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
D••• W••••• P•••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Jun 7, 2023 · 4 filings
SEC status approved since Jul 7, 2023
RAUM
$30.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$30.3M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$5.1M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$30.4M as of Mar 2, 2026
Mar 5, 2024$14.2M then
HNW client RAUM$21.5M as of Mar 2, 2026
Mar 5, 2024$9.4M then
State-registered IARs (5.B.3)6 as of Mar 2, 2026
Mar 5, 20245 then
Employees (5.A)9 as of Mar 2, 2026
Mar 5, 202412 then
Private funds: no history
RAUM +38% over the last fiscal yearIARs 5 to 6offices 3 to 2
Practice profile
derived from the filing of Mar 2, 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
- RAUM per advisor
- $5.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $675,019derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +30%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$21.5M71%
- Individuals$8.8M29%
- Corporations and businesses$60,8920.2%
- Individual clients
- 33reported
- HNW clients
- 10reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 45reported
- Financial planning clients
- 26-50reported
- 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=3.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• A• W••• | Louisville, Ky | Jun 7, 2022 | 30 y | 0 |
| S•••••• R•••••• G••••• | Louisville, Ky | Oct 28, 2022 | 13 y | 2 |
| B••• J••••• H••••Certified Financial Planner | Louisville, Ky | Oct 28, 2022 | 14 y | 1 |
| N••••••• E••••• W••••••Certified Financial Planner | Louisville, Ky | Oct 28, 2022 | 13 y | 2 |
| W•••• P••••• C•••••••Certified Financial Planner | Louisville, Ky | Oct 28, 2022 | 26 y | 1 |
| W•••••• S••• S••••• A••••Certified Financial Planner | Louisville, Ky | Oct 28, 2022 | 15 y | 0 |
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
- L••••• B••• B•••• to C••••• P••••••• O••• L••Jun 15, 2023 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• S••••••• R•••••• · Director And Financial Advisor / Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- H••••• B•••• J••••• · Director And Financial Advisorcontrolsince 02/2023 · owns less than 5%
- W•••• C••••••••• A• · Directorcontrolsince 07/2021 · owns less than 5%
- G•••••• S••••••• R•••••• · Managing Membercontrolsince 10/2022 · owns 50% to 75% of G••••••• C••••••••• L••
- H••••• B•••• J••••• · Managing Membercontrolsince 10/2022 · owns 50% to 75% of G••••••• C••••••••• L••
Entity owners
- D•••••• M•••••• L•••••• • O••••••• P••••• ••• •••• C••••• · Memberdirect · owns 50% to 75%
- G••••••• C••••••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- C••••••••• W•••insurancey
- D•••••• M•••••• L•••••• • O••••••• P•••••insurancey
- D•••••• M••••• A••••••••• L••investment advisernRAUM $362M
- G••••••• C••••••• I•••investment advisernRAUM $450M
Advisers that list D••• W••••• P•••••••• L•• as a related person
- 323541 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Corydon, IN2 employees
- Louisville, KY2 employees
- New Albany, IN2 employees
What changed
consecutive filings, newest first
- Accounts · 73 to 45Feb 28, 2025 to Mar 2, 2026
- Advisory employees · 4 to 5Feb 28, 2025 to Mar 2, 2026
- Corporate clients · 0 to 2Feb 28, 2025 to Mar 2, 2026
- HNW clients · 5 to 10Feb 28, 2025 to Mar 2, 2026
- Individual clients · 28 to 33Feb 28, 2025 to Mar 2, 2026
- Employees · 12 to 9Feb 28, 2025 to Mar 2, 2026
- State-registered IARs · 5 to 6Feb 28, 2025 to Mar 2, 2026
- Other offices · 3 to 2Feb 28, 2025 to Mar 2, 2026
- Discretionary RAUM · $21.9M to $30.4MFeb 28, 2025 to Mar 2, 2026
- HNW RAUM · $14.1M to $21.5MFeb 28, 2025 to Mar 2, 2026
- Individual RAUM · $7.8M to $8.8MFeb 28, 2025 to Mar 2, 2026
- RAUM · $21.9M to $30.4MFeb 28, 2025 to Mar 2, 2026
- Accounts · 60 to 73Mar 5, 2024 to Feb 28, 2025
- HNW clients · 4 to 5Mar 5, 2024 to Feb 28, 2025
- Individual clients · 16 to 28Mar 5, 2024 to Feb 28, 2025
- Financial planning clients · 11-25 to 26-50Mar 5, 2024 to Feb 28, 2025
- Discretionary RAUM · $14.2M to $21.9MMar 5, 2024 to Feb 28, 2025
- HNW RAUM · $9.4M to $14.1MMar 5, 2024 to Feb 28, 2025
- Individual RAUM · $4.9M to $7.8MMar 5, 2024 to Feb 28, 2025
- RAUM · $14.2M to $21.9MMar 5, 2024 to Feb 28, 2025
- Accounts · 0 to 60Jun 7, 2023 to Mar 5, 2024
- Advisory activities · 3 to 5Jun 7, 2023 to Mar 5, 2024
- BD registered reps · 2 to 3Jun 7, 2023 to Mar 5, 2024
- HNW clients · 0 to 4Jun 7, 2023 to Mar 5, 2024
- Individual clients · 0 to 16Jun 7, 2023 to Mar 5, 2024
- Employees · 11 to 12Jun 7, 2023 to Mar 5, 2024
- Financial planning clients · 0 to 11-25Jun 7, 2023 to Mar 5, 2024
- State-registered IARs · 4 to 5Jun 7, 2023 to Mar 5, 2024
- Discretionary RAUM · $0 to $14.2MJun 7, 2023 to Mar 5, 2024
- HNW RAUM · $0 to $9.4MJun 7, 2023 to Mar 5, 2024
- Individual RAUM · $0 to $4.9MJun 7, 2023 to Mar 5, 2024
- RAUM · $0 to $14.2MJun 7, 2023 to Mar 5, 2024
Signals
2 dated events
- L••••• B••• B•••• left D••• W••••• P•••••••• L•• for C••••• P••••••• O••• L•• (registered 2023-04-05)Jun 15, 2023 · Advisor changed firm · fact
- D••• W••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 7, 2023 · 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
- 502-813-2100reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- dmlowealthplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (502) 813-2100reportedpublic record, Form ADV, Mar 2, 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
- $5.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026