4, 2025 to Jul 17, 2025
- Accounts · 2,018 to 2,366Feb 20, 2025 to Mar 28, 2025
- BD registered reps · 8 to 9Feb 20, 2025 to Mar 28, 2025
- Charity clients · 2 to 1Feb 20, 2025 to Mar 28, 2025
- HNW clients · 61 to 72Feb 20, 2025 to Mar 28, 2025
- Individual clients · 969 to 993Feb 20, 2025 to Mar 28, 2025
- Assets in custody · $85.3M to $117MFeb 20, 2025 to Mar 28, 2025
- Employees · 18 to 20Feb 20, 2025 to Mar 28, 2025
- Financial planning clients · 1-10 to 11-25Feb 20, 2025 to Mar 28, 2025
- Discretionary RAUM · $285M to $377MFeb 20, 2025 to Mar 28, 2025
- HNW RAUM · $116M to $152MFeb 20, 2025 to Mar 28, 2025
- Individual RAUM · $169M to $225MFeb 20, 2025 to Mar 28, 2025
- RAUM · $285M to $377MFeb 20, 2025 to Mar 28, 2025
- Related adviser · false to trueFeb 20, 2025 to Mar 28, 2025
- Related insurance company · false to trueFeb 20, 2025 to Mar 28, 2025
- Accounts · 1,230 to 2,018Nov 2, 2023 to Mar 21, 2024
- Advisory employees · 9 to 11Nov 2, 2023 to Mar 21, 2024
- Advisory activities · 3 to 2Nov 2, 2023 to Mar 21, 2024
Signals
8 dated events
- K•••• K•••• left R••••••••• P••••••• S••••••••• L•• for P•••••• A•••••• G••••• L•• (registered 2026-09-02)Sep 2, 2026 · a•••••• firm change · fact
- J••• C•••••• H••••••• left R••••••••• P••••••• S••••••••• L•• for S••••• O•• S••••••••• I••• (registered 2026-02-11)Jul 1, 2026 · a•••••• firm change · fact
- M••• A•••• N••••• left R••••••••• P••••••• S••••••••• L•• for L••••• A••••••• S••••••• (registered 2021-10-28)Jul 1, 2026 · a•••••• firm change · fact
- M•••••• G••••• B•••••••• left R••••••••• P••••••• S••••••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2025-12-04)Feb 3, 2026 · a•••••• firm change · fact
- B•••• H••••• L••••• left R••••••••• P••••••• S••••••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2025-11-20)Jan 6, 2026 · a•••••• firm change · fact
- Howard Bryce Lanham (Principal) appeared on Schedule A of R••••••••• P••••••• S••••••••• L••Nov 2, 2023 · Control person joined · fact
- C•••••• R••••• B••••• (Owner) no longer on Schedule A of R••••••••• P••••••• S••••••••• L•• (listed 2020-12-07, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- R••••••••• P••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Nov 5, 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
- 502-499-5668reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 502-499-5669reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-425-5678reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/retirementplanningsolutionsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- retirementplanningsolutions.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 502-499-5668reportedpublic record, Form ADV, Jul 15, 2026
- Contact form
- retirementplanningsolutions.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- retirementplanningsolutions.com/our-teamreportedpublished 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026