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••• P••••••• • W•••••
Legal name A••• W••••• M••••••••• L••
Latest filing Jul 16, 2026
First filing on the tape Mar 22, 2022 · 17 filings
SEC status approved since Apr 21, 2022
RAUM
$127M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
93%
$119M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$63.6M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$127M as of Jul 16, 2026
Mar 1, 2023$113M then
HNW client RAUM$49.2M as of Jul 16, 2026
Mar 1, 2023$63.1M then
State-registered IARs (5.B.3)2 as of Jul 16, 2026
Mar 1, 20232 then
Employees (5.A)3 as of Jul 16, 2026
Mar 1, 20232 then
Private funds: no history
RAUM +6.7% over the last fiscal year+4.1% a year over threeIARs 1 to 2offices 1 to 2
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $63.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 143derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $187,663derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 6.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $25.7M, 127 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$69.5M55%
- High-net-worth individuals$49.2M39%
- Pension and profit-sharing plans$8.5M6.7%
- Individual clients
- 252reported
- HNW clients
- 33reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 678reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $25.7M for 127 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 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 |
|---|---|---|---|---|
| C•••• S•••••••• | Powell, Oh | Sep 3, 2024 | 12 y | 2 |
| J•••• S••• R••• | Springboro, Oh | Aug 7, 2025 | 11 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months2 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount2 left over 36 months
Left, latest
- M•••••• D•••• J•••••••• to F••••• C•••••• A•••••••• L••Sep 1, 2026 · RIA to RIA
- B••• D••••• L••••• to F••••• C•••••• A•••••••• L••Sep 1, 2026 · RIA to RIA
Joined, latest
- C•••• S•••••••• from W•••• F•••• A•••••••Sep 3, 2024 · Wirehouse to independent RIA
- M•••••• D•••• J•••••••• from C••••• A••••••• L••Apr 26, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for F••••• C•••••• A•••••••• L••Sep 1, 2026 · Springboro, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••• L•••• · Managing Member/Investment Advisor Representativecontrolsince 03/2022 · owns 75% or more
- C••••••• G•••••• · Chief Compliance Officersince 02/2023 · owns less than 5%
Related persons
Schedule D 7.A
- A••• I•••••••• L••real estaten
- J•••••••• F•••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Springboro, Oh · principal | 2 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Columbus, OH1 employees
What changed
consecutive filings, newest first
- Accounts · 587 to 678Aug 26, 2025 to Mar 13, 2026
- HNW clients · 35 to 33Aug 26, 2025 to Mar 13, 2026
- Individual clients · 227 to 252Aug 26, 2025 to Mar 13, 2026
- Pension plan clients · unset to 2.0Aug 26, 2025 to Mar 13, 2026
- Assets in custody · $47.2M to $25.7MAug 26, 2025 to Mar 13, 2026
- Employees · 2 to 3Aug 26, 2025 to Mar 13, 2026
- Discretionary RAUM · $119M to $119MAug 26, 2025 to Mar 13, 2026
- HNW RAUM · $60.7M to $49.2MAug 26, 2025 to Mar 13, 2026
- Individual RAUM · $58.6M to $69.5MAug 26, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $0 to $8.5MAug 26, 2025 to Mar 13, 2026
- Pension RAUM · unset to 8501803.0Aug 26, 2025 to Mar 13, 2026
- RAUM · $119M to $127MAug 26, 2025 to Mar 13, 2026
- Advisory employees · 1 to 2Jun 13, 2025 to Aug 26, 2025
- Assets in custody · unset to 47215116.0Jun 13, 2025 to Aug 26, 2025
- Custody of client assets · false to trueJun 13, 2025 to Aug 26, 2025
- State-registered IARs · 1 to 2Jun 13, 2025 to Aug 26, 2025
- Financial planning clients · 101-250 to 101-250Mar 20, 2025 to Jun 13, 2025
- Other offices · 1 to 2Mar 20, 2025 to Jun 13, 2025
- Accounts · 504 to 587Nov 20, 2024 to Mar 20, 2025
- Advisory employees · 3 to 1Nov 20, 2024 to Mar 20, 2025
- HNW clients · 36 to 35Nov 20, 2024 to Mar 20, 2025
- Individual clients · 181 to 227Nov 20, 2024 to Mar 20, 2025
- Employees · 3 to 2Nov 20, 2024 to Mar 20, 2025
- State-registered IARs · 3 to 1Nov 20, 2024 to Mar 20, 2025
- Discretionary RAUM · $129M to $119MNov 20, 2024 to Mar 20, 2025
- HNW RAUM · $67.1M to $60.7MNov 20, 2024 to Mar 20, 2025
- Individual RAUM · $62.2M to $58.6MNov 20, 2024 to Mar 20, 2025
- RAUM · $129M to $119MNov 20, 2024 to Mar 20, 2025
- Other offices · 0 to 1Sep 9, 2024 to Nov 20, 2024
- Accounts · 451 to 504Aug 10, 2023 to Mar 25, 2024
- Advisory employees · 2 to 3Aug 10, 2023 to Mar 25, 2024
- HNW clients · 27 to 36Aug 10, 2023 to Mar 25, 2024
- Individual clients · 169 to 181Aug 10, 2023 to Mar 25, 2024
- Employees · 2 to 3Aug 10, 2023 to Mar 25, 2024
- Financial planning clients · 0 to 101-250Aug 10, 2023 to Mar 25, 2024
- State-registered IARs · 2 to 3Aug 10, 2023 to Mar 25, 2024
- Discretionary RAUM · $113M to $129MAug 10, 2023 to Mar 25, 2024
- HNW RAUM · $63.1M to $67.1MAug 10, 2023 to Mar 25, 2024
- Individual RAUM · $49.8M to $62.2MAug 10, 2023 to Mar 25, 2024
- RAUM · $113M to $129MAug 10, 2023 to Mar 25, 2024
Signals
4 dated events
- B••• D••••• L••••• left A••• P••••••• • W••••• for F••••• C•••••• A•••••••• L•• (registered 2026-09-01)Sep 1, 2026 · Advisor changed firm · fact
- M•••••• D•••• J•••••••• left A••• P••••••• • W••••• for F••••• C•••••• A•••••••• L•• (registered 2026-09-01)Sep 1, 2026 · Advisor changed firm · fact
- 2 advisors left A••• P••••••• • W••••• (Springboro, OH) for F••••• C•••••• A•••••••• L•• on the same daySep 1, 2026 · Team lift-out · derived
- A••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 22, 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•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 937-291-2060reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/axim-planning-wealthreportedpublic record, Form ADV, Sep 19, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 937-291-2060reportedpublic record, Form ADV, Jul 16, 2026
- Team page
- a•••••••••.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
- $63.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026