DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

R••• C•••••••••

CRD 120035

BEACHWOOD, OH

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Search this name across graphsid dfx:ria:d839b35a-9a21-8af1-25d4-7371b8fe07ff

Data as of Apr 16, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Dec 2, 2011 to Apr 16, 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: $21.0M••• Locked
Discretionary RAUM: $21.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 99

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• G•••••• B••••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	10/1999	Dec 2, 2011	Apr 16, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• R•••••• F••••	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Apr 16, 2012	$21.0M	$21.0M	n/a	n/a	n/a	n/a	n/a

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	$21.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (1)

← F••••• G•••••• B••••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 2, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d839b35a-9a21-8af1-25d4-7371b8fe07ff
First observed: Dec 2, 2011
Last observed: Apr 16, 2012 175 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.