DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

G••••• • C••••••• L••

Former SEC-registered adviserBeachwood, OhioCRD 104541SEC 801-27598IAPD
Latest filing May 8, 2018
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
$109M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$104M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$109M as of Mar 26, 2018
Mar 30, 2012$444M then
HNW client RAUM: $9.4M
State-registered IARs (5.B.3)4 as of Mar 26, 2018
Mar 25, 20135 then
Employees (5.A)7 as of Mar 26, 2018
Mar 25, 20138 then
Private funds: no history
RAUM -30% over the last fiscal year-24% a year over threeIARs 5 to 3
Practice profile
derived from the filing of May 8, 2018; every figure names its basis
RAUM per advisor
$36.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
70derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$673,917derivedHNW RAUM over HNW clients
Average account
$559,859derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-30%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$94.2M86%
  • High-net-worth individuals$9.4M8.6%
  • Corporations and businesses$3.7M3.4%
  • Charitable organizations$1.9M1.7%
Individual clients
195reported
HNW clients
14reported
Pension plan clients
n/areported
Charitable clients
3reported
Accounts
195reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $46.4M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A•••••••• M•••• A••••• · Managing Director And Chief Compliance Officercontrol
    since 12/2000 · owns 25% to 50%
  • T••••• G••••••• A•••• · Managing Director- Researchcontrol
    since 04/2000 · owns 25% to 50%
  • T••••• R•••••• S•••••• · Managing Directorcontrol
    since 02/2007 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Advisory employees · 4 to 3
    Apr 9, 2018 to May 8, 2018
  • Employees · 7 to 3
    Apr 9, 2018 to May 8, 2018
  • State-registered IARs · 4 to 3
    Apr 9, 2018 to May 8, 2018
  • Accounts · 261 to 195
    May 5, 2017 to Mar 26, 2018
  • Advisory employees · 5 to 4
    May 5, 2017 to Mar 26, 2018
  • Charity clients · unset to 3.0
    May 5, 2017 to Mar 26, 2018
  • Corporate clients · unset to 1.0
    May 5, 2017 to Mar 26, 2018
  • HNW clients · unset to 14.0
    May 5, 2017 to Mar 26, 2018
  • Individual clients · unset to 195.0
    May 5, 2017 to Mar 26, 2018
  • Employees · 8 to 7
    May 5, 2017 to Mar 26, 2018
  • State-registered IARs · 5 to 4
    May 5, 2017 to Mar 26, 2018
  • Other offices · unset to 1.0
    May 5, 2017 to Mar 26, 2018
  • Discretionary RAUM · $157M to $109M
    May 5, 2017 to Mar 26, 2018
  • HNW RAUM · unset to 9434832.0
    May 5, 2017 to Mar 26, 2018
  • Individual RAUM · unset to 94154982.0
    May 5, 2017 to Mar 26, 2018
  • RAUM · $157M to $109M
    May 5, 2017 to Mar 26, 2018
  • Wrap assets (manager) · unset to 46435584.0
    May 5, 2017 to Mar 26, 2018
  • Wrap assets (sponsor) · unset to 0.0
    May 5, 2017 to Mar 26, 2018
  • Advisory activities · 3 to 2
    Mar 24, 2017 to May 5, 2017
  • BD registered reps · 2 to 0
    Mar 24, 2017 to May 5, 2017
  • Accounts · 363 to 261
    Nov 28, 2016 to Mar 24, 2017
  • Discretionary RAUM · $225M to $157M
    Nov 28, 2016 to Mar 24, 2017
  • RAUM · $225M to $157M
    Nov 28, 2016 to Mar 24, 2017
  • HQ city · SHAKER HTS. to BEACHWOOD
    Mar 15, 2016 to Jul 7, 2016
  • Accounts · 409 to 363
    Nov 9, 2015 to Mar 15, 2016
  • Discretionary RAUM · $249M to $225M
    Nov 9, 2015 to Mar 15, 2016
  • RAUM · $249M to $225M
    Nov 9, 2015 to Mar 15, 2016
  • Accounts · 597 to 409
    Oct 14, 2014 to Mar 19, 2015
  • BD registered reps · 1 to 2
    Oct 14, 2014 to Mar 19, 2015
  • Discretionary RAUM · $346M to $249M
    Oct 14, 2014 to Mar 19, 2015
  • RAUM · $346M to $249M
    Oct 14, 2014 to Mar 19, 2015
  • Accounts · 570 to 597
    Mar 28, 2013 to Mar 21, 2014
  • Advisory activities · 2 to 3
    Mar 28, 2013 to Mar 21, 2014
  • BD registered reps · 0 to 1
    Mar 28, 2013 to Mar 21, 2014
  • Financial planning clients · 0 to unset
    Mar 28, 2013 to Mar 21, 2014
  • Discretionary RAUM · $290M to $346M
    Mar 28, 2013 to Mar 21, 2014
  • RAUM · $290M to $346M
    Mar 28, 2013 to Mar 21, 2014
  • Accounts · 590 to 570
    Mar 30, 2012 to Mar 25, 2013
  • Advisory employees · unset to 5.0
    Mar 30, 2012 to Mar 25, 2013
  • Employees · unset to 8.0
    Mar 30, 2012 to Mar 25, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026