DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S•••••••• I••••••••• A•••••••• L••

CRD 135448

SYLVANIA, OH

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Search this name across graphsid dfx:ria:26b7d816-1768-c439-761d-2335c8c2446f

Data as of Mar 27, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 23, 2012 to Mar 27, 2019
22 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $102M••• Locked
Discretionary RAUM: $62.9M
Private client RAUM: $55.8Mderived••• Locked
Private client share: 55%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••••••• M•••• A•••	Member	D	yes	08/2005	Mar 23, 2012	Mar 27, 2019
L••••••• B••••••• J•••	CHIEF COMPLIANCE OFFICER	Na	no	06/2010	Mar 23, 2012	Mar 27, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K••••••••• F•••••••• G••••• L••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$102M	$213M	-52.2%	$172M	-16.1%	2	3	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R••••••• W••••• A••••••• I•••	2	Dec 31, 2017	Dec 1, 2017	FINDLAY, OH	Team lift out	Other	66.7%

Relationships

Owns (1)

← L••••••• B••••••• J•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV

Controls (1)

← K••••••••• M•••• A•••OwnerMEMBER, ownership code D, individual
Mar 23, 2012 to presentfactForm ADV

Registered with (4)

← Mark KlopfensteinAdvisorregistration: previous registration
Sep 8, 2005 to Oct 25, 2019factForm ADV

Dated events

Occurred
Mar 27, 2019
Regulatory AUM changed
S•••••••• I••••••••• A•••••••• L•• reported RAUM $101.7M, down 52% from $212.9M (2018-03-28 to 2019-03-27)
Form ADVobserved 7 days ago
$-111M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:26b7d816-1768-c439-761d-2335c8c2446f
First observed: Mar 23, 2012
Last observed: Mar 27, 2019 91 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.