DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

F•••••••• M••••••••• S••••••••• I•••

CRD 120818

BROADVIEW HTS., OH

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Search this name across graphsid dfx:ria:7454406f-c0d4-fbb0-2c87-b71651668005

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 37
Dated events: 2
On other graphs: 0
Observed: Feb 22, 2012 to Mar 31, 2026
40 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=0.87 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=23.0
Regulatory AUM: $714M••• Locked
Discretionary RAUM: $586M
Private client RAUM: $619Mderived••• Locked
Private client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 21
RAUM per advisor: $34.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
G••••••• F•••••• N•••••	n/a	BROADVIEW HTS., OH	26	38	n/a	yes
A•••• K• J•••	Certified Financial Planner	RICHARDSON, TX	15	28

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••• J••••••• C••••••	President	D	yes	11/1999	Feb 22, 2012	Mar 28, 2024
C••••••• C•••• J•••••	INVESTMENT ADVISER REPRESENTATIVE	A	no	01/2024	Mar 28, 2024	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••••••• I•••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Akron	Oh	United States	2	yes
Mesquite	Nv	United States	1	yes
Canton	Oh	United States	1	yes
Ellwood	Pa	United States	1	yes
Richardson	TX	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
0	0	0	0.0%	0	0	0	0	0

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	$714M	$620M	15.3%	$522M	11.0%	23	34	7	6

Relationships

Registered with (28)

← A••••• M••• F•••••••Advisorregistration: current employment
May 22, 2026 to presentfactForm ADV
← A•••••••• C•••••• N•••••Advisorregistration: current employment
Jan 2, 2026 to presentfactForm ADV
← M•••••• L•• L••••••••Advisorregistration: current employment
Apr 1, 2022 to presentfactForm ADV
← A•••••• F• C••••••

Dated events

Occurred
Jan 4, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 25, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$109M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7454406f-c0d4-fbb0-2c87-b71651668005
First observed: Feb 22, 2012
Last observed: Mar 31, 2026 5 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.