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
G••••• F•••••••• G••••• L••
Latest filing Aug 21, 2026
First filing on the tape Dec 18, 2025 · 4 filings
SEC status approved since Jan 30, 2026
RAUM
$121M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$120M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$60.6M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$121M as of Aug 21, 2026
Dec 18, 2025$0 then
HNW client RAUM$97.7M as of Aug 21, 2026
May 29, 2026$97.7M then
State-registered IARs (5.B.3)2 as of Aug 21, 2026
Dec 18, 20252 then
Employees (5.A)4 as of Aug 21, 2026
Dec 18, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 21, 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
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $60.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $500,539derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $121MreportedItem 5.I
- 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
- High-net-worth individuals$97.7M81%
- Individuals$21.8M18%
- Pension and profit-sharing plans$1.6M1.3%
- Individual clients
- 65reported
- HNW clients
- 38reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 242reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 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
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• M• G••••• | Dayton, Oh | Feb 2, 2026 | 15 y | 3 |
| A•••••• M•••• S•••••Certified Financial Planner | Dayton, Oh | Feb 2, 2026 | 12 y | 1 |
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
Joined, latest
- D••••• M• G••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 2, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- A•••••• M•••• S••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 2, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 6, 2026 · Centerville, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• D•••••• M• · Founder, Chief Executive Officer, And Chief Compliance Officercontrolsince 12/2025 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dayton, Oh · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 21, 2026wrap fee program participation (Item 5.I): no on the filing of 2026-05-29, yes on the filing of 2026-08-21peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Wrap assets (manager) · unset to 0.0May 29, 2026 to Aug 21, 2026
- Wrap assets (sponsor) · unset to 0.0May 29, 2026 to Aug 21, 2026
- Accounts · 0 to 242Feb 2, 2026 to May 29, 2026
- HNW clients · unset to 38.0Feb 2, 2026 to May 29, 2026
- Individual clients · unset to 65.0Feb 2, 2026 to May 29, 2026
- Employees · 3 to 4Feb 2, 2026 to May 29, 2026
- Discretionary RAUM · $0 to $121MFeb 2, 2026 to May 29, 2026
- HNW RAUM · unset to 97704639.0Feb 2, 2026 to May 29, 2026
- Individual RAUM · unset to 21829631.0Feb 2, 2026 to May 29, 2026
- Non-discretionary RAUM · $0 to $210,768Feb 2, 2026 to May 29, 2026
- Pension RAUM · unset to 1596151.0Feb 2, 2026 to May 29, 2026
- RAUM · $0 to $121MFeb 2, 2026 to May 29, 2026
Signals
1 dated events
- 2 advisors left Cambridge Investment Research Advisors, Inc. (Centerville, OH) for Gudorf Financial Group, LLC on the same dayFeb 6, 2026 · Team lift-out · 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
- 937-898-5430reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/gudorf-financial-group-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- gudorffinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (937) 898-5430reportedpublic record, Form ADV, Aug 21, 2026
- Contact form
- gudorffinancial.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- gudorffinancial.com/about/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
- $60.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026