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

C••••••• A•••••••• L••

Former SEC-registered adviserBeavercreek, OhioCRD 312498SEC 801-120354IAPD
Latest filing Mar 14, 2022
First filing on the tape Jan 19, 2021 · 17 filings
RAUM
$93.4M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
76%
$71.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$93.4M as of Mar 14, 2022
Jan 19, 2021$0 then
HNW client RAUM$66.4M as of Mar 14, 2022
Mar 25, 2021$35.0M then
State-registered IARs (5.B.3)1 as of Mar 14, 2022
Jan 19, 20212 then
Employees (5.A)2 as of Mar 14, 2022
Jan 19, 20213 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 14, 2022; every figure names its basis
RAUM per advisor
$93.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
46derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$686,607derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$101M, 50 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)
  • compensates non-employees for client referrals (8.G.2)
  • 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$66.4M71%
  • Pension and profit-sharing plans$22.3M24%
  • Individuals$4.6M5.0%
Individual clients
20reported
HNW clients
26reported
Pension plan clients
3reported
Charitable clients
0reported
Accounts
136reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$101M for 50 clientsreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L••••••• W••••••• W• · Managing Member & Chief Compliance Officercontrol
    since 03/2019 · owns 75% or more
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
  • Corporate clients · 3 to 0
    Jan 31, 2022 to Mar 3, 2022
  • HNW clients · 25 to 26
    Jan 31, 2022 to Mar 3, 2022
  • Individual clients · 21 to 20
    Jan 31, 2022 to Mar 3, 2022
  • Pension plan clients · 0 to 3
    Jan 31, 2022 to Mar 3, 2022
  • Employees · 1 to 2
    Jan 31, 2022 to Mar 3, 2022
  • Insurance-licensed employees · 1 to 0
    Jan 31, 2022 to Mar 3, 2022
  • Financial planning clients · 0 to 26-50
    Jan 31, 2022 to Mar 3, 2022
  • Discretionary RAUM · $78.1M to $92.5M
    Jan 31, 2022 to Mar 3, 2022
  • HNW RAUM · $75.0M to $66.4M
    Jan 31, 2022 to Mar 3, 2022
  • Individual RAUM · $4.1M to $4.6M
    Jan 31, 2022 to Mar 3, 2022
  • Non-discretionary RAUM · $22.9M to $835,552
    Jan 31, 2022 to Mar 3, 2022
  • Pension RAUM · $0 to $22.3M
    Jan 31, 2022 to Mar 3, 2022
  • RAUM · $101M to $93.4M
    Jan 31, 2022 to Mar 3, 2022
  • Assets in custody · unset to 100908440.0
    Dec 2, 2021 to Jan 31, 2022
  • Custody of client assets · false to true
    Dec 2, 2021 to Jan 31, 2022
  • Accounts · 149 to 136
    Sep 15, 2021 to Oct 21, 2021
  • Corporate clients · 0 to 3
    Sep 15, 2021 to Oct 21, 2021
  • HNW clients · 20 to 25
    Sep 15, 2021 to Oct 21, 2021
  • Individual clients · 23 to 21
    Sep 15, 2021 to Oct 21, 2021
  • Pension plan clients · 3 to 0
    Sep 15, 2021 to Oct 21, 2021
  • Discretionary RAUM · $78.5M to $78.1M
    Sep 15, 2021 to Oct 21, 2021
  • HNW RAUM · $61.5M to $75.0M
    Sep 15, 2021 to Oct 21, 2021
  • Individual RAUM · $17.0M to $4.1M
    Sep 15, 2021 to Oct 21, 2021
  • Non-discretionary RAUM · $21.0M to $22.9M
    Sep 15, 2021 to Oct 21, 2021
  • Pension RAUM · $21.0M to $0
    Sep 15, 2021 to Oct 21, 2021
  • RAUM · $99.5M to $101M
    Sep 15, 2021 to Oct 21, 2021
  • Accounts · 146 to 149
    Sep 15, 2021 to Sep 15, 2021
  • Advisory employees · 2 to 1
    Sep 15, 2021 to Sep 15, 2021
  • HNW clients · 19 to 20
    Sep 15, 2021 to Sep 15, 2021
  • Individual clients · 27 to 23
    Sep 15, 2021 to Sep 15, 2021
  • Employees · 2 to 1
    Sep 15, 2021 to Sep 15, 2021
  • Insurance-licensed employees · 2 to 1
    Sep 15, 2021 to Sep 15, 2021
  • State-registered IARs · 2 to 1
    Sep 15, 2021 to Sep 15, 2021
  • Discretionary RAUM · $106M to $78.5M
    Sep 15, 2021 to Sep 15, 2021
  • HNW RAUM · $97.1M to $61.5M
    Sep 15, 2021 to Sep 15, 2021
  • Individual RAUM · $8.5M to $17.0M
    Sep 15, 2021 to Sep 15, 2021
  • Non-discretionary RAUM · $21.2M to $21.0M
    Sep 15, 2021 to Sep 15, 2021
  • Pension RAUM · $21.2M to $21.0M
    Sep 15, 2021 to Sep 15, 2021
  • RAUM · $127M to $99.5M
    Sep 15, 2021 to Sep 15, 2021
  • Accounts · 155 to 146
    Apr 28, 2021 to Jun 29, 2021
Signals
2 dated events
  • M•••••• J• P••• left C••••••• A•••••••• L•• for C••••••• P•••••••• I••• (registered 2022-04-13)
    Apr 26, 2022 · Advisor changed firm · fact
  • C••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Jan 19, 2021 · 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