DFX Intelligence

C• W••••• A••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

C• W••••• A••••••• L••

CRD 119467

BEACHWOOD, OH

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Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 9:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 72
Dated events: 28
On other graphs: 2
Observed: Mar 30, 2012 to Mar 24, 2026
29 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

C• W••••• A••••••• L••

Private equity manager · same CRD, same SEC file number

Independent Sponsorsidentity

C• W••••• A••••••• L••

Capital provider to sponsors · same CRD, same SEC file number

Facts

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

Firm class: independent wealth managerderived••• Locked
Regulatory AUM: $3.6B••• Locked
Discretionary RAUM: $3.4B
Private client RAUM: $1.8Bderived••• Locked
Private client share: 50%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $719Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••••• P••••••• B•••	Certified Financial Planner	BEACHWOOD, OH	6	12	n/a	no
A•• R••• L•••••	Certified Financial Planner	BEACHWOOD, OH	6	16

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••• C•••••• A••••••••• F••• L••	Other Private Fund	$265M	Mar 24, 2026	160	Mar 30, 2012	reported	021-75076
C••• M•••• C•• F••• L••	Other Private Fund	$154M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• A•••••• P•••••••	CHIEF CLIENT OFFICER	B	yes	01/2024	Mar 24, 2026	Mar 24, 2026
I•••••• G•••• G•	SENIOR CLIENT ADVISOR	A	yes	12/2025	Mar 24, 2026	Mar 24, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$3.6B	$3.4B	5.7%	$3.0B	6.4%	24	22	0	0

Relationships

Advises (49)

→ C••• M•••• C•• F••• L••Private fundOther Private Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ C••••• O••••••••• P••••••••• L••Private fundPrivate Equity Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ C••• P•••••• E••••• 2••• L••Private fundPrivate Equity Fund, IA
Mar 29, 2017 to presentfactForm ADV
→ C••• F•••••• D•••••••• P•••••••••

Dated events

14 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
24 Mar 2026
Private fund first reported3 events
C• W••••• A••••••• L••: private fund first reported, 3 counterparties, on 24 Mar 2026
$25.9M to $93.6M
- ••• Locked$46.3M
- ••• Locked$25.9M
- ••• Locked$93.6M
Occurred
24 Mar 2026
Ria majority owner change
••• Locked
Form ADV
Occurred
18 Mar 2024
Control person left4 events
C• W••••• A••••••• L••: control person left, 4 events, on 18 Mar 2024
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
18 Mar 2024
Control person joined
••• Locked
Form ADV
Occurred
20 Jul 2023
Control person joined
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Mar 24, 2026 6 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.

All 25 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••• P•••••• E••••• 2•••	Private Equity Fund	$46.4M	Mar 24, 2026	87	Mar 11, 2022	reported	021-406517
C••• P•••••• O••••••••• F••• I•	Private Equity Fund	$46.3M	Mar 24, 2026	97	Mar 24, 2026	reported	021-567123
C••• I••••••••• S•••• C•• P••••••••• L••	Other Private Fund	$44.7M	Jul 21, 2023	57	Mar 30, 2012	dropped	021-138959
C••• L•••• C•• P••••••••• L••	Other Private Fund	$39.8M	Mar 24, 2026	47	Mar 30, 2012	reported	021-121275
C••• P•••••• E••••• 2••• L••	Private Equity Fund	$39.3M	Mar 24, 2026	74	Mar 29, 2017	reported	021-266760
C••• P•••••• E••••• 2•••	Private Equity Fund	$36.3M	Mar 24, 2026	76	Mar 24, 2016	reported	021-243588
C••• P•••••• E••••• 2•••	Private Equity Fund	$35.3M	Mar 24, 2026	70	Mar 23, 2020	reported	021-344437
C••• P•••••• E••••• 2••• L••	Private Equity Fund	$34.7M	Mar 24, 2026	67	Mar 27, 2019	reported	021-311487
C••• P•••••• E••••• 2•••	Private Equity Fund	$33.7M	Mar 24, 2026	74	Mar 28, 2018	reported	021-292651
C••• P•••••• E••••• 2•••	Private Equity Fund	$33.4M	Mar 24, 2026	70	Mar 19, 2021	reported	021-372938
C••• P•••••• O••••••••• I•	Private Equity Fund	$26.3M	Mar 24, 2026	56	Mar 11, 2022	reported	021-406520
C••• P•••••• I••••••••• S••••••••• L••	Private Equity Fund	$25.9M	Mar 24, 2026	83	Mar 24, 2026	reported	021-529301
C••• C•••••• A••••••••• N•	Other Private Fund	$19.6M	Mar 24, 2026	46	Mar 30, 2012	reported	021-107054
C••• P•••••• E••••• 2•••	Private Equity Fund	$13.2M	Mar 24, 2026	80	Mar 28, 2014	reported	021-193911
C••• P•••••• E••••• 2•••	Private Equity Fund	$12.3M	Mar 24, 2026	69	Mar 27, 2015	reported	021-221640

All 14 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••••• R•••••• D••••••	M•••••• B•••• O• M••••••• M•••••• M••••• O• A••••••• B•••• O• C••• L••	F	yes	01/2020	Mar 23, 2020	Jul 17, 2024
S•••••• D••••••• J•••	M•••••• B•••• O• M••••••• M•••••• M••••• O• A••••••• B•••• O• C••• L••	F	yes	01/2019	Mar 30, 2012	Jul 17, 2024
R••••• C••••••• G••••••	SENIOR INVESTMENT STRATEGIST	A	no	01/2025	Mar 24, 2026	Mar 24, 2026
W•••• J••••• W••••••	SENIOR CLIENT ADVISOR	A	no	01/2025	Mar 24, 2026	Mar 24, 2026

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 24, 2016	$2.5B	$2.2B	19	5	n/a	30	$1.1B
2014	Mar 27, 2015	$2.6B	$2.3B	19	5	n/a	32	$1.1B
2013	Mar 28, 2014	$2.6B	$2.3B	17	6	n/a	34	$1.1B
2012	Mar 28, 2013	$2.1B	$1.8B	15	7	n/a	32	$877M
2011	Mar 30, 2012	$1.8B	$1.6B	n/a	n/a	n/a	32	$744M