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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CLEVELAND WEALTH, LLC

CRD 282196

CLEVELAND, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1649774b-8859-6e11-6e1a-e06043b29454

Data as of Jul 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 12
On other graphs: 0
Observed: Nov 12, 2019 to Jul 2, 2026
28 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $507MItem 5.F on the latest filing (2026-07-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.3M
Private client RAUM: $507MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $169Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 7
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,047
Individual clients: 265
High net worth clients: 131
Custody, client assets: $461M
SEC number: 801-117776
CRD: 282196
Filings on the tape: 28
First filed: Nov 12, 2019
Latest filed: Jul 2, 2026
Organised: Limited Liability Company, OH

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DOUGLAS WILLIAM SOCKMAN	Certified Financial Planner\|Chartered Financial Consultant	CLEVELAND, OH	10	23	2	no
THOMAS WILLIAMS STOCKETT	n/a	CLEVELAND, OH	10	20	1	no
Ashley Nicole Arsena	Certified Financial Planner	CLEVELAND, OH	0	11	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SOCKMAN, DOUGLAS, WILLIAM	PRINCIPAL/CHIEF COMPLIANCE OFFICER	D	yes	10/2015	Nov 12, 2019	Feb 8, 2024
STOCKETT, THOMAS, WILLIAMS	Principal	D	yes	10/2015	Nov 12, 2019	Feb 8, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 7 of 9

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2025	Mar 13, 2026	$507M	$3.3M	6	3	n/a	n/a
2024	Apr 30, 2025	$1.0B	$3.1M	6	6	n/a	n/a
2023	Feb 8, 2024	$768M	$2.7M	6	6	n/a	n/a
2022	Mar 20, 2023	$588M	$2.6M	6	6	n/a	n/a
2021	Jan 19, 2022	$625M	$3.3M	6	6	n/a	n/a
2020	Feb 2, 2021	$448M	$0	6	6	n/a	n/a
2019	Feb 13, 2020	$307M	$0	6	6	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	4

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$507M	$1.0B	-49.9%	$588M	-4.9%	7	6	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
TEMPO WEALTH	4	May 19, 2025	Jun 17, 2025	CLEVELAND, OH	Firm absorbed	RIA to new firm	66.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MML INVESTORS SERVICES, LLC	4	May 1, 2019	May 4, 2019	CLEVELAND, OH	Team lift out	Ibd to RIA	0.1%

Relationships

Registered with (7)

← Ashley Nicole ArsenaAdvisorregistration: current employment
Mar 11, 2026 to presentfactForm ADV
← DOUGLAS WILLIAM SOCKMANAdvisorregistration: current employment
Apr 26, 2016 to presentfactForm ADV
← THOMAS WILLIAMS STOCKETTAdvisorregistration: current employment
Apr 26, 2016 to presentfactForm ADV
← BERNARD THOMAS GARRAHAdvisorregistration: previous registration
May 4, 2019 to May 19, 2025factForm ADV
← TIMOTHY CHARLES FARLEYAdvisorregistration: previous registration
May 2, 2019 to May 19, 2025factForm ADV
← CORBIN JOHN BLACKBURNAdvisorregistration: previous registration
May 2, 2019 to May 19, 2025factForm ADV
← JOHN BERNARD BLATTAdvisorregistration: previous registration
May 2, 2019 to May 19, 2025factForm ADV

Moved with (2)

→ TEMPO WEALTHRegistered adviser4 advisors, firm absorbed, same day
May 19, 2025 to Jun 17, 2025factForm ADV
← MML INVESTORS SERVICES, LLCRegistered adviser4 advisors, team lift out, same day
May 1, 2019 to May 4, 2019factForm ADV

Controls (2)

← SOCKMAN, DOUGLAS, WILLIAMOwnerPRINCIPAL/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Nov 12, 2019 to Feb 8, 2024factForm ADV
← STOCKETT, THOMAS, WILLIAMSOwnerPRINCIPAL, ownership code D, individual
Nov 12, 2019 to Feb 8, 2024factForm ADV

Dated events

Occurred
Feb 26, 2026
Regulatory AUM changed
Cleveland Wealth, Llc reported RAUM $506.6M, down 50% from $1.0B (2025-11-13 to 2026-02-26)
Form ADVobserved 5 days ago
$-506M
Occurred
May 19, 2025
Firm absorbed
Cleveland Wealth, LLC's advisors moved to Tempo Wealth (Cleveland, OH): 4 of 6 registered, on the same day
Form ADVobserved 5 days ago
4 advisors
Occurred
May 19, 2025
Advisor changed firm
Corbin John Blackburn left Cleveland Wealth, Llc for Tempo Wealth (registered 2025-06-04)
Form ADVobserved 5 days ago
Occurred
May 19, 2025
Advisor changed firm
Timothy Charles Farley left Cleveland Wealth, Llc for Tempo Wealth (registered 2025-05-30)
Form ADVobserved 5 days ago
Occurred
May 19, 2025
Advisor changed firm
John Bernard Blatt left Cleveland Wealth, Llc for Tempo Wealth (registered 2025-06-17)
Form ADVobserved 5 days ago
Occurred
May 19, 2025
Advisor changed firm
Bernard Thomas Garrah left Cleveland Wealth, Llc for Tempo Wealth (registered 2025-05-30)
Form ADVobserved 5 days ago
Occurred
Feb 13, 2025
Regulatory AUM changed
Cleveland Wealth, Llc reported RAUM $1.0B, up 32% from $767.8M (2024-02-08 to 2025-02-13)
Form ADVobserved 5 days ago
$244M
Occurred
Feb 8, 2024
Regulatory AUM changed
Cleveland Wealth, Llc reported RAUM $767.8M, up 30% from $588.5M (2023-09-22 to 2024-02-08)
Form ADVobserved 5 days ago
$179M
Occurred
Jan 19, 2022
Regulatory AUM changed
Cleveland Wealth, Llc reported RAUM $625.1M, up 39% from $448.2M (2021-10-21 to 2022-01-19)
Form ADVobserved 5 days ago
$177M
Occurred
Feb 2, 2021
Regulatory AUM changed
Cleveland Wealth, Llc reported RAUM $448.2M, up 46% from $307.5M (2020-07-09 to 2021-02-02)
Form ADVobserved 5 days ago
$141M
Occurred
Feb 13, 2020
Regulatory AUM changed
Cleveland Wealth, Llc reported RAUM $307.5M, up 78% from $172.7M (2019-12-24 to 2020-02-13)
Form ADVobserved 5 days ago
$135M
Occurred
Nov 12, 2019
First Form ADV filing
Cleveland Wealth, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1649774b-8859-6e11-6e1a-e06043b29454
First observed: Nov 12, 2019
Last observed: Jul 2, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CLEVELAND WEALTH, LLC

CRD 282196

CLEVELAND, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1649774b-8859-6e11-6e1a-e06043b29454

Data as of Jul 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:28 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DOUGLAS WILLIAM SOCKMAN

Certified Financial Planner|Chartered Financial Consultant

CLEVELAND, OH

THOMAS WILLIAMS STOCKETT

n/a

CLEVELAND, OH

Ashley Nicole Arsena

Certified Financial Planner

CLEVELAND, OH

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SOCKMAN, DOUGLAS, WILLIAM

PRINCIPAL/CHIEF COMPLIANCE OFFICER

yes

10/2015

Nov 12, 2019

Feb 8, 2024

STOCKETT, THOMAS, WILLIAMS

Principal

yes

10/2015

Nov 12, 2019

Feb 8, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 13, 2026

$507M

$3.3M

n/a

2024

Apr 30, 2025

$1.0B

$3.1M

n/a

2023

Feb 8, 2024

$768M

$2.7M

n/a

2022

Mar 20, 2023

$588M

$2.6M

n/a

2021

Jan 19, 2022

$625M

$3.3M

n/a

2020

Feb 2, 2021

$448M

n/a

2019

Feb 13, 2020

$307M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$507M

$1.0B

-49.9%

$588M

-4.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

TEMPO WEALTH

May 19, 2025

Jun 17, 2025

CLEVELAND, OH

Firm absorbed

RIA to new firm

66.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MML INVESTORS SERVICES, LLC

May 1, 2019

May 4, 2019

CLEVELAND, OH

Team lift out

Ibd to RIA

0.1%