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
S••••••• W••••• M•••••••••
Legal name S••••••• W••••• M••••••••• L•••••• L•••••••• C••••••
Latest filing Feb 18, 2026
First filing on the tape Nov 1, 2024 · 4 filings
SEC status approved since Dec 2, 2024
RAUM
$162M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$162M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$40.5M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$162M as of Feb 18, 2026
Mar 3, 2025$114M then
HNW client RAUM$98.7M as of Feb 18, 2026
Mar 3, 2025$46.6M then
State-registered IARs (5.B.3)4 as of Feb 18, 2026
Mar 3, 20252 then
Employees (5.A)4 as of Feb 18, 2026
Mar 3, 20252 then
Private funds: no history
RAUM +43% over the last fiscal yearIARs 2 to 4
Practice profile
derived from the filing of Feb 18, 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
- RAUM per advisor
- $40.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 108derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $376,933derivedRAUM 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
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +43%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +287%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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$98.7M61%
- Individuals$63.4M39%
- Individual clients
- 387reported
- HNW clients
- 43reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 430reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 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 |
|---|---|---|---|---|
| J••••• C•••• G••••••Certified Financial Planner | Cincinnati, Oh | Jun 4, 2021 | 15 y | 5 |
| J••• E••••• A••••••• | Lititz, Pa | Dec 23, 2022 | 21 y | 7 |
| B•••• J•••••• | Louisville, Ky | Oct 2, 2025 | 13 y | 9 |
| J•••••• R•• A••••••• | Asheboro, Nc | Nov 13, 2025 | 26 y | 3 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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•••••• R•• A••••••• from C••••••• P•••••••Nov 13, 2025 · RIA to RIA
- B•••• J•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 2, 2025 · Wirehouse to independent RIA
- J••• E••••• A••••••• from G••••• A••••••• S•••••••• L••Dec 23, 2022 · RIA to RIA
- J••••• C•••• G•••••• from T• A••••••••• I•••Jun 4, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• J•••• E••••• · Presidentcontrolsince 01/2023 · owns 25% to 50%
- G••••••• J•••••• C•••• · Owner And Ccocontrolsince 01/2021 · 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 | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lititz, PA1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Feb 18, 2026individual and HNW clients (Item 5.D) moved from 111.0 to 430.0 (+287.0%) between the annual amendments of 2025-03-03 and 2026-02-18; the peer median change was +3.0% (3309 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 100% percentile
- RAUM up 25 %Change between filings · filing Feb 18, 2026RAUM (Item 5.F) moved from $113,601,753 to $162,081,052 (+43.0%) between the annual amendments of 2025-03-03 and 2026-02-18; the peer median change was +15.0% (4550 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 94% percentile
- HNW share shiftChange between filings · filing Feb 18, 2026HNW share of RAUM moved from 41.0% to 61.0% between the annual amendments of 2025-03-03 and 2026-02-18peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 315 to 430Mar 3, 2025 to Jan 29, 2026
- Advisory employees · 2 to 4Mar 3, 2025 to Jan 29, 2026
- HNW clients · 84 to 43Mar 3, 2025 to Jan 29, 2026
- Individual clients · 27 to 387Mar 3, 2025 to Jan 29, 2026
- Employees · 2 to 4Mar 3, 2025 to Jan 29, 2026
- State-registered IARs · 2 to 4Mar 3, 2025 to Jan 29, 2026
- Discretionary RAUM · $114M to $162MMar 3, 2025 to Jan 29, 2026
- HNW RAUM · $46.6M to $98.7MMar 3, 2025 to Jan 29, 2026
- Individual RAUM · $67.0M to $63.4MMar 3, 2025 to Jan 29, 2026
- RAUM · $114M to $162MMar 3, 2025 to Jan 29, 2026
- Accounts · 283 to 315Nov 1, 2024 to Mar 3, 2025
- HNW clients · 40 to 84Nov 1, 2024 to Mar 3, 2025
- Individual clients · 58 to 27Nov 1, 2024 to Mar 3, 2025
- Financial planning clients · 11-25 to 1-10Nov 1, 2024 to Mar 3, 2025
- Discretionary RAUM · $102M to $114MNov 1, 2024 to Mar 3, 2025
- HNW RAUM · $93.1M to $46.6MNov 1, 2024 to Mar 3, 2025
- Individual RAUM · $8.5M to $67.0MNov 1, 2024 to Mar 3, 2025
- RAUM · $102M to $114MNov 1, 2024 to Mar 3, 2025
Signals
1 dated events
- S••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Nov 1, 2024 · 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 email
- jcgarland@shepherdwm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 513-630-2664reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- shepherdwm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (513) 630-2664reportedpublic record, Form ADV, Feb 18, 2026
- Contact form
- shepherdwm.com/contactreportedpublished 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
- $40.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026