DFX Intelligence

E••• F••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

E••• F••••••••• L••

CRD 315827

INDEPENDENCE, OH

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Data as of Mar 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 4
On other graphs: 0
Observed: May 16, 2022 to Mar 2, 2026
13 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=0.86 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=5.0
Regulatory AUM: $191M••• Locked
Discretionary RAUM: $191M
Private client RAUM: $165Mderived••• Locked
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $47.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• R••• C•••	Chartered Financial Consultant	INDEPENDENCE, OH	4	28	n/a	yes
L•••• A•• C•••••	Chartered Financial Consultant	INDEPENDENCE, OH	4	48

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• L••••• A••	Principal	C	yes	08/2014	May 16, 2022	Dec 24, 2024
C•••• J•••••• R•••	President	C	yes	08/2014	May 16, 2022	Dec 24, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E••• I••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 2, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	25.0%	1	0	0	2	2

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	$191M	$146M	30.5%	$111M	19.9%	5	6	0	0

Relationships

Registered with (6)

← D••• M• G•••Advisorregistration: current employment
Jul 17, 2026 to presentfactForm ADV
← J••••• R••• C•••Advisorregistration: current employment
Nov 17, 2021 to presentfactForm ADV
← L•••• A•• C•••••Advisorregistration: current employment
Nov 17, 2021 to presentfactForm ADV
← S•••• G••••• F••••••

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
3 Apr 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
24 Dec 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
16 May 2022
First Form ADV filing
••• Locked
Form ADV

Show 1 bookkeeping event

Occurred
Mar 2, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 16, 2022
Last observed: Mar 2, 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.