DFX Intelligence

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

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 1b 10b

K•• I••••••••• S••••••• L••

CRD 136300

BROOKLYN, OH

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Data as of Jun 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1,313
Dated events: 40
On other graphs: 0
Observed: Mar 30, 2012 to Jun 30, 2026
69 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: broker-dealer affiliated wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=true bd_reps=1325.0
Regulatory AUM: $8.9B••• Locked
Discretionary RAUM: $0
Private client RAUM: $8.8Bderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 637
RAUM per advisor

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• R••••• B•••	n/a	BROOKLYN, OH \| Puyallup, WA	20	40	1	yes
C•••••• H••••• M••••••	n/a	BROOKLYN, OH \| SOLON, OH	20	34

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• G••••••• N••	CO- CEO/PRESIDENT	Na	yes	08/2022	Jun 30, 2026	Jun 30, 2026
D••••• M••• I•••	CHIEF COMPLIANCE OFFICER OFFICER	Na	yes	05/2024	Jun 30, 2026	Jun 30, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K•••••• C•••••• M•••••• I•••	n/a	n/a	n/a	Y	yes	n/a
K•••••• N••••••• A•••••••••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Cheektowaga	NY	United States	35	yes
Syracuse	NY	United States	31	yes
Cleveland	Oh	United States	30	yes
Indianapolis	In	United States	24	yes
Cohoes	NY	United States

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
89	54	35	8.5%	17	17	0	212	144

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	$8.9B	$6.1B	45.4%	$3.2B	40.3%	1,325	1,131	25	25

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	2	May 5, 2026	Jun 5, 2026	BROOKLYN, OH	Team lift out	Ibd to ibd	0.3%
L•• F•••••••• L••	2	Dec 15, 2025	Feb 6, 2026

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E•••••••• A•••••••• L••	2	May 5, 2026	May 14, 2026	MALTA, NY	Team lift out	Ibd to ibd	0.0%
H••••••••• F•••••••• A•••••••	2	Apr 13, 2026	Apr 13, 2026

Relationships

showing 80 of 1,313

Registered with (71)

← J•••• B••••••••Advisorregistration: current employment
Sep 16, 2026 to presentfactForm ADV
← K••••• V••••••Advisorregistration: current employment
Sep 15, 2026 to presentfactForm ADV
← G•••••• J••••• P•••••••Advisorregistration: current employment
Sep 14, 2026 to presentfactForm ADV
← G•••••••• S••••••••

Dated events

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

Occurred
Sep 3, 2026
Advisor changed firm
••• Locked
Form ADVobserved 6 days ago
Occurred
Sep 3, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 3, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Jun 30, 2026 2 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.