DFX Intelligence
Firms
SEC-registered investment advisers
One row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list. Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Strategic Planning, Inc. CRD 139648 | Columbus, OH | independent RIA | $377M | 100% | 1 | $377M | 0 | 0 |
| Kleinfelder Capital, Inc. CRD 289345 | Cincinnati, OH | independent RIA | $377M | 99% | 3 | $126M | 0 | 0 |
| Viking Partners Advisors CRD 321989 | Cincinnati, OH | asset manager | $375M | 0.0% | 0 | n/a | 0 | 9 |
| U•••• S•••••••• A••••••• CRD 340640 | Blue Ash, OH | independent RIA | $372M | 100% | 3 | $124M | 0 | 0 |
| W•••••• P•••••• W••••• CRD 125145 | Akron, OH | independent RIA | $371M | 89% | 2 | $186M | 2 | 0 |
| R•••• F••••••••• L•• CRD 168263 | Groveport, OH | independent RIA | $370M | 96% | 6 | $61.7M | 0 | 0 |
| R••••••• • A••••••••• CRD 107489 | Hudson, OH | independent RIA | $369M | 96% | 6 | $61.4M | 3 | 0 |
| C•••• C•••••• CRD 297666 | Toledo, OH | independent RIA | $364M | 95% | 7 | $52.0M | 0 | 0 |
| L•••••• W••••• P••••••• CRD 332827 | Dublin, OH | independent RIA | $363M | 100% | 4 | $90.7M | 1 | 0 |
| P•••••• F•••••••• A••••••••• L•• CRD 297538 | Akron, OH | independent RIA | $363M | 98% | 3 | $121M | 1 | 0 |
| J••••• W••••• M••••••••• CRD 323035 | Dayton, OH | independent RIA | $360M | 98% | 7 | $51.5M | 1 | 0 |
| A••••• W••••• P••••••• CRD 334909 | Youngstown, OH | independent RIA | $356M | 99% | 3 | $119M | 0 | 0 |
| F••••• D•••••••• W•••••• L•• CRD 306703 | Middleburg Heights, OH | independent RIA | $356M | 96% | 10 | $35.6M | 2 | 0 |
| E•• F••••••••• I••• CRD 120607 | Akron, OH | independent RIA | $349M | 100% | 9 | $38.7M | 1 | 0 |
| H•••• C•••••• M••••••••• L•• CRD 158609 | Columbus, OH | independent RIA | $345M | 100% | 4 | $86.2M | 1 | 0 |
| K•••••• W••••• A•••••••• L•• CRD 287571 | Cincinnati, OH | independent RIA | $344M | 92% | 4 | $86.0M | 0 | 0 |
| C••••••••• F•••••••• P••••••• C••• CRD 105143 | Cincinnati, OH | independent RIA | $343M | 99% | 4 | $85.8M | 0 | 0 |
| E••••• A•••• M••••••••• L•• CRD 156649 | Cincinnati, OH | independent RIA | $341M | 97% | 4 | $85.3M | 0 | 0 |
| E••••••• C•••••• M••••••••• L•• CRD 285463 | Cincinnati, OH | asset manager | $339M | 0.0% | 0 | n/a | 0 | 7 |
| E•••• F•••••••• G••••• I••• CRD 119873 | Westlake, OH | independent RIA | $332M | 100% | 2 | $166M | 0 | 0 |
| C•••••••• F•••••••• G••••• I••• CRD 112254 | Columbus, OH | independent RIA | $331M | 76% | 3 | $110M | 0 | 0 |
| S•••••••• E••••• P•••••••• L•• CRD 327455 | Columbus, OH | independent RIA | $331M | 100% | 34 | $9.7M | 14 | 0 |
| A•••••• F•••••••• G••••• L•• CRD 140643 | Oakwood, OH | independent RIA | $329M | 95% | 4 | $82.2M | 2 | 0 |
| A••••• C•••••• M••••••••• I••• CRD 108264 | Cincinnati, OH | independent RIA | $327M | 91% | 2 | $164M | 0 | 0 |
| B•••• F•••••••• A•••••••• L•• CRD 147056 | Milford, OH | independent RIA | $323M | 100% | 3 | $108M | 4 | 0 |
| K••••••• F•••••••• A••••••• L•• CRD 318885 | Lebanon, OH | independent RIA | $322M | 97% | 4 | $80.6M | 0 | 0 |
| S•••••• F•••••••• C•••••••• I••• CRD 121384 | Westerville, OH | independent RIA | $317M | 99% | 5 | $63.4M | 1 | 0 |
| H••••• I••••••••• M••••••••• L•• CRD 119880 | Cincinnati, OH | independent RIA | $314M | 92% | 28 | $11.2M | 20 | 0 |
| G••••••••• W•••••• L•• CRD 173352 | Cincinnati, OH | independent RIA | $308M | 100% | 2 | $154M | 0 | 0 |
| F••••• F••••••• I•• CRD 105190 | Columbus, OH | independent RIA | $305M | 100% | 2 | $152M | 0 | 0 |
| S••• I••••••••• M••••••••• L•• CRD 169491 | Cincinnati, OH | independent RIA | $305M | 98% | 6 | $50.8M | 1 | 0 |
| S••••• C•••••• M••••••••• I••• CRD 119902 | Bucyrus, OH | independent RIA | $300M | 97% | 3 | $100M | 0 | 0 |
| B••••••••• W••••• M••••••••• L•• CRD 304207 | Miami Township, OH | independent RIA | $300M | 96% | 5 | $60.0M | 1 | 0 |
| K••••••• • G••••••• W••••• P••••••• L•• CRD 159811 | Upper Arlington, OH | independent RIA | $299M | 100% | 2 | $150M | 1 | 0 |
| G••••••• C••••••• L•• CRD 329404 | Independence, OH | independent RIA | $299M | 93% | 3 | $99.7M | 0 | 3 |
| R••••••• W••••• A••••••• I••• CRD 290349 | Findlay, OH | independent RIA | $294M | 72% | 3 | $97.9M | 0 | 0 |
| M••• C•••••• A••••••• CRD 154255 | Cincinnati, OH | independent RIA | $290M | 100% | 5 | $58.0M | 1 | 0 |
| N•••• S••• A••••••• G••••• L•• CRD 171694 | Beachwood, OH | independent RIA | $289M | 88% | 6 | $48.2M | 0 | 0 |
| S•••••••• • C• I•• CRD 105264 | Cincinnati, OH | independent RIA | $286M | 86% | 3 | $95.4M | 0 | 0 |
| W••••••• S••••••••• I••• CRD 43276 | St Clairsville, OH | BD affiliated | $286M | 100% | 51 | $5.6M | 20 | 0 |
| C• I••••••••• P•••••••• L•• CRD 160408 | Cleveland, OH | asset manager | $284M | 0.0% | 0 | n/a | 0 | 4 |
| B••• S•••••• W••••• M••••••••• CRD 304694 | Wadsworth, OH | independent RIA | $282M | 100% | 5 | $56.3M | 0 | 0 |
| A•• P•••••• W•••••• L•• CRD 336183 | Cincinnati, OH | independent RIA | $280M | 97% | 4 | $70.0M | 0 | 0 |
| T•• R••••••••• G••• F•••••• CRD 168561 | Maumee, OH | independent RIA | $277M | 100% | 6 | $46.2M | 3 | 0 |
| R••••••••• S••••••••• L••• CRD 163701 | Dublin, OH | independent RIA | $273M | 97% | 5 | $54.5M | 0 | 0 |
| C•••••• P••••••••• L•• CRD 145918 | Maumee, OH | independent RIA | $272M | 90% | 3 | $90.7M | 1 | 0 |
| I••••• C•••••• P••••••• CRD 287987 | Springboro, OH | independent RIA | $272M | 92% | 10 | $27.2M | 5 | 0 |
| H•••• • H•••• C• L•• CRD 145088 | Lima, OH | independent RIA | $269M | 89% | 2 | $135M | 0 | 0 |
| S••••• I••••••••• A•••••••• L•• CRD 146401 | Cincinnati, OH | independent RIA | $269M | 84% | 3 | $89.6M | 0 | 1 |
| R•••••• F•••••••• N•••••• CRD 157834 | Solon, OH | independent RIA | $263M | 98% | 8 | $32.9M | 3 | 0 |
The firm names past the first 3 rows are hidden. Open a row to reveal that record with a free account (5 a month), or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source is public either way.
400 advisers match.