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
J••••• W••••• M•••••••••
Legal name J••••• W••••• M••••••••• I•••
Latest filing Sep 18, 2026
First filing on the tape Nov 15, 2022 · 15 filings
SEC status approved since Dec 15, 2022
RAUM
$360M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$352M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$51.5M
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$360M as of May 18, 2026
Feb 21, 2023$210M then
HNW client RAUM$248M as of May 18, 2026
Feb 21, 2023$101M then
State-registered IARs (5.B.3)7 as of May 18, 2026
Feb 21, 20235 then
Employees (5.A)12 as of May 18, 2026
Feb 21, 202311 then
Private funds: no history
RAUM +21% over the last fiscal year+20% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Sep 18, 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
- $51.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $393,217derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $79.2M, 66 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$248M69%
- Individuals$103M29%
- Corporations and businesses$5.4M1.5%
- Charitable organizations$2.8M0.8%
- Individual clients
- 312reported
- HNW clients
- 88reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 916reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $360M managedreported
- Custody of client assets
- $79.2M for 66 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• D•••• C•••••Certified Financial Planner | Dayton, Oh | Jan 4, 2023 | 11 y | 1 |
| M•••••• C• J••••• | Dayton, Oh | Jan 4, 2023 | 21 y | 3 |
| M••• J••••• M•••••• | Dayton, Oh | Jan 5, 2023 | 11 y | 1 |
| T••••• L•••••••• | Dayton, Oh | Jan 5, 2023 | 10 y | 1 |
| N••••••• S• W••••••• | Dayton, Oh | Jan 5, 2023 | 11 y | 1 |
| J••• M•••••• | Dayton, Oh | Jul 24, 2024 | 12 y | 0 |
| B••••••• M•••••• | Dayton, Oh | Aug 5, 2025 | 11 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
none on the tape
Joined, latest
- M••• J••••• M•••••• from C••••••••• F•••••••• N••••••Jan 5, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- N••••••• S• W••••••• from C••••••••• F•••••••• N••••••Jan 5, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- T••••• L•••••••• from C••••••••• F•••••••• N••••••Jan 5, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• C• J••••• from C••••••••• F•••••••• N••••••Jan 4, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- A•••• D•••• C••••• from C••••••••• F•••••••• N••••••Jan 4, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from C••••••••• F•••••••• N••••••Jan 3, 2023 · Dayton, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••• M••••••• C• · Ceo, Cco, Managing Partnercontrolsince 11/2009 · owns 50% to 75%
- M••••••• M•••• J••••• · Cio, Managing Partnercontrolsince 09/2015 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Dayton, Oh · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Kenwood, OH4 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Apr 29, 2026accounts (Item 5.F.2.f) moved from 403.0 to 916.0 (+127.0%) between the annual amendments of 2025-03-11 and 2026-04-29; the peer median change was +5.0% (3686 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 98% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10May 18, 2026 to Sep 18, 2026
- Related adviser · false to unsetMay 18, 2026 to Sep 18, 2026
- Related bank · false to unsetMay 18, 2026 to Sep 18, 2026
- Related broker-dealer · false to unsetMay 18, 2026 to Sep 18, 2026
- Related insurance company · false to unsetMay 18, 2026 to Sep 18, 2026
- Succession · false to unsetMay 18, 2026 to Sep 18, 2026
- Accounts · 403 to 916Sep 3, 2025 to Mar 31, 2026
- Advisory employees · 4 to 7Sep 3, 2025 to Mar 31, 2026
- Charity clients · unset to 3.0Sep 3, 2025 to Mar 31, 2026
- Corporate clients · 5 to 8Sep 3, 2025 to Mar 31, 2026
- HNW clients · 68 to 88Sep 3, 2025 to Mar 31, 2026
- Individual clients · 328 to 312Sep 3, 2025 to Mar 31, 2026
- Assets in custody · $46.6M to $79.2MSep 3, 2025 to Mar 31, 2026
- State-registered IARs · 6 to 7Sep 3, 2025 to Mar 31, 2026
- Discretionary RAUM · $298M to $360MSep 3, 2025 to Mar 31, 2026
- HNW RAUM · $186M to $248MSep 3, 2025 to Mar 31, 2026
- Individual RAUM · $108M to $103MSep 3, 2025 to Mar 31, 2026
- RAUM · $298M to $360MSep 3, 2025 to Mar 31, 2026
- Wrap assets (manager) · $298M to $360MSep 3, 2025 to Mar 31, 2026
- Wrap assets (manager) · unset to 298454853.0Mar 11, 2025 to Sep 3, 2025
- Wrap assets (sponsor) · unset to 0.0Mar 11, 2025 to Sep 3, 2025
- Accounts · 387 to 403Dec 16, 2024 to Mar 11, 2025
- Corporate clients · 6 to 5Dec 16, 2024 to Mar 11, 2025
- HNW clients · 60 to 68Dec 16, 2024 to Mar 11, 2025
- Individual clients · 325 to 328Dec 16, 2024 to Mar 11, 2025
- Assets in custody · $46.9M to $46.6MDec 16, 2024 to Mar 11, 2025
- Employees · 10 to 12Dec 16, 2024 to Mar 11, 2025
- Financial planning clients · 1-10 to 1-10Dec 16, 2024 to Mar 11, 2025
- State-registered IARs · 4 to 6Dec 16, 2024 to Mar 11, 2025
- Discretionary RAUM · $261M to $298MDec 16, 2024 to Mar 11, 2025
- HNW RAUM · $151M to $186MDec 16, 2024 to Mar 11, 2025
- Individual RAUM · $107M to $108MDec 16, 2024 to Mar 11, 2025
- RAUM · $261M to $298MDec 16, 2024 to Mar 11, 2025
- Accounts · 415 to 387Sep 21, 2023 to Feb 20, 2024
- Advisory employees · 5 to 4Sep 21, 2023 to Feb 20, 2024
- Corporate clients · 9 to 6Sep 21, 2023 to Feb 20, 2024
- HNW clients · 40 to 60Sep 21, 2023 to Feb 20, 2024
- Individual clients · 364 to 325Sep 21, 2023 to Feb 20, 2024
- Assets in custody · $37.4M to $46.9MSep 21, 2023 to Feb 20, 2024
- Custody of client assets · false to trueSep 21, 2023 to Feb 20, 2024
Signals
2 dated events
- 5 advisors left C••••••••• F•••••••• N•••••• (Dayton, OH) for J••••• W••••• M••••••••• a day apartJan 3, 2023 · Team lift-out · derived
- J••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Nov 15, 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
- Principal office phone
- (937) 938-9105reportedpublic record, Form ADV, Sep 18, 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
- $51.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026