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
3•• W••••• M••••••••• G••••
Legal name A••••• I••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 8, 2022 · 7 filings
SEC status approved since Sep 7, 2022
RAUM
$187M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$185M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$93.3M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$187M as of Mar 31, 2026
Mar 26, 2023$144M then
HNW client RAUM$103M as of Mar 31, 2026
Mar 26, 2023$73.1M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 26, 20234 then
Employees (5.A)8 as of Mar 31, 2026
Mar 26, 20237 then
Private funds: no history
RAUM +1.9% over the last fiscal year+9.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $93.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 279derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $145,234derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +36%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$103M55%
- Individuals$82.2M44%
- Pension and profit-sharing plans$1.2M0.6%
- Individual clients
- 488reported
- HNW clients
- 70reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 1,285reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $120M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- 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 |
|---|---|---|---|---|
| W•••••• M•••••• H•••• | Mason, Oh | Jun 29, 2026 | 17 y | 4 |
| W•••••• L•••• H•••• | Mason, Oh | Jun 29, 2026 | 34 y | 5 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- J•••• K•••• P••••• to 2•• W••••• M••••••••• G••••• L••Dec 31, 2025 · RIA to a state-registered adviser
Joined, latest
- W•••••• L•••• H•••• from W•••• F•••• A•••••••May 21, 2021 · Wirehouse to independent RIA
- W•••••• M•••••• H•••• from W•••• F•••• A•••••••May 19, 2021 · Wirehouse to independent RIA
- J•••• K•••• P••••• from W•••• F•••• A•••••••May 19, 2021 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from W•••• F•••• A•••••••Jun 15, 2021 · Mason, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• W••••••• M•••••• · Managing Member, Chief Executive Officercontrolsince 03/2021 · owns 75% or more
- P••••••••• B••••• J••••• · Chief Compliance Officercontrolsince 12/2023 · 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 |
|---|---|---|---|---|---|
| Mason, Oh · principal | 2 | 2 | 0 | ||
| Loveland, Oh | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Cincinnati, OH3 employees
What changed
consecutive filings, newest first
- Accounts · 1,046 to 1,285Apr 28, 2025 to Mar 31, 2026
- HNW clients · 69 to 70Apr 28, 2025 to Mar 31, 2026
- Individual clients · 341 to 488Apr 28, 2025 to Mar 31, 2026
- Pension plan clients · 5 to 2Apr 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $172M to $185MApr 28, 2025 to Mar 31, 2026
- HNW RAUM · $101M to $103MApr 28, 2025 to Mar 31, 2026
- Individual RAUM · $65.7M to $82.2MApr 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $11.3M to $1.2MApr 28, 2025 to Mar 31, 2026
- Pension RAUM · $16.8M to $1.2MApr 28, 2025 to Mar 31, 2026
- RAUM · $183M to $187MApr 28, 2025 to Mar 31, 2026
- Wrap assets (manager) · $139M to $120MApr 28, 2025 to Mar 31, 2026
- Accounts · 909 to 1,046Oct 2, 2024 to Apr 28, 2025
- Advisory employees · 6 to 3Oct 2, 2024 to Apr 28, 2025
- Advisory activities · 3 to 4Oct 2, 2024 to Apr 28, 2025
- Individual clients · 295 to 341Oct 2, 2024 to Apr 28, 2025
- Pension plan clients · 11 to 5Oct 2, 2024 to Apr 28, 2025
- Financial planning clients · 0 to 0Oct 2, 2024 to Apr 28, 2025
- Discretionary RAUM · $129M to $172MOct 2, 2024 to Apr 28, 2025
- HNW RAUM · $82.9M to $101MOct 2, 2024 to Apr 28, 2025
- Individual RAUM · $45.7M to $65.7MOct 2, 2024 to Apr 28, 2025
- Non-discretionary RAUM · $21.4M to $11.3MOct 2, 2024 to Apr 28, 2025
- Pension RAUM · $21.4M to $16.8MOct 2, 2024 to Apr 28, 2025
- RAUM · $150M to $183MOct 2, 2024 to Apr 28, 2025
- Wrap assets (manager) · $121M to $139MOct 2, 2024 to Apr 28, 2025
- Accounts · 881 to 909Mar 26, 2023 to Mar 29, 2024
- Advisory employees · 3 to 6Mar 26, 2023 to Mar 29, 2024
- HNW clients · 64 to 69Mar 26, 2023 to Mar 29, 2024
- Individual clients · 301 to 295Mar 26, 2023 to Mar 29, 2024
- Employees · 7 to 8Mar 26, 2023 to Mar 29, 2024
- State-registered IARs · 4 to 0Mar 26, 2023 to Mar 29, 2024
- Discretionary RAUM · $115M to $129MMar 26, 2023 to Mar 29, 2024
- HNW RAUM · $73.1M to $82.9MMar 26, 2023 to Mar 29, 2024
- Individual RAUM · $41.2M to $45.7MMar 26, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $29.4M to $21.4MMar 26, 2023 to Mar 29, 2024
- Pension RAUM · $30.0M to $21.4MMar 26, 2023 to Mar 29, 2024
- RAUM · $144M to $150MMar 26, 2023 to Mar 29, 2024
- Wrap assets (manager) · $11.4M to $121MMar 26, 2023 to Mar 29, 2024
- Accounts · 854 to 881Aug 8, 2022 to Mar 26, 2023
- Advisory employees · 5 to 3Aug 8, 2022 to Mar 26, 2023
- HNW clients · 41 to 64Aug 8, 2022 to Mar 26, 2023
Signals
3 dated events
- J•••• K•••• P••••• left 3•• W••••• M••••••••• G•••• for 2•• W••••• M••••••••• G••••• L•• (registered 2026-01-14)Dec 31, 2025 · Advisor changed firm · fact
- J••••• B•••• P•••••••• (Chief Compliance Officer) appeared on Schedule A of 3•• W••••• M••••••••• G••••Mar 29, 2024 · Control person joined · fact
- 3•• W••••• M••••••••• G•••• filed its initial SEC registration (Form ADV)Aug 8, 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 email
- i•••@3•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- b•••@3•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- j•••@3•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- w•••@3•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 513-880-0001reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 513-880-0002reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/365-wealth-management-groupreportedpublic record, Form ADV, Sep 19, 2026
- Website
- 3•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 513-880-0002reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- 3•••••.comreportedpublished 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
- $93.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026