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

A••• L••

Independent wealth managerLexington, KentuckyCRD 314832SEC 801-135476websiteIAPD
Latest filing Aug 28, 2026
First filing on the tape Feb 23, 2026 · 3 filings
SEC status approved since Mar 6, 2026
RAUM
$114M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$114M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$16.3M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$114M as of Aug 28, 2026
Feb 23, 2026$114M then
HNW client RAUM$81.1M as of Aug 28, 2026
Feb 23, 2026$81.1M then
State-registered IARs (5.B.3)8 as of Aug 28, 2026
Feb 23, 20268 then
Employees (5.A)8 as of Aug 28, 2026
Feb 23, 20268 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 28, 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
$16.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
39derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$115,425derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
7.0derived1 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, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$81.1M71%
  • Individuals$33.1M29%
  • Charitable organizations$122,0380.1%
Individual clients
224reported
HNW clients
47reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
991reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
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=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Z•••••• D•••• W••••••Certified Financial PlannerLexington, KyAug 5, 202111 y0
L•••• T• J••••••Certified Financial PlannerLexington, KyFeb 3, 202311 y0
N••••••• D• P•••••••••Lexington, KyJan 1, 202513 y0
V••••••• W•••••Certified Financial PlannerLexington, KySep 8, 202516 y1
M••••• M•••••Certified Financial PlannerLexington, KySep 18, 202511 y1
M•••••• E••••Lexington, KyNov 18, 202512 y0
T••••• A•••• H••••••Lexington, KyJan 6, 202611 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W••••••• Z••••••• D•••• · Managing Member/Ccocontrol
      since 04/2021 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Lexington, Ky · principal720
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    No event on the tape.
    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
    Firm profile
    linkedin.com/company/abrifinancialplanning/?viewAsMember=trureportedpublic record, Form ADV, Sep 19, 2026
    Website
    A•••.IOreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    859-636-6140reportedpublic record, Form ADV, Aug 28, 2026
    Contact form
    abri.io/contactreportedpublished by the firm, firm site, Sep 17, 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
    $16.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026