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.
SEC-registered adviser
United Advisor Group
Legal name United Advisor Group, LLC
Latest filing Apr 20, 2026
First filing on the tape Nov 22, 2022 · 31 filings
SEC status approved since Jan 5, 2023
RAUM
$1.4B
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
96%
$1.4B individuals and HNW
Advisors
55
registered through the firm on IAPD
RAUM per advisor
$25.9M
derived; firm RAUM over IAPD count
Employees
69
51 advisory (5.B.1)
Offices
32
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.4B as of Apr 20, 2026
Mar 28, 2024$579M then
HNW client RAUM$690M as of Apr 20, 2026
Mar 28, 2024$191M then
State-registered IARs (5.B.3)51 as of Apr 20, 2026
Mar 28, 202428 then
Employees (5.A)69 as of Apr 20, 2026
Mar 28, 202435 then
Private funds: no history
RAUM +31% over the last fiscal yearIARs 43 to 51offices 23 to 32
Practice profile
derived from the filing of Apr 20, 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
- Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
- RAUM per advisor
- $25.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 116derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $499,131derivedHNW RAUM over HNW clients
- Average account
- $216,131derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.7derived33 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +19%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$690M48%
- Individuals$682M48%
- Corporations and businesses$31.4M2.2%
- Pension and profit-sharing plans$13.6M1.0%
- Charitable organizations$10.1M0.7%
- Individual clients
- 5,013reported
- HNW clients
- 1,382reported
- Pension plan clients
- 29reported
- Charitable clients
- 18reported
- Accounts
- 6,600reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=12.0derived
Advisors registered through the firm
53 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Raymond Steven Gettins | Cincinnati, Oh | Feb 3, 2023 | 28 y | 7 |
| Howard Edward Rightsell | Avon, In | Feb 10, 2023 | 42 y | 7 |
| Craig Michael Connolly | Cincinnati, Oh | Feb 10, 2023 | 29 y | 6 |
| Justin Dale Bates | Springfield, Mo | Feb 23, 2023 | 21 y | 1 |
| Stephen Dennis Taylor | Cincinnati, Oh | Feb 23, 2023 | 21 y | 4 |
| Brian William Yeakley | Miamisburg, Oh | Feb 23, 2023 | 20 y | 4 |
| Robert C Bove | Cincinnati, Oh | Mar 1, 2023 | 28 y | 5 |
| Aaron Michael Sloan | Cincinnati, Oh | Mar 1, 2023 | 14 y | 1 |
| Craig Joseph WrightCertified Financial Planner, Chartered Financial Consultant | Cincinnati, Oh | Mar 1, 2023 | 17 y | 1 |
| Stacy L Davis | Cincinnati, Oh | Mar 3, 2023 | 25 y | 8 |
| Aaron Jason Grahlman | Cincinnati, Oh | Mar 3, 2023 | 10 y | 1 |
| Michael Frenette Deschenes | Atlanta, Ga | Mar 8, 2023 | 11 y | 1 |
| John Robert CraneCertified Financial Planner | Olmsted Falls, Oh | Mar 14, 2023 | 27 y | 3 |
| Steven Derek Loveless | Frankfort, In | Mar 17, 2023 | 13 y | 2 |
| Kevin Michael Komar | Cincinnati, Oh | Mar 20, 2023 | 29 y | 2 |
| Robbie Gene BeuclerChartered Financial Consultant | Cincinnati, Oh | Mar 21, 2023 | 18 y | 1 |
| Victor Ledoux | Franklin, Tn | Jul 19, 2023 | 20 y | 3 |
| Jeremy Chad Ftacek | Cincinnati, Oh | Jul 25, 2023 | 25 y | 3 |
| Daniel Scott Libstorff | Cincinnati, Oh | Oct 27, 2023 | 11 y | 4 |
| Gary Lee WilliamsCertified Financial Planner | Union, Ky | Dec 4, 2023 | 39 y | 1 |
| James Aaron Justice | Cincinnati, Oh | Feb 6, 2024 | 14 y | 1 |
| Nicholas Cole Mcguire | Miamisburg, Oh | Feb 7, 2024 | 11 y | 0 |
| Jarom Talley Abel | Cincinnati, Oh | Apr 22, 2024 | 10 y | 1 |
| Dionicio H Trevino | Cincinnati, Oh | Jul 1, 2024 | 20 y | 1 |
| Simon Michel Joseph | Alexandria, Va | Aug 27, 2024 | 17 y | 6 |
| Kurt Clonts Castaneda | Cincinnati, Oh | Sep 10, 2024 | 19 y | 2 |
| Ryan Bennett Droeg | Cincinnati, Oh | Sep 26, 2024 | 23 y | 1 |
| Nathan Kim Sorensen | Safford, Az | Oct 16, 2024 | 21 y | 2 |
| Sydney Lynn Johnson | Safford, Az | Oct 16, 2024 | 21 y | 1 |
| Jeffrey Dale Brown | Mesa, Az | Oct 23, 2024 | 21 y | 6 |
| Christopher Michael TasikCertified Financial Planner | Franklin, Tn | Oct 28, 2024 | 21 y | 4 |
| Maegan Kathleen Bauman | Gilbert, Az | Oct 29, 2024 | 13 y | 1 |
| Nicholas Todd Kelch | Cincinnati, Oh | Dec 6, 2024 | 12 y | 0 |
| Cynthia J Pillard | College Grove, Tn | Dec 18, 2024 | 17 y | 4 |
| Andrew William Frevert | Franklin, Tn | Jan 24, 2025 | 24 y | 3 |
| Cameron Willis | Cincinnati, Oh | Jan 30, 2025 | 10 y | 0 |
| Craig LipniskisCertified Financial Planner | Cincinnati, Oh | Feb 7, 2025 | 22 y | 3 |
| Johnathan Michael Glen Converse | Mariposa, Ca | Mar 4, 2025 | 13 y | 1 |
| Larry Alan DietzChartered Financial Consultant | South Bend, In | Mar 18, 2025 | 39 y | 5 |
| Sheridan P Murphy | Cincinnati, Oh | Mar 26, 2025 | 13 y | 2 |
Advisor movement
1 left, 7 joined in 12 months
net +6 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 1.8% of current headcount1 left over 36 months
Left, latest
- Charles Howard Fitzpatrick to Silver Oak Securities, Inc.Dec 9, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- Jamey Carl Graham from United Planners' Financial Services Of America A Limited PartnerSep 10, 2026 · RIA to RIA
- Kellen Blaise Beard from Virtue Capital Management, LLCAug 28, 2026 · RIA to RIA
- Francisco Blas Salas from Ascentis Independent Advisors, LLCFeb 19, 2026 · RIA to RIA
- Nathaniel Jan Collier from Park Avenue Securities LLCJan 13, 2026 · Affiliated broker-dealer or bank to independent RIA
- Timothy Lee Garber from Stifel Independent Advisors, LLCDec 16, 2025 · Affiliated broker-dealer or bank to independent RIA
- Kathy Lynn Banyas from LPL Financial LLCDec 5, 2025 · Affiliated broker-dealer or bank to independent RIA
- Terrence Jude Heil from Gross Investments LLCOct 1, 2025 · Other
- Lydia C Stephens from Osaic Wealth, Inc.Aug 26, 2025 · Affiliated broker-dealer or bank to independent RIA
- Michael Wesley Corson from Thrivent Investment Management Inc.Jul 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- Joseph Zwemke from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 16, 2025 · Wirehouse to independent RIA
- Sheridan P Murphy from Cambridge Investment Research Advisors, Inc.Mar 26, 2025 · Affiliated broker-dealer or bank to independent RIA
- Larry Alan Dietz from LPL Financial LLCMar 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- Johnathan Michael Glen Converse from Global View Capital Management LLCMar 4, 2025 · RIA to RIA
- Craig Lipniskis from Private Advisor Group, LLCFeb 7, 2025 · Affiliated broker-dealer or bank to independent RIA
- Andrew William Frevert from Cambridge Investment Research Advisors, Inc.Jan 24, 2025 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Scf Investment Advisors, Inc.Oct 22, 2024 · Gilbert, Az
- 2 joined from Scf Investment Advisors, Inc.Oct 22, 2024 · San Diego, Ca
- 4 joined from Cambridge Investment Research Advisors, Inc.Jul 26, 2023 · Franklin, Tn
- 3 joined from Thurston Springer AdvisorsFeb 23, 2023 · Indianapolis, In
- 4 joined from Cambridge Investment Research Advisors, Inc.Feb 20, 2023 · Cincinnati, Oh
- 6 joined from On Investment Management CoFeb 16, 2023 · Springfield, Mo
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Steven Raymond Gettins · Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- Gene Robbie Beucler · Partnercontrolsince 03/2023 · owns F of Uag Enterprises, LLC
- Michael Craig Connolly · Partnercontrolsince 11/2022 · owns F of Uag Enterprises, LLC
- Robert John Crane · Partnercontrolsince 03/2023 · owns F of Uag Enterprises, LLC
- Chad Jeremy Ftacek · Partnercontrolsince 07/2023 · owns F of Uag Enterprises, LLC
- Michael Kevin Komar · Partnercontrolsince 11/2022 · owns F of Uag Enterprises, LLC
- Victor Ledoux · Partnercontrolsince 07/2023 · owns F of Uag Enterprises, LLC
- Derek Steven Loveless · Partnercontrolsince 03/2023 · owns F of Uag Enterprises, LLC
- P Sheridan Murphy · Partnercontrolsince 02/2023 · owns F of Uag Enterprises, LLC
- Gregory Charles Orcutt · Partnercontrolsince 02/2023 · owns F of Uag Enterprises, LLC
- Edward Howard Rightsell · Partnercontrolsince 11/2022 · owns F of Uag Enterprises, LLC
- Joseph Craig Wright · Partnercontrolsince 03/2023 · owns F of Uag Enterprises, LLC
- William Brian Yeakley · Partnercontrolsince 11/2022 · owns F of Uag Enterprises, LLC
Entity owners
- Uag Enterprises, LLC · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Bove-Connolly-Taylor Financialreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 55 | 12 | 1 | ||
| Springfield, Mo | 6 | 1 | 0 | ||
| Gilbert, Az | 5 | 1 | 0 | ||
| Franklin, Tn | 4 | 0 | 0 | ||
| Miamisburg, Oh | 3 | 0 | 0 | ||
| Alexandria, Va | 2 | 1 | 0 | ||
| Safford, Az | 2 | 0 | 0 | ||
| Fort Collins, Co | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Springfield, MO7 employees
- Franklin, TN4 employees
- Miamisburg, OH2 employees
- Gilbert, AZ2 employees
- Stafford, AZ2 employees
- Cincinnati, OH1 employees
- Cincinnati, OH1 employees
- Idaho Falls, ID1 employees
- Independence, OH1 employees
- Joliet, IL1 employees
- Liberty Twsp, OH1 employees
- Mesa, AZ1 employees
- Milford, OH1 employees
- Morrow, OH1 employees
- Myrtle Beach, SC1 employees
- Olmsted Falls, OH1 employees
- Alexandria, VA1 employees
- Union, KY1 employees
- Barigada Guam, HI1 employees
- Bloomington, IN1 employees
- Brighton, MI1 employees
- Castle Rock, CO1 employees
ADV anomalies
12 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 20, 2026RIGHTSELL, HOWARD, EDWARD (PARTNER) left Schedule A between the filings of 2024-03-28 and 2026-04-20peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 20, 2026CONNOLLY, CRAIG, MICHAEL (PARTNER) left Schedule A between the filings of 2024-03-28 and 2026-04-20peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 20, 2026ORCUTT, CHARLES, GREGORY (PARTNER) left Schedule A between the filings of 2024-03-28 and 2026-04-20peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 20, 2026CRANE, JOHN, ROBERT (PARTNER) left Schedule A between the filings of 2024-03-28 and 2026-04-20peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 20, 2026FTACEK, JEREMY, CHAD (PARTNER) left Schedule A between the filings of 2024-03-28 and 2026-04-20peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 20, 2026YEAKLEY, BRIAN, WILLIAM (PARTNER) left Schedule A between the filings of 2024-03-28 and 2026-04-20peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 20, 2026Ledoux, Victor (PARTNER) left Schedule A between the filings of 2024-03-28 and 2026-04-20peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 20, 2026KOMAR, KEVIN, MICHAEL (PARTNER) left Schedule A between the filings of 2024-03-28 and 2026-04-20peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 20, 2026BEUCLER, ROBBIE, GENE (PARTNER) left Schedule A between the filings of 2024-03-28 and 2026-04-20peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 20, 2026WRIGHT, CRAIG, JOSEPH (PARTNER) left Schedule A between the filings of 2024-03-28 and 2026-04-20peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 20, 2026Loveless, Steven, Derek (PARTNER) left Schedule A between the filings of 2024-03-28 and 2026-04-20peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Apr 20, 2026Murphy, Sheridan, P (PARTNER) left Schedule A between the filings of 2024-03-28 and 2026-04-20peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 5,875 to 6,600Feb 9, 2026 to Mar 31, 2026
- Advisory employees · 43 to 51Feb 9, 2026 to Mar 31, 2026
- BD registered reps · 11 to 12Feb 9, 2026 to Mar 31, 2026
- Charity clients · 21 to 18Feb 9, 2026 to Mar 31, 2026
- Corporate clients · 30 to 158Feb 9, 2026 to Mar 31, 2026
- HNW clients · 1,214 to 1,382Feb 9, 2026 to Mar 31, 2026
- Individual clients · 4,590 to 5,013Feb 9, 2026 to Mar 31, 2026
- Pension plan clients · 20 to 29Feb 9, 2026 to Mar 31, 2026
- Employees · 61 to 69Feb 9, 2026 to Mar 31, 2026
- Financial planning clients · 11-25 to 26-50Feb 9, 2026 to Mar 31, 2026
- State-registered IARs · 43 to 51Feb 9, 2026 to Mar 31, 2026
- Other offices · 29 to 32Feb 9, 2026 to Mar 31, 2026
- Discretionary RAUM · $998M to $1.3BFeb 9, 2026 to Mar 31, 2026
- HNW RAUM · $540M to $690MFeb 9, 2026 to Mar 31, 2026
- Individual RAUM · $515M to $682MFeb 9, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $93.4M to $115MFeb 9, 2026 to Mar 31, 2026
- Pension RAUM · $14.8M to $13.6MFeb 9, 2026 to Mar 31, 2026
- RAUM · $1.1B to $1.4BFeb 9, 2026 to Mar 31, 2026
- HQ city · to CINCINNATIAug 13, 2025 to Nov 26, 2025
- HQ state · to OHAug 13, 2025 to Nov 26, 2025
- Other offices · 26 to 29Aug 13, 2025 to Nov 26, 2025
- Other offices · 24 to 26May 14, 2025 to Aug 13, 2025
- Financial planning clients · 11-25 to 11-25Mar 31, 2025 to May 14, 2025
- Other offices · 23 to 24Mar 31, 2025 to May 14, 2025
- Accounts · 5,955 to 5,875Dec 16, 2024 to Mar 31, 2025
- Advisory employees · 28 to 43Dec 16, 2024 to Mar 31, 2025
- BD registered reps · 10 to 11Dec 16, 2024 to Mar 31, 2025
- Charity clients · 3 to 21Dec 16, 2024 to Mar 31, 2025
- Corporate clients · 6 to 30Dec 16, 2024 to Mar 31, 2025
- HNW clients · 31 to 1,214Dec 16, 2024 to Mar 31, 2025
- Individual clients · 2,820 to 4,590Dec 16, 2024 to Mar 31, 2025
- Pension plan clients · 29 to 20Dec 16, 2024 to Mar 31, 2025
- Employees · 35 to 61Dec 16, 2024 to Mar 31, 2025
- Insurance-licensed employees · 4 to 0Dec 16, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 11-25Dec 16, 2024 to Mar 31, 2025
- HQ city · unset to Dec 16, 2024 to Mar 31, 2025
- HQ state · unset to Dec 16, 2024 to Mar 31, 2025
- State-registered IARs · 28 to 43Dec 16, 2024 to Mar 31, 2025
- Other offices · 22 to 23Dec 16, 2024 to Mar 31, 2025
- Discretionary RAUM · $571M to $998MDec 16, 2024 to Mar 31, 2025
Signals
25 dated events
- United Advisor Group reported RAUM $1.4B, up 31% from $1.1B (2026-02-09 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Charles Howard Fitzpatrick left United Advisor Group for Silver Oak Securities, Inc. (registered 2025-12-05)Dec 9, 2025 · Advisor changed firm · fact
- United Advisor Group reported RAUM $1.1B, up 89% from $578.8M (2024-12-16 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- United Advisor Group reported 43 state-registered advisory representatives, up from 28 (2024-12-16 to 2025-03-31)Mar 31, 2025 · Advisor headcount change · derived
- 2 advisors left Scf Investment Advisors, Inc. (San Diego, CA) for United Advisor Group within 13 daysOct 22, 2024 · Team lift-out · derived
- 4 advisors left Scf Investment Advisors, Inc. (Safford, AZ) for United Advisor Group within 13 daysOct 22, 2024 · Team lift-out · derived
- United Advisor Group reported RAUM $578.8M, up 184% from $203.8M (2023-12-01 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Gene Robbie Beucler (Partner) appeared on Schedule A of United Advisor GroupMar 28, 2024 · Control person joined · fact
- P Sheridan Murphy (Partner) appeared on Schedule A of United Advisor GroupMar 28, 2024 · Control person joined · fact
- Robert John Crane (Partner) appeared on Schedule A of United Advisor GroupMar 28, 2024 · Control person joined · fact
- Gregory Charles Orcutt (Partner) appeared on Schedule A of United Advisor GroupMar 28, 2024 · Control person joined · fact
- Chad Jeremy Ftacek (Partner) appeared on Schedule A of United Advisor GroupMar 28, 2024 · Control person joined · fact
- Derek Steven Loveless (Partner) appeared on Schedule A of United Advisor GroupMar 28, 2024 · Control person joined · fact
- Victor Ledoux (Partner) appeared on Schedule A of United Advisor GroupMar 28, 2024 · Control person joined · fact
- Joseph Craig Wright (Partner) appeared on Schedule A of United Advisor GroupMar 28, 2024 · Control person joined · fact
- 4 advisors left Cambridge Investment Research Advisors, Inc. (Franklin, TN) for United Advisor Group a day apartJul 26, 2023 · Team lift-out · derived
- United Advisor Group reported 12 offices beyond its principal office, up from 3 (2023-05-02 to 2023-06-28)Jun 28, 2023 · Office count change · derived
- United Advisor Group reported 25 state-registered advisory representatives, up from 8 (2023-03-18 to 2023-03-28)Mar 28, 2023 · Advisor headcount change · derived
- William Brian Yeakley (Member) appeared on Schedule A of United Advisor GroupMar 18, 2023 · Control person joined · fact
- Edward Howard Rightsell (Member) appeared on Schedule A of United Advisor GroupMar 18, 2023 · Control person joined · fact
- Michael Kevin Komar (Member) appeared on Schedule A of United Advisor GroupMar 18, 2023 · Control person joined · fact
- 2 advisors left Thurston Springer Advisors (Indianapolis, IN) for United Advisor Group on the same dayFeb 23, 2023 · Team lift-out · derived
- 4 advisors left Cambridge Investment Research Advisors, Inc. (Cincinnati, OH) for United Advisor Group within 35 daysFeb 20, 2023 · Team lift-out · derived
- 6 advisors left ON Investment Management CO (Springfield, MO) for United Advisor Group within 14 daysFeb 16, 2023 · Team lift-out · derived
- United Advisor Group filed its initial SEC registration (Form ADV)Nov 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
- Website
- modwealthmethods.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 888-242-4912reportedpublic record, Form ADV, Apr 20, 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
- $25.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026