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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
F••••••• S••••• A•••• M•••••••••
Legal name F••••••• S••••• A•••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Oct 28, 2021 · 11 filings
SEC status approved since Nov 29, 2021
RAUM
$234M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$229M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$77.9M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$234M as of Mar 23, 2026
Mar 27, 2022$0 then
HNW client RAUM$134M as of Mar 23, 2026
Mar 9, 2023$50.6M then
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 27, 20220 then
Employees (5.A)5 as of Mar 23, 2026
Mar 27, 20224 then
Private funds: no history
RAUM +13% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 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
- $77.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $343,184derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$134M57%
- Individuals$94.3M40%
- Charitable organizations$3.9M1.7%
- Pension and profit-sharing plans$1.2M0.5%
- Individual clients
- 311reported
- HNW clients
- 83reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 681reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• A• M•••••• | Cincinnati, Oh | Apr 20, 2022 | 24 y | 1 |
| T••••• W•••••• E••••••••• | Cincinnati, Oh | Apr 20, 2022 | 39 y | 1 |
| M•••••• A•••••• L•••••••••Certified Financial Planner | Cincinnati, Oh | Apr 20, 2022 | 29 y | 4 |
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
- A••••• A• M•••••• from C•••••••• F•••••••• G•••• A•••••••Apr 20, 2022 · Affiliated broker-dealer or bank to independent RIA
- M•••••• A•••••• L••••••••• from C•••••••• F•••••••• G•••• A•••••••Apr 20, 2022 · Affiliated broker-dealer or bank to independent RIA
- T••••• W•••••• E••••••••• from C•••••••• F•••••••• G•••• A•••••••Apr 20, 2022 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C•••••••• F•••••••• G•••• A•••••••Apr 5, 2022 · Cincinnati, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••••• T•••••• W•••••• · Chief Executive Officercontrolsince 08/2021 · owns 50% to 75%
- L••••••••• M••••••• A•••••• · Financial Plannercontrolsince 08/2021 · owns 25% to 50%
- M••••••• A•••••• A• · Investment Advisor Repsince 08/2021 · owns less than 5%
- M••••• D•••••• R•••••• · Chief Compliance Officersince 10/2023 · owns less than 5%
Related persons
Schedule D 7.A
- E••••••••• F•••••••• S•••••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Cincinnati, OH1 employees
- Cincinnati, OH1 employees
- Cincinnati, OH1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $205M to $232MJan 16, 2025 to Mar 23, 2026
- HNW RAUM · $112M to $134MJan 16, 2025 to Mar 23, 2026
- Individual RAUM · $89.8M to $94.3MJan 16, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $1.5M to $1.2MJan 16, 2025 to Mar 23, 2026
- Pension RAUM · $248,418 to $1.2MJan 16, 2025 to Mar 23, 2026
- RAUM · $206M to $234MJan 16, 2025 to Mar 23, 2026
- Accounts · 615 to 681Jan 16, 2025 to Mar 23, 2026
- HNW clients · 65 to 83Jan 16, 2025 to Mar 23, 2026
- Individual clients · 265 to 311Jan 16, 2025 to Mar 23, 2026
- Pension plan clients · 1 to 2Jan 16, 2025 to Mar 23, 2026
- Accounts · 548 to 615Mar 15, 2024 to Jan 16, 2025
- Charity clients · 1 to 2Mar 15, 2024 to Jan 16, 2025
- Individual clients · 195 to 265Mar 15, 2024 to Jan 16, 2025
- Pension plan clients · unset to 1.0Mar 15, 2024 to Jan 16, 2025
- Financial planning clients · 26-50 to 26-50Mar 15, 2024 to Jan 16, 2025
- Discretionary RAUM · $157M to $205MMar 15, 2024 to Jan 16, 2025
- HNW RAUM · $80.2M to $112MMar 15, 2024 to Jan 16, 2025
- Individual RAUM · $74.5M to $89.8MMar 15, 2024 to Jan 16, 2025
- Non-discretionary RAUM · $842,128 to $1.5MMar 15, 2024 to Jan 16, 2025
- Pension RAUM · unset to 248418.0Mar 15, 2024 to Jan 16, 2025
- RAUM · $158M to $206MMar 15, 2024 to Jan 16, 2025
- Accounts · 414 to 548Dec 1, 2023 to Mar 15, 2024
- HNW clients · 46 to 65Dec 1, 2023 to Mar 15, 2024
- Individual clients · 83 to 195Dec 1, 2023 to Mar 15, 2024
- Discretionary RAUM · $121M to $157MDec 1, 2023 to Mar 15, 2024
- HNW RAUM · $50.6M to $80.2MDec 1, 2023 to Mar 15, 2024
- Individual RAUM · $67.5M to $74.5MDec 1, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $723,317 to $842,128Dec 1, 2023 to Mar 15, 2024
- RAUM · $121M to $158MDec 1, 2023 to Mar 15, 2024
- Accounts · 304 to 414Dec 15, 2022 to Mar 9, 2023
- Charity clients · unset to 1.0Dec 15, 2022 to Mar 9, 2023
- Individual clients · 57 to 83Dec 15, 2022 to Mar 9, 2023
- Employees · 4 to 5Dec 15, 2022 to Mar 9, 2023
- Discretionary RAUM · $103M to $121MDec 15, 2022 to Mar 9, 2023
- HNW RAUM · $59.8M to $50.6MDec 15, 2022 to Mar 9, 2023
- Individual RAUM · $44.4M to $67.5MDec 15, 2022 to Mar 9, 2023
- Non-discretionary RAUM · $704,400 to $723,317Dec 15, 2022 to Mar 9, 2023
- RAUM · $104M to $121MDec 15, 2022 to Mar 9, 2023
- Other offices · 0 to 3Mar 28, 2022 to May 6, 2022
- Accounts · 0 to 304Mar 27, 2022 to Mar 28, 2022
Signals
4 dated events
- Richard Dennis Mason (Chief Compliance Officer) appeared on Schedule A of F••••••• S••••• A•••• M•••••••••Dec 1, 2023 · Control person joined · fact
- Roseann Higgins (Chief Compliance Officer) no longer on Schedule A of F••••••• S••••• A•••• M••••••••• (listed 2023-03-09, absent 2023-12-01)Dec 1, 2023 · Control person left · inference
- 3 advisors left C•••••••• F•••••••• G•••• A••••••• (Cincinnati, OH) for F••••••• S••••• A•••• M••••••••• on the same dayApr 5, 2022 · Team lift-out · derived
- F••••••• S••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Oct 28, 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.
How to reach
public business contact points only, each with its source
- Business email
- m••••@f••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- a•••••@f••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- k•••••@f••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 513-984-9111reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- f••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 513-984-9111reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- f••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- f••••.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
- $77.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026