DFX Intelligence

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B••• C••• W•••••• I•••

Independent wealth managerSEC-registered· Hillsboro, Ohiowebsite

Independent wealth manager, based in Hillsboro, Ohio, reporting $163M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-02-20 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $163M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +8.3%
Private clients: 90%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-02-20 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 20 Feb 2026, 1 control person joined and 1 left Schedule A in the last 12 months.

Every filed figure, and the identifiersCRD 326354 · SEC 801-128174 · 8 filingsShow

CRD 326354SEC 801-128174First filing on the tape May 17, 2023, latest Feb 20, 2026SEC status approved since Jun 16, 2023IAPD

RAUM

$163M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

90%

$147M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$163M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM +8.3% over the last fiscal year · the tape starts May 17, 2023

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$163M as of Feb 20, 2026

Jan 30, 2024$137M then

HNW client RAUM$82.0M as of Feb 20, 2026

Jan 30, 2024$66.8M then

State-registered IARs (5.B.3)1 as of Feb 20, 2026

Jan 30, 20242 then

Employees (5.A)2 as of Feb 20, 2026

Jan 30, 20243 then

Private funds: no history

RAUM +8.3% over the last fiscal yearIARs 2 to 1

Practice profile

derived from the filing of Feb 20, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $163MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 337derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.5MderivedHNW RAUM over HNW clients
Average account: $207,010derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +8.3%derivedbetween the last two annual amendments
Advisor growth, one year: -50%derivedItem 5.B.3 between annual amendments
Client growth, one year: -3.4%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, publicationsreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

50% high-net-worth individuals, 40% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$82.0M50%
Individuals$65.3M40%
Corporations and businesses$9.9M6.1%
Pension and profit-sharing plans$6.0M3.7%

Individual clients: 304reported
HNW clients: 33reported
Pension plan clients: 1reported
Charitable clients: n/areported
Accounts: 789reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 90% private clients, 0% pooled funds, 4% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

R•••••• A••• C•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Oct 17, 2023 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
R•••••• A••• C••••••Certified Financial Planner	Hillsboro, Oh	Oct 17, 2023	14 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

O•••••• R•••• C••••• · Presidentcontrol
since 04/2023 · owns 75% or more
Y••••• D•••••• M••••••• · Chief Compliance Officercontrol
since 04/2023 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

account count surgeChange between filings · filing Feb 20, 2026
accounts (Item 5.F.2.f) moved from 354.0 to 789.0 (+123.0%) between the annual amendments of 2025-03-20 and 2026-02-20; the peer median change was +5.0% (3683 comparable advisers, 98.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (3,683) · 98% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 354 to 789
Mar 20, 2025 to Jan 15, 2026
Advisory employees · 2 to 1
Mar 20, 2025 to Jan 15, 2026
Business name · O••••• C•••••• M••••••••• to B••• C••• W•••••• I•••
Mar 20, 2025 to Jan 15, 2026
Charity clients · 4.0 to unset
Mar 20, 2025 to Jan 15, 2026
Corporate clients · unset to 9.0
Mar 20, 2025 to Jan 15, 2026

Full history · 48 changes

Individual clients · 316 to 304
Mar 20, 2025 to Jan 15, 2026
Employees · 3 to 2
Mar 20, 2025 to Jan 15, 2026
State-registered IARs · 2 to 1
Mar 20, 2025 to Jan 15, 2026
Legal name · O••••• C•••••• M••••••••• to B••• C••• W•••••• I•••
Mar 20, 2025 to Jan 15, 2026
Discretionary RAUM · $151M to $163M
Mar 20, 2025 to Jan 15, 2026
HNW RAUM · $74.2M to $82.0M
Mar 20, 2025 to Jan 15, 2026
Individual RAUM · $71.7M to $65.3M
Mar 20, 2025 to Jan 15, 2026
Pension RAUM · $4.2M to $6.0M
Mar 20, 2025 to Jan 15, 2026
RAUM · $151M to $163M
Mar 20, 2025 to Jan 15, 2026
Accounts · 344 to 354
Feb 5, 2025 to Mar 20, 2025
Charity clients · unset to 4.0
Feb 5, 2025 to Mar 20, 2025
HNW clients · 28 to 33
Feb 5, 2025 to Mar 20, 2025
Individual clients · 315 to 316
Feb 5, 2025 to Mar 20, 2025
Financial planning clients · 251-500 to 251-500
Feb 5, 2025 to Mar 20, 2025
Discretionary RAUM · $137M to $151M
Feb 5, 2025 to Mar 20, 2025
HNW RAUM · $66.8M to $74.2M
Feb 5, 2025 to Mar 20, 2025
Individual RAUM · $67.0M to $71.7M
Feb 5, 2025 to Mar 20, 2025
Pension RAUM · $2.8M to $4.2M
Feb 5, 2025 to Mar 20, 2025
RAUM · $137M to $151M
Feb 5, 2025 to Mar 20, 2025
Assets in custody · 104225.0 to unset
Jan 30, 2024 to Feb 5, 2025
Custody of client assets · true to false
Jan 30, 2024 to Feb 5, 2025
Accounts · 642 to 344
Sep 27, 2023 to Jan 30, 2024
HNW clients · 24 to 28
Sep 27, 2023 to Jan 30, 2024
Individual clients · 290 to 315
Sep 27, 2023 to Jan 30, 2024
Pension plan clients · unset to 1.0
Sep 27, 2023 to Jan 30, 2024
Assets in custody · $154,000 to $104,225
Sep 27, 2023 to Jan 30, 2024
Financial planning clients · 0 to 251-500
Sep 27, 2023 to Jan 30, 2024
Discretionary RAUM · $101M to $137M
Sep 27, 2023 to Jan 30, 2024
HNW RAUM · $58.7M to $66.8M
Sep 27, 2023 to Jan 30, 2024
Individual RAUM · $62.7M to $67.0M
Sep 27, 2023 to Jan 30, 2024
Non-discretionary RAUM · $20.4M to $0
Sep 27, 2023 to Jan 30, 2024
Pension RAUM · unset to 2800000.0
Sep 27, 2023 to Jan 30, 2024
RAUM · $121M to $137M
Sep 27, 2023 to Jan 30, 2024
Assets in custody · unset to 154000.0
Jul 11, 2023 to Sep 27, 2023
Custody of client assets · false to true
Jul 11, 2023 to Sep 27, 2023
Accounts · 0 to 642
May 17, 2023 to Jul 11, 2023
HNW clients · unset to 24.0
May 17, 2023 to Jul 11, 2023
Individual clients · unset to 290.0
May 17, 2023 to Jul 11, 2023
Discretionary RAUM · $0 to $101M
May 17, 2023 to Jul 11, 2023
HNW RAUM · unset to 58674070.0
May 17, 2023 to Jul 11, 2023
Individual RAUM · unset to 62741275.0
May 17, 2023 to Jul 11, 2023
Non-discretionary RAUM · $0 to $20.4M
May 17, 2023 to Jul 11, 2023
RAUM · $0 to $121M
May 17, 2023 to Jul 11, 2023

Signals

7 dated events

••• Locked
Feb 20, 2026 · ria principal change · fact
••• Locked
Feb 20, 2026 · ria majority owner change · fact
••• Locked
Feb 20, 2026 · ria majority owner change · derived
••• Locked
Feb 20, 2026 · Control person joined · fact
••• Locked
Feb 20, 2026 · ria principal change · derived

Full timeline · 7 events

••• Locked
Feb 20, 2026 · Control person left · inference
••• Locked
May 17, 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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Feb 20, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 20, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $163Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026