DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

N•• F•••••••• A••••••• G••••• L•••

CRD 154963

PEPPER PIKE, OH

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Search this name across graphsid dfx:ria:5504e3e7-2d4b-f3f9-91c9-f03fdb36e03c

Data as of Apr 2, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Apr 2, 2013
2 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: $2.1M••• Locked
Discretionary RAUM: $2.1M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••• R•••••	CHIEF COMPLIANCE OFFICER/ MANAGING MEMBER	E	yes	09/2010	Mar 28, 2012	Apr 2, 2013
K••••••• R•••••	Member	Na	no	10/2010	Mar 28, 2012	Apr 2, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R• I••••••••• M••••••••• I••	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
2012	Apr 2, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$2.1M	$1.5M	36.0%	n/a	n/a	1	n/a	n/a	n/a

Relationships

Controls (1)

← M••••• R•••••OwnerCHIEF COMPLIANCE OFFICER/ MANAGING MEMBER, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV

Owns (1)

← K••••••• R•••••OwnerMEMBER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV

Registered with (1)

← R••••• M••••Advisorregistration: previous registration
Jun 14, 2011 to Sep 27, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5504e3e7-2d4b-f3f9-91c9-f03fdb36e03c
First observed: Mar 28, 2012
Last observed: Apr 2, 2013 164 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.