DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

C••••••••• W••••• M•••••••••

C••••••••• W••••• M••••••••• LLC, CRD 148023

BROADVIEW HEIGHTS, OH

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Search this name across graphsid dfx:ria:95481478-1def-eda0-14c2-505bf5683c54

Data as of Aug 27, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Aug 27, 2012
3 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
Regulatory AUM: $39.8M••• Locked
Discretionary RAUM: $7.8M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $9.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
G•••• N•• C•••••••••	n/a	BROADVIEW HEIGHTS, OH	17	29	1	no
J•••• L•••• D••••	n/a	BROADVIEW HEIGHTS, OH	17	19

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• G••••• N••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	06/2008	Mar 30, 2012	Aug 27, 2012

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Bellevue	Oh	United States	n/a	no
Wadsworth	Oh	United States	n/a	no
MOUNT PLEASANT	Sc	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$39.8M	$7.8M	n/a	n/a	n/a	n/a	n/a

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
2011	$39.8M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Registered with (5)

← K••• E••• K••••••Advisorregistration: current employment
Feb 8, 2022 to presentfactForm ADV
← D••••• P•••••• C•••••••••Advisorregistration: current employment
Mar 26, 2021 to presentfactForm ADV
← J•••• L•••• D••••Advisorregistration: current employment
Nov 19, 2008 to presentfactForm ADV
← G•••• N•• C•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:95481478-1def-eda0-14c2-505bf5683c54
First observed: Mar 30, 2012
Last observed: Aug 27, 2012 171 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.