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
K••••• I••••••••• L••
Latest filing Jul 20, 2026
First filing on the tape Oct 2, 2023 · 10 filings
SEC status approved since Mar 4, 2024
RAUM
$113M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$14.1M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$113M as of Jul 20, 2026
Mar 1, 2024$571M then
HNW client RAUM$294M as of Feb 13, 2026
Mar 1, 2024$231M then
State-registered IARs (5.B.3)1 as of Jul 20, 2026
Mar 1, 20248 then
Employees (5.A)3 as of Jul 20, 2026
Mar 1, 202420 then
Private funds: no history
RAUM -82% over the last fiscal yearIARs 8 to 1
Practice profile
derived from the filing of Jul 20, 2026; every figure names its basis
- RAUM per advisor
- $14.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $113MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.4derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -82%derivedbetween the last two annual amendments
- Advisor growth, one year
- -75%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- Investment companies$113M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- T••• E••••• D••••• from C••••••••• F•••••••• N••••••Dec 21, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- W••••• W•••• B••• from C••••••••• F•••••••• N••••••Dec 21, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• B• C•• from C••••••••• F•••••••• N••••••Dec 21, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- M••• R••••• F••••• from C••••••••• F•••••••• N••••••Dec 21, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- R••• E•••• M•••••••• from C••••••••• F•••••••• N••••••Dec 21, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••• M••••••• C•••••• from C••••••••• F•••••••• N••••••Dec 21, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••••• W••• L••••••• from C••••••••• F•••••••• N••••••Dec 21, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- Q•••• M•••••••• from C••••••••• F•••••••• N••••••Dec 21, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 8 joined from C••••••••• F•••••••• N••••••Dec 31, 2023 · Marysville, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• W•••••• W•••• · Chief Investment Officercontrolsince 10/2023 · owns less than 5%
- C••••••• M••••• M••••••• · Advisorcontrolsince 01/2021 · owns 10% to 25%
- C••• J••••• B• · Chief Executive Officercontrolsince 01/2021 · owns 50% to 75%
- D•••••• T•••• E••••• · Chief Operating Officercontrolsince 10/2023 · owns less than 5%
- F•••••• M•••• R••••• · Chief Compliance Officercontrolsince 01/2021 · owns 10% to 25%
- M••••••••• R•••• E•••• · Advisorcontrolsince 01/2021 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Marysville, Oh · principal | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jul 20, 2026financial planning (Item 5.G.1): yes on the filing of 2026-03-31, no on the filing of 2026-07-20peers: asset managers, $100M to $500M (1,567)
- compensation changedChange between filings · filing Jul 20, 2026hourly charges (Item 5.E.2): yes on the filing of 2026-03-31, no on the filing of 2026-07-20peers: asset managers, $100M to $500M (1,567)
- account count collapseChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 2,156.0 to 1.0 (-100.0%) between the annual amendments of 2025-03-05 and 2026-03-31; the peer median change was +4.0% (21 comparable advisers, 0.0th percentile of changes)peers: asset managers, $100M to $500M (21) · 0.0% percentile
- advisor count dropChange between filings · filing Mar 31, 2026advisory representatives (Item 5.B.3) moved from 8.0 to 2.0 (-75.0%) between the annual amendments of 2025-03-05 and 2026-03-31; the peer median change was 0.0% (24 comparable advisers, 4.0th percentile of changes)peers: asset managers, $100M to $500M (24) · 4.3% percentile
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 99.0% to 0.0% between the annual amendments of 2025-03-05 and 2026-03-31peers: asset managers, $100M to $500M (1,567)
- RAUM down 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $641,806,550 to $112,850,000 (-82.0%) between the annual amendments of 2025-03-05 and 2026-03-31; the peer median change was +4.0% (1148 comparable advisers, 1.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 0.6% percentile
What changed
consecutive filings, newest first
- Advisory activities · 5 to 1Mar 31, 2026 to Jul 20, 2026
- Business name · M••••••• • C•• R••••••••• • E••••• S••••••••• L•• to K••••• I••••••••• L••Mar 31, 2026 to Jul 20, 2026
- Employees · 20 to 3Mar 31, 2026 to Jul 20, 2026
- Insurance-licensed employees · 0 to 1Mar 31, 2026 to Jul 20, 2026
- Financial planning clients · More than 500 to Mar 31, 2026 to Jul 20, 2026
- State-registered IARs · 2 to 1Mar 31, 2026 to Jul 20, 2026
- Legal name · M••••••• • C•• R••••••••• • E••••• S••••••••• L•• to K••••• I••••••••• L••Mar 31, 2026 to Jul 20, 2026
- Related adviser · false to trueMar 31, 2026 to Jul 20, 2026
- Accounts · 2,156 to 1Feb 13, 2026 to Mar 31, 2026
- Advisory employees · 8 to 2Feb 13, 2026 to Mar 31, 2026
- Charity clients · 2.0 to unsetFeb 13, 2026 to Mar 31, 2026
- Corporate clients · 5.0 to unsetFeb 13, 2026 to Mar 31, 2026
- HNW clients · 177.0 to unsetFeb 13, 2026 to Mar 31, 2026
- Individual clients · 784.0 to unsetFeb 13, 2026 to Mar 31, 2026
- Pension plan clients · 2.0 to unsetFeb 13, 2026 to Mar 31, 2026
- Assets in custody · 17873991.0 to unsetFeb 13, 2026 to Mar 31, 2026
- Custody of client assets · true to falseFeb 13, 2026 to Mar 31, 2026
- State-registered IARs · 8 to 2Feb 13, 2026 to Mar 31, 2026
- Discretionary RAUM · $642M to $113MFeb 13, 2026 to Mar 31, 2026
- HNW RAUM · 294431369.0 to unsetFeb 13, 2026 to Mar 31, 2026
- Individual RAUM · 343029575.0 to unsetFeb 13, 2026 to Mar 31, 2026
- Pension RAUM · 1212943.0 to unsetFeb 13, 2026 to Mar 31, 2026
- RAUM · $642M to $113MFeb 13, 2026 to Mar 31, 2026
- Wrap assets (manager) · 641806550.0 to unsetFeb 13, 2026 to Mar 31, 2026
- Wrap assets (sponsor) · 0.0 to unsetFeb 13, 2026 to Mar 31, 2026
- Wrap assets (manager) · unset to 641806550.0Mar 5, 2025 to Oct 29, 2025
- Wrap assets (sponsor) · unset to 0.0Mar 5, 2025 to Oct 29, 2025
- Accounts · 2,004 to 2,156Dec 19, 2024 to Mar 5, 2025
- Advisory activities · 4 to 5Dec 19, 2024 to Mar 5, 2025
- Charity clients · unset to 2.0Dec 19, 2024 to Mar 5, 2025
- HNW clients · 146 to 177Dec 19, 2024 to Mar 5, 2025
- Individual clients · 792 to 784Dec 19, 2024 to Mar 5, 2025
- Assets in custody · $11.1M to $17.9MDec 19, 2024 to Mar 5, 2025
- Financial planning clients · More than 500 to More than 500Dec 19, 2024 to Mar 5, 2025
- Other offices · 0 to 1Dec 19, 2024 to Mar 5, 2025
- Discretionary RAUM · $571M to $642MDec 19, 2024 to Mar 5, 2025
- HNW RAUM · $231M to $294MDec 19, 2024 to Mar 5, 2025
- Individual RAUM · $337M to $343MDec 19, 2024 to Mar 5, 2025
- Pension RAUM · $875,574 to $1.2MDec 19, 2024 to Mar 5, 2025
- RAUM · $571M to $642MDec 19, 2024 to Mar 5, 2025
Signals
5 dated events
- K••••• I••••••••• L•• reported RAUM $112.8M, down 82% from $641.8M (2026-02-13 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Edwin Ryan M•••••••• (Advisor) appeared on Schedule A of K••••• I••••••••• L••Dec 19, 2024 · Control person joined · fact
- Allen Thomas Mccarthy (Owner) no longer on Schedule A of K••••• I••••••••• L•• (listed 2023-10-02, absent 2024-02-05)Feb 5, 2024 · Control person left · inference
- 8 advisors left C••••••••• F•••••••• N•••••• (Marysville, OH) for K••••• I••••••••• L•• on the same dayDec 31, 2023 · Team lift-out · derived
- M••••••• • C•• R••••••••• • E••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Oct 2, 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
- Firm profile
- linkedin.com/company/mccarthy-coxreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/yellow-finch-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 937-644-0351reportedpublic record, Form ADV, Jul 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $14.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026