DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

M•••••• F•••••••• I••••••••• A••••••• S•••••••• L••

CRD 158134

CANFIELD, OH

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Search this name across graphsid dfx:ria:638a9499-b21c-7cee-32d5-4728d87917d8

Data as of Aug 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 11, 2026 to Aug 11, 2026
1 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $106M••• Locked
Discretionary RAUM: $106M
Private client RAUM: $106Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $35.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••••••• L•• M••••••	n/a	CANFIELD, OH	15	31	2	no
J••• R•••	n/a	CANFIELD, OH	5	13

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• C••••••••• L••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	07/2011	Aug 11, 2026	Aug 11, 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
0	0	0	0.0%	0	0	0	0	0

Relationships

Controls (1)

← M••••••• C••••••••• L••OwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Aug 11, 2026 to presentfactForm ADV

Registered with (3)

← C••••••••• E••••• M••••••Advisorregistration: current employment
Aug 15, 2022 to presentfactForm ADV
← J••• R•••Advisorregistration: current employment
Jul 30, 2021 to presentfactForm ADV
← C••••••••• L•• M••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:638a9499-b21c-7cee-32d5-4728d87917d8
First observed: Aug 11, 2026
Last observed: Aug 11, 2026 43 days 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.