DFX Intelligence

C••••••••• L••: 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••••••••• L••

CRD 121306

ROCKY RIVER, OH

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Search this name across graphsid dfx:ria:c0d20b65-76ae-c379-1942-2b13994529c1

Data as of Jun 7, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 15, 2012 to Jun 7, 2012
2 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: $18.9M••• Locked
Discretionary RAUM: $18.9M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $18.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••••• P•••••• F••••	n/a	CLEVELAND, OH	20	34	2	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• T•••••• P••••••	CHIEF COMPLIANCE OFFICER / MANAGING MEMBER	E	yes	01/2008	Mar 15, 2012	Jun 7, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••••••• N•••••• I••••••••• C•••••••••	n/a	Former SEC adviser	$47B	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 15, 2012	$18.9M	$18.9M	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	$18.9M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ C••••• A•••••• N••••••• L••Registered adviserother investment adviser, broker-dealer
factForm ADV

Controls (1)

← F••••• T•••••• P••••••OwnerCHIEF COMPLIANCE OFFICER / MANAGING MEMBER, ownership code E, individual
Mar 15, 2012 to presentfactForm ADV

Registered with (1)

← T••••• P•••••• F••••Advisorregistration: previous registration
Aug 23, 2006 to Dec 31, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c0d20b65-76ae-c379-1942-2b13994529c1
First observed: Mar 15, 2012
Last observed: Jun 7, 2012 174 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.