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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

A•• P•••••• W•••••• L••

Independent wealth managerCincinnati, OhioCRD 336183SEC 801-136365websiteIAPD
Latest filing Sep 17, 2026
First filing on the tape May 22, 2025 · 5 filings
SEC status approved since Jun 23, 2026
RAUM
$280M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$273M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$70.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$280M as of Aug 26, 2026
May 22, 2025$0 then
HNW client RAUM$272M as of Aug 26, 2026
Jun 9, 2026$272M then
State-registered IARs (5.B.3)2 as of Aug 26, 2026
May 22, 20252 then
Employees (5.A)2 as of Aug 26, 2026
May 22, 20252 then
Private funds: no history
Practice profile
derived from the filing of Sep 17, 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
$70.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
16derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.5MderivedHNW RAUM over HNW clients
Average account
$528,247derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$272M97%
  • Corporations and businesses$3.6M1.3%
  • Pension and profit-sharing plans$3.6M1.3%
  • Individuals$1.1M0.4%
Individual clients
2reported
HNW clients
61reported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
530reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
L••• B•••••• F••••••Certified Financial PlannerCincinnati, OhMar 9, 202611 y1
C•••••• N••••••• K•••Cincinnati, OhJul 15, 202630 y4
Advisor movement
0 left, 2 joined in 12 months
net +2 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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• R•••• E••••• · Managing Member And Ccocontrol
        since 02/2025 · owns less than 5%
      Entity owners
      • S•••• C••••••• L•• · Shareholder
        direct · owns 75% or more
      • M••• F•••••••• C••••••••• L•• · Shareholder
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Cincinnati, Oh · principal440
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · to unset
        Aug 26, 2026 to Sep 17, 2026
      • Succession · false to unset
        Aug 26, 2026 to Sep 17, 2026
      • Accounts · 0 to 530
        May 22, 2025 to Jun 9, 2026
      • HNW clients · unset to 61.0
        May 22, 2025 to Jun 9, 2026
      • Individual clients · unset to 2.0
        May 22, 2025 to Jun 9, 2026
      • Pension plan clients · unset to 2.0
        May 22, 2025 to Jun 9, 2026
      • Discretionary RAUM · $0 to $280M
        May 22, 2025 to Jun 9, 2026
      • HNW RAUM · unset to 271641946.0
        May 22, 2025 to Jun 9, 2026
      • Individual RAUM · unset to 1101873.0
        May 22, 2025 to Jun 9, 2026
      • Pension RAUM · unset to 3597603.0
        May 22, 2025 to Jun 9, 2026
      • RAUM · $0 to $280M
        May 22, 2025 to Jun 9, 2026
      Signals
      2 dated events
      • 2 advisors left T•••••• W••••• M••••••••• L•• (Cincinnati, OH) for A•• P•••••• W•••••• L•• on the same day
        Jul 6, 2026 · Team lift-out · derived
      • A•• P•••••• W•••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02)
        Dec 20, 2025 · Left the SEC roster · derived
      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
      a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      513-488-1600reportedpublic record, Form ADV, Sep 17, 2026
      Team page
      argpw.com/teamreportedpublished by the firm, firm site, Sep 15, 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
      $70.0Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026