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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

A••••• R••••••••• P••• A•••••••• L••

CRD 31256

CLEVELAND, OH

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:cd02b1d2-a5c9-7803-f0b3-65f76457bbab

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 16
On other graphs: 0
Observed: Mar 30, 2012 to Mar 31, 2026
33 observations

Across DFX

owners resolved from Schedule A/B to their own records, measured by hand

Private Equityowner

C••• F•••••••• C••••••••• L•••

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Private Equityowner

C••••••• D••••••• • R••• F••• X••• L•••

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=true bd_reps=19.0
Regulatory AUM: $1.5BItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $1.1MderivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
W•••••• M•••••• K•••••	n/a	CLEVELAND, OH	19	25	2	yes

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•••••• G•••• L• C•••••• F••• I• L••	Other Private Fund	$329,600	Mar 30, 2012	6	Mar 30, 2012	dropped	n/a

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
A••••• A••••••• L••	MEMBER (MANAGER)	E	yes	02/2008	Mar 30, 2012	Dec 6, 2024
A••••• H••••••• G••••• L••	MEMBER (MANAGER)	E	yes	12/2015	Mar 24, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• A••••••• L••	n/a	Other adviser	$4.6B	Y	yes	n/a
A••••• F••••• W••••• A•••••••• L••	n/a	Independent wealth	$3.9B	N	yes

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	Offices	Private funds	Fund GAV

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	0	0	0.0%	0	0	0	1	0

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
2025	$1.5B	$1.3B	17.5%	$792M	24.7%	41	44	0	0

Relationships

Affiliated with (6)

← A••••• PRIVATE WEALTH ADVISORS, LLCRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ A••••• A••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ A••••• PRIVATE WEALTH ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ A••••• A••••••••• L••Registered adviser

Dated events

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

Occurred
Mar 28, 2024
Regulatory AUM changed
A••••• R••••••••• P••• A•••••••• L•• reported RAUM $1.1B, up 33% from $791.8M (2023-09-29 to 2024-03-28)
Form ADVobserved 7 days ago
$264M
Occurred
Mar 28, 2024
Control person left
Gregory John Bartels (Director) no longer on Schedule A of A••••• R••••••••• P••• A•••••••• L•• (listed 2023-09-29, absent 2024-03-28)
Form ADVobserved 7 days ago
Occurred
Mar 28, 2024
Control person left
Patrick Kevin Vaillancourt (Director) no longer on Schedule A of A••••• R••••••••• P••• A•••••••• L•• (listed 2023-09-29, absent 2024-03-28)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd02b1d2-a5c9-7803-f0b3-65f76457bbab
First observed: Mar 30, 2012
Last observed: Mar 31, 2026 5 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.

Controls (18)

← A••••• A••••••• L••OwnerMEMBER (MANAGER), ownership code E, domestic entity
Mar 30, 2012 to Dec 6, 2024factForm ADV
← D••••••• F••••••••• D••••OwnerCHAIRMAN & CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 28, 2018 to Dec 6, 2024factForm ADV
← M••••••••• J•••• P••••••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 21, 2019 to Dec 6, 2024factForm ADV
← G••••• J••••• P•OwnerCOMPLIANCE OFFICER, ownership code NA, individual
Feb 9, 2018 to Dec 6, 2024factForm ADV
← K•••••• W••••••• M••••••OwnerDIRECTOR, ownership code NA, individual
May 10, 2018 to Dec 6, 2024factForm ADV
← W••••••• I••••• R••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2018 to Dec 6, 2024factForm ADV
← A••••• H••••••• G••••• L••OwnerMEMBER (MANAGER), ownership code E, domestic entity
Mar 24, 2022 to Dec 6, 2024factForm ADV
← C••• F•••••••• C••••••••• L•••OwnerPARTNER, ownership code C, foreign entity
Sep 15, 2023 to Dec 6, 2024factForm ADV
← C••• F•••••••• H•••••••• L•••OwnerPARTNER, ownership code D, domestic entity
Sep 15, 2023 to Dec 6, 2024factForm ADV
← C••••••• D••••••• • R••• F••• X••• L•••OwnerPARTNER, ownership code D, foreign entity
Sep 15, 2023 to Dec 6, 2024factForm ADV
← F•••••••• F•• A••••••••• L••OwnerSHAREHOLDER, CLASS A COMMON STOCK, ownership code E, domestic entity
Sep 15, 2023 to Dec 6, 2024factForm ADV
← F•••••••• F•• I••••••••• H•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Sep 15, 2023 to Dec 6, 2024factForm ADV
← F•••••••• F•• P•••••• I•••OwnerMEMBER, ownership code E, domestic entity
Sep 15, 2023 to Dec 6, 2024factForm ADV
← F•••••••• F•• U••••••• H•••••••• L•OwnerSHAREHOLDER, ownership code E, domestic entity
Sep 15, 2023 to Dec 6, 2024factForm ADV
← F•••• F•••••••• P•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Mar 24, 2022 to Dec 6, 2024factForm ADV
← F•••• O••••••••• L••OwnerMEMBER (MANAGER), ownership code E, domestic entity
Mar 24, 2022 to Dec 6, 2024factForm ADV
← S••••• C•••••••• L••OwnerP••••• COMPANY, ownership code E, domestic entity
Mar 30, 2012 to Dec 6, 2024factForm ADV
← T•• A••••• G••••• L••OwnerMEMBER (MANAGER), ownership code E, domestic entity
Mar 24, 2022 to Dec 6, 2024factForm ADV

2025	Mar 31, 2026	$1.5B	$0	41	22	0	n/a	n/a
2024	Mar 27, 2025	$1.3B	$0	44	21	0	n/a	n/a
2023	Mar 28, 2024	$1.1B	$0	42	23	0	n/a	n/a
2022	Mar 31, 2023	$792M	$0	43	24	0	n/a	n/a
2021	Mar 24, 2022	$856M	$0	41	25	0	n/a	n/a
2020	Mar 31, 2021	$679M	$0	43	28	0	n/a	n/a
2019	Apr 1, 2020	$557M	$0	35	22	0	n/a	n/a
2018	Mar 21, 2019	$431M	$0	8	3	0	n/a	n/a
2017	Feb 9, 2018	$398M	$0	7	3	0	n/a	n/a
2016	Mar 30, 2017	$207M	$0	7	3	n/a	n/a	n/a
2015	Mar 30, 2016	$186M	$186M	13	3	n/a	n/a	n/a
2014	Mar 26, 2015	$144M	$0	9	3	n/a	n/a	n/a
2013	Mar 27, 2014	$111M	$0	10	3	n/a	n/a	n/a
2012	Mar 27, 2013	$79.6M	$0	4	4	n/a	n/a	n/a
2011	Mar 30, 2012	$68.8M	$0	n/a	n/a	n/a	1	$329,600