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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

KLEINHENZ & ASSOCIATES LTD.

CRD 146015

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:bc1ccc20-13bf-d5e8-5af0-23a0d5f91736

Data as of Feb 19, 2025 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 5
On other graphs: 0
Observed: Feb 1, 2018 to Feb 19, 2025
14 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: $174MItem 5.F on the latest filing (2025-02-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $174M
Private client RAUM: $168MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 206
Individual clients: 23
High net worth clients: 65
Custody, client assets: $11.9M
SEC number: 801-112556
CRD: 146015
Filings on the tape: 14
First filed: Feb 1, 2018
Latest filed: Feb 19, 2025
Organised: Limited Liability Company, OH
Website: kleinhenzwealth.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
KLEINHENZ, JOHN, EDWARD	MEMBER & CHIEF ECONOMIST	C	yes	11/2007	Feb 1, 2018	Feb 22, 2024
KLEINHENZ, KAREN, ROSE	CHIEF COMPLIANCE OFFICER & MANAGING MEMBER	D	yes	11/2007	Feb 1, 2018	Feb 22, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2024	Feb 19, 2025	$174M	$174M	3	3	n/a	n/a
2023	Feb 22, 2024	$154M	$154M	3	3	n/a	n/a
2022	Feb 3, 2023	$127M	$127M	3	3	n/a	n/a
2021	Feb 8, 2022	$143M	$143M	3	3	n/a	n/a
2020	Jan 29, 2021	$128M	$128M	3	3	n/a	n/a
2019	Jan 23, 2020	$115M	$115M	3	3	n/a	n/a
2018	Jan 29, 2019	$98.5M	$86.8M	3	3	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	2	-2	n/a	0	0	0	0	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$174M	$154M	13.1%	$143M	6.8%	3	3	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ARAX ADVISORY PARTNERS	2	Oct 24, 2025	Sep 10, 2025	CLEVELAND HEIGHTS, OH	Team lift out	RIA to RIA	100.0%

Relationships

Registered with (2)

← KAREN ROSE KLEINHENZAdvisorregistration: previous registration
Jan 11, 2008 to Oct 24, 2025factForm ADV
← JOHN EDWARD KLEINHENZAdvisorregistration: previous registration
Jan 11, 2008 to Oct 24, 2025factForm ADV

Moved with (1)

→ ARAX ADVISORY PARTNERSRegistered adviser2 advisors, team lift out, same day
Oct 24, 2025 to Sep 10, 2025factForm ADV

Controls (2)

← KLEINHENZ, KAREN, ROSEOwnerCHIEF COMPLIANCE OFFICER & MANAGING MEMBER, ownership code D, individual
Feb 1, 2018 to Feb 22, 2024factForm ADV
← KLEINHENZ, JOHN, EDWARDOwnerMEMBER & CHIEF ECONOMIST, ownership code C, individual
Feb 1, 2018 to Feb 22, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Oct 24, 2025
Team lift-out
2 advisors left Kleinhenz & Associates LTD. (Cleveland Heights, OH) for Arax Advisory Partners on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Oct 24, 2025
Advisor changed firm
Karen Rose Kleinhenz left Kleinhenz & Associates Ltd. for Arax Advisory Partners (registered 2025-09-10)
Form ADVobserved 6 days ago
Occurred
Oct 24, 2025
Advisor changed firm
John Edward Kleinhenz left Kleinhenz & Associates Ltd. for Arax Advisory Partners (registered 2025-09-10)
Form ADVobserved 6 days ago
Occurred
Feb 1, 2018
First Form ADV filing
Kleinhenz & Associates, Ltd. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Dec 20, 2025
Kleinhenz & Associates Ltd. no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $173.8M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bc1ccc20-13bf-d5e8-5af0-23a0d5f91736
First observed: Feb 1, 2018
Last observed: Feb 19, 2025 19 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.

KLEINHENZ & ASSOCIATES LTD.

CRD 146015

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:bc1ccc20-13bf-d5e8-5af0-23a0d5f91736

Data as of Feb 19, 2025 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:59 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KLEINHENZ, JOHN, EDWARD

MEMBER & CHIEF ECONOMIST

yes

11/2007

Feb 1, 2018

Feb 22, 2024

KLEINHENZ, KAREN, ROSE

CHIEF COMPLIANCE OFFICER & MANAGING MEMBER

yes

11/2007

Feb 1, 2018

Feb 22, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Feb 19, 2025

$174M

n/a

2023

Feb 22, 2024

$154M

n/a

2022

Feb 3, 2023

$127M

n/a

2021

Feb 8, 2022

$143M

n/a

2020

Jan 29, 2021

$128M

n/a

2019

Jan 23, 2020

$115M

n/a

2018

Jan 29, 2019

$98.5M

$86.8M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-2

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$174M

$154M

13.1%

$143M

6.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ARAX ADVISORY PARTNERS

Oct 24, 2025

Sep 10, 2025

CLEVELAND HEIGHTS, OH

Team lift out

RIA to RIA

100.0%