DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S••••••••• P••••••• L••

CRD 172934

AKRON, OH

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Search this name across graphsid dfx:ria:ac4f6be2-fcbb-6319-96e5-446a0468a5bd

Data as of Jul 12, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 4
On other graphs: 0
Observed: May 2, 2017 to Jul 12, 2019
11 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: $258M••• Locked
Discretionary RAUM: $255M
Private client RAUM: $245Mderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• W••••• M••••••••• L••	MANAGING MEMBER	E	yes	07/2019	Jul 12, 2019	Jul 12, 2019
D••••••• C•••••• S•••••••••	MANAGING DIRECTOR	Na	yes	08/2014	May 2, 2017	Jul 12, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D••••• W•••••• L••	n/a	Independent wealth	$6.9B	Y	yes	n/a
G••••• L••••••	n/a	n/a	n/a	Y	yes	n/a
J••• F• D•••••••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 13, 2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$258M	$227M	13.4%	n/a	n/a	5	4	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
D••••• W•••••• L••	4	Nov 1, 2019	Jul 16, 2019	AKRON, OH	Firm absorbed	RIA to RIA	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• A••••••• L••	2	Oct 15, 2018	Nov 12, 2014	AKRON, OH	Team lift out	Ibd to RIA	0.7%

Relationships

Affiliated with (1)

→ D••••• W•••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (3)

← H•••• B•••••• L••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 2, 2017 to presentfactForm ADV
← D••••••• C•••••• S•••••••••OwnerMANAGING DIRECTOR, ownership code NA, individual
May 2, 2017 to presentfactForm ADV
← D••••• W••••• M••••••••• L••OwnerMANAGING MEMBER, ownership code E, domestic entity

Dated events

Occurred
Jul 12, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 12, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 6, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$101M
Occurred
May 2, 2017
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac4f6be2-fcbb-6319-96e5-446a0468a5bd
First observed: May 2, 2017
Last observed: Jul 12, 2019 87 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.