DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

T••••••• A•••• M••••••••• C•••

CRD 148738

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:5e7badd7-7259-4204-6e5c-ae66128199b0

Data as of Mar 23, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Nov 8, 2011 to Mar 23, 2016
6 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 9
Advisory employees: 0
SEC number: 801-70058
CRD: 148738
Filings on the tape: 6
First filed

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T••••••• T••• O••••••••• F•••• L••	Securitized Asset Fund	$105M	Mar 30, 2012	4	Mar 30, 2012	dropped	021-132668

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••• M••••••• E•••••	Director	Na	yes	12/2012	Mar 28, 2013	Mar 23, 2016
B••••••••• H••••••• L••	Shareholder	E	yes	10/2013	Mar 28, 2013	Mar 23, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••• W•••••••• A•••• M••••••••• L••	n/a	Other adviser	$19B	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 23, 2016	n/a	n/a	9	0	n/a	n/a	n/a
2014	Mar 30, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	n/a	n/a	n/a	n/a	n/a	9	5	n/a	n/a

Relationships

Affiliated with (1)

→ B••• W•••••••• A•••• M••••••••• L••Registered adviserother investment adviser, control
factForm ADV

Controls (11)

← H•••••• T••••••• M••••••OwnerDIRECTOR, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← J•••••••• P•••••••• J•••OwnerCHIEF FINANCIAL OFFICER/DIRECTOR, ownership code NA, individual
Mar 23, 2016 to presentfactForm ADV
← G••••• B••••• L••OwnerCHIEF EXECUTIVE OFFICER/DIRECTOR, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e7badd7-7259-4204-6e5c-ae66128199b0
First observed: Nov 8, 2011
Last observed: Mar 23, 2016 127 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.