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

A••••• W••••• M••••••••• L••

Independent wealth managerLouisville, KentuckyCRD 339285SEC 801-135370websiteIAPD
Latest filing Apr 20, 2026
First filing on the tape Feb 25, 2026 · 2 filings
SEC status approved since Feb 27, 2026
RAUM
$358M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
93%
$331M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$358M as of Apr 20, 2026
Feb 25, 2026$358M then
HNW client RAUM$319M as of Apr 20, 2026
Feb 25, 2026$319M then
State-registered IARs (5.B.3)3 as of Apr 20, 2026
Feb 25, 20263 then
Employees (5.A)5 as of Apr 20, 2026
Feb 25, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 20, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$119MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
52derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$436,732derivedRAUM over accounts (5.F.2.f)
Discretionary
85%derivedof RAUM
Institutional
1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 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 assets, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$8.2M, 57 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months
1derivedhalf or more of a firm's advisors moved here within 14 days
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$319M89%
  • Corporations and businesses$20.7M5.8%
  • Individuals$12.1M3.4%
  • Pension and profit-sharing plans$5.2M1.5%
  • Charitable organizations$748,5710.2%
Individual clients
41reported
HNW clients
116reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
819reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$8.2M for 57 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.93 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C•••••• M••••••• R•••Louisville, KyMar 10, 202617 y2
B••• W•••••• H••••••Certified Financial PlannerLouisville, KyMar 10, 202610 y1
A•••••• L•••••• C•••••••••Louisville, KyMar 12, 202625 y4
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
    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
        • C••••••••• A••••••• L•••••• · Chief Compliance Officercontrol
          since 03/2025 · owns less than 5%
        • L•••••• N•••••••• S• · Member
          since 03/2025 · owns 10% to 25%
        • L•••••• V••••••• J• · Member
          since 03/2025 · owns 10% to 25%
        • M••••••••• J•••••• P• · Member
          since 09/2025 · owns 10% to 25%
        Entity owners
        • A••••• C•••••• H•••••••• I••• · Managing Member
          direct · owns 75% or more
        Related persons
        Schedule D 7.A
        No related person reported.
        Office movement
        IAPD branch city; joins and departures in 12 months
        OfficeAdvisorsJoinedLeftTeams outForming
        Louisville, Ky · principal3301
        Offices
        Schedule D 1.F, the 25 largest
        No branch office listed.
        What changed
        consecutive filings, newest first
        One filing, no change to show.
        Signals
        1 dated events
        • A••••• W••••• M••••••••• I•••'s advisors moved to A••••• W••••• M••••••••• L•• (Louisville, KY): 3 of 3 registered, on the same day
          Mar 31, 2026 · Firm absorbed (people side) · 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
        Business phone
        502-292-5800reportedpublished by the firm, firm site, Sep 15, 2026
        Business phone
        502-292-5500reportedpublished by the firm, firm site, Sep 15, 2026
        Firm profile
        linkedin.com/company10657558reportedpublic record, Form ADV, Sep 18, 2026
        Website
        accesswm.comreportedpublic record, Form ADV, Sep 18, 2026
        Principal office phone
        502-292-5500reportedpublic record, Form ADV, Apr 20, 2026
        Contact form
        accesswm.com/about/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
        Team page
        accesswm.com/about/meet-our-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
        $119Mderivedfirm RAUM over the IAPD count; not a book size
        Loaded
        Sep 14, 2026