DFX Intelligence

A••••• P•••••• W••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

A••••• P•••••• W••••• A•••••••• L••

CRD 124845

CLEVELAND, OH

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Search this name across graphsid dfx:ria:801190f7-0146-29e7-24dd-d236abb9e3c3

Data as of Apr 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 45
Dated events: 11
On other graphs: 0
Observed: Mar 29, 2012 to Apr 1, 2026
33 observations

Across DFX

owners resolved from Schedule A/B to their own records, measured by hand

Private Equityowner

C••• F•••••••• C••••••••• L•••

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Private Equityowner

C••••••• D••••••• • R••• F••• X••• L•••

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.95 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=true bd_reps=16.0 bank_owner=false
Regulatory AUM: $3.9B••• Locked
Discretionary RAUM: $3.8B
Private client RAUM: $3.7Bderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 15
RAUM per advisor

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• B••• R•••••	n/a	CLEVELAND, OH	23	39	1	yes
J•••••• C•••••• V•• F•••••	Chartered Financial Analyst	CLEVELAND, OH	20	25

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• J•••• G••••••	President	Na	yes	01/2022	Apr 1, 2026	Apr 1, 2026
G••••• J••••• P•	CHIEF COMPLIANCE OFFICER	Na	yes	06/2016	Apr 1, 2026	Apr 1, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• A••••••• L••	n/a	Other adviser	$4.6B	N	yes	n/a
A••••• R••••••••• P••• A•••••••• L••	n/a	Other adviser	$1.5B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Naples	FL	United States	1	no
BLOOMFIELD HILLS	Mi	United States	1	no

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
1	0	1	0.0%	0	0	0	2	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	$3.9B	$3.2B	21.4%	$2.3B	20.0%	53	65	1	2

Relationships

Registered with (21)

← C•••••••• H••••Advisorregistration: current employment
Aug 21, 2026 to presentfactForm ADV
← K•••• P•••••• V•••••••••Advisorregistration: current employment
May 11, 2026 to presentfactForm ADV
← D•••• GERARD SOWERBYAdvisorregistration: current employment
Feb 24, 2026 to presentfactForm ADV
← L••• R••••••••

Dated events

Occurred
Sep 15, 2023
Control person left
Michael Joseph Spidalieri (Chief Operating Officer) no longer on Schedule A of A••••• P•••••• W••••• A•••••••• L•• (listed 2023-09-15, absent 2023-09-15)
Form ADVobserved 7 days ago
Occurred
Apr 16, 2023
Advisor changed firm
Kevin Joseph Kale left A••••• P•••••• W••••• A•••••••• L•• for Sws Partners, Llc (registered 2026-02-03)
Form ADVobserved 7 days ago
Occurred
Mar 30, 2023
Control person left
Lemar Kim Oeder (Chief Compliance Officer) no longer on Schedule A of A••••• P•••••• W••••• A•••••••• L•• (listed 2022-03-24, absent 2023-03-30)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:801190f7-0146-29e7-24dd-d236abb9e3c3
First observed: Mar 29, 2012
Last observed: Apr 1, 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.

Controls (16)

← D••••••• F••••••••• D••••OwnerCHAIRMAN & CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 29, 2016 to Dec 6, 2024factForm ADV
← M••••••••• J•••• P••••••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 29, 2016 to Dec 6, 2024factForm ADV
← B••••••• J•••• G••••••OwnerPRESIDENT, ownership code NA, individual
Mar 29, 2012 to Dec 6, 2024factForm ADV
← G••••• J••••• P•OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2018 to Dec 6, 2024factForm ADV
← G••••••• B•••••••• J•••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 24, 2022 to Dec 6, 2024factForm ADV
← A••••• H••••••• G••••• L••OwnerMEMBER (MANAGER), ownership code E, domestic entity
Nov 1, 2021 to Dec 6, 2024factForm ADV
← C••• F•••••••• C••••••••• L•••OwnerPARTNER, ownership code C, foreign entity
Sep 15, 2023 to Dec 6, 2024factForm ADV
← C••• F•••••••• H•••••••• L•••OwnerPARTNER, ownership code D, domestic entity
Sep 15, 2023 to Dec 6, 2024factForm ADV
← C••••••• D••••••• • R••• F••• X••• L•••OwnerPARTNER, ownership code D, foreign entity
Sep 15, 2023 to Dec 6, 2024factForm ADV
← F•••••••• F•• A••••••••• L••OwnerSHAREHOLDER, CLASS A COMMON STOCK, ownership code E, domestic entity
Sep 15, 2023 to Dec 6, 2024factForm ADV
← F•••••••• F•• I••••••••• H•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Sep 15, 2023 to Dec 6, 2024factForm ADV
← F•••••••• F•• P•••••• I•••OwnerMEMBER, ownership code E, domestic entity
Sep 15, 2023 to Dec 6, 2024factForm ADV
← F•••••••• F•• U••••••• H•••••••• L•OwnerSHAREHOLDER, ownership code E, domestic entity
Sep 15, 2023 to Dec 6, 2024factForm ADV
← F•••• F•••••••• P•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Nov 1, 2021 to Dec 6, 2024factForm ADV
← F•••• O••••••••• L••OwnerMEMBER (MANAGER), ownership code E, domestic entity
Nov 1, 2021 to Dec 6, 2024factForm ADV
← I•••••••• H••••••• L••OwnerMEMBER, ownership code E, domestic entity
Mar 29, 2012 to Dec 6, 2024factForm ADV