DFX Intelligence

T•• J• A••••• W••••• M••••••••• C••• 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

T•• J• A••••• W••••• M••••••••• C••• L••

CRD 159710

YOUNGSTOWN, OH

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Search this name across graphsid dfx:ria:c7c60da7-29f5-7361-89c5-aae077f2269a

Data as of Nov 14, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 5
On other graphs: 0
Observed: Jan 23, 2020 to Nov 14, 2023
15 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: $255M••• Locked
Discretionary RAUM: $255M
Private client RAUM: $252Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• J••• P•••	MANAGING MEMBER/CCO	E	yes	01/2011	Jan 23, 2020	Nov 14, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J• A••••• R••• E••••• A•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
HOBE SOUND	FL	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 10, 2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$255M	$245M	4.4%	n/a	n/a	7	7	1	1

Relationships

Affiliated with (1)

← R••••••• W••••• A•••••••Registered adviserother investment adviser
factForm ADV

Controls (1)

← A•••••• J••• P•••OwnerMANAGING MEMBER/CCO, ownership code E, individual
Jan 23, 2020 to presentfactForm ADV

Registered with (1)

← B•••• P•••••• E••••Advisorregistration: previous registration
Feb 8, 2017 to Apr 4, 2024factForm ADV

Dated events

Occurred
Apr 4, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 14, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 3, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 6, 2021
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c7c60da7-29f5-7361-89c5-aae077f2269a
First observed: Jan 23, 2020
Last observed: Nov 14, 2023 34 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.