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.
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SEC-registered adviser
A••• B• L•••• • A••••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Apr 11, 2012 · 32 filings
SEC status approved since Jun 11, 1985
RAUM
$175M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$159M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$175M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$175M as of Mar 24, 2026
Apr 11, 2012$124M then
HNW client RAUM$143M as of Mar 24, 2026
Jan 22, 2018$90.2M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Apr 11, 20120 then
Employees (5.A)4 as of Mar 24, 2026
Jan 15, 20137 then
Private funds2 as of Mar 24, 2026
Mar 31, 20222 then
RAUM +8.1% over the last fiscal year+5.3% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $175MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -32%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
- Custody
- $3.5M, 33 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$143M82%
- Individuals$15.5M8.9%
- Pooled investment vehicles$4.7M2.7%
- Charitable organizations$4.4M2.5%
- Pension and profit-sharing plans$4.2M2.4%
- Corporations and businesses$3.4M1.9%
- Individual clients
- 36reported
- HNW clients
- 63reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 110reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.5M for 33 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.03 institutional_share=0.05 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• B•••• L•••• | Toledo, Oh | Mar 28, 2008 | 44 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K•••• J••••• J•••• to F••••• I•••••••••Feb 23, 2017 · Other
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••••• A••••• 2• P••••••••• | Private Equity Fund | $2.3M | 13 | May 25, 2021 |
| C••••••••• A•••• H••••••• L•• | Private Equity Fund | $2.1M | 10 | May 25, 2021 |
Owners and control persons
Schedule A and B, latest filing
- L••••• A•••• B•••• · President/Chief Compliance Officercontrolsince 03/1985 · owns 75% or more
Related persons
Schedule D 7.A
- P•• D••• L••n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 24, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $162,203,154 to $175,381,499, advisors 2 to 1, private clients 146 to 99, offices 0 to 0 (2025-04-03 to 2026-03-24)peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 159 to 110Oct 28, 2025 to Mar 24, 2026
- Advisory employees · 3 to 1Oct 28, 2025 to Mar 24, 2026
- Charity clients · 3.0 to unsetOct 28, 2025 to Mar 24, 2026
- HNW clients · 130 to 63Oct 28, 2025 to Mar 24, 2026
- Individual clients · 16 to 36Oct 28, 2025 to Mar 24, 2026
- Pension plan clients · 8.0 to unsetOct 28, 2025 to Mar 24, 2026
- Assets in custody · $163M to $3.5MOct 28, 2025 to Mar 24, 2026
- State-registered IARs · 2 to 1Oct 28, 2025 to Mar 24, 2026
- Discretionary RAUM · $162M to $175MOct 28, 2025 to Mar 24, 2026
- HNW RAUM · $133M to $143MOct 28, 2025 to Mar 24, 2026
- Individual RAUM · $2.0M to $15.5MOct 28, 2025 to Mar 24, 2026
- Pension RAUM · $17.2M to $4.2MOct 28, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $5.6M to $4.7MOct 28, 2025 to Mar 24, 2026
- RAUM · $162M to $175MOct 28, 2025 to Mar 24, 2026
- Accounts · 161 to 159Apr 15, 2024 to Apr 3, 2025
- Advisory employees · 2 to 3Apr 15, 2024 to Apr 3, 2025
- Charity clients · unset to 3.0Apr 15, 2024 to Apr 3, 2025
- HNW clients · 132 to 130Apr 15, 2024 to Apr 3, 2025
- Pension plan clients · 7 to 8Apr 15, 2024 to Apr 3, 2025
- Assets in custody · $1.9M to $163MApr 15, 2024 to Apr 3, 2025
- Employees · 3 to 4Apr 15, 2024 to Apr 3, 2025
- Financial planning clients · 1-10 to 1-10Apr 15, 2024 to Apr 3, 2025
- Discretionary RAUM · $162M to $162MApr 15, 2024 to Apr 3, 2025
- HNW RAUM · $140M to $133MApr 15, 2024 to Apr 3, 2025
- Individual RAUM · $2.1M to $2.0MApr 15, 2024 to Apr 3, 2025
- Pension RAUM · $15.0M to $17.2MApr 15, 2024 to Apr 3, 2025
- Pooled vehicle RAUM · $1.9M to $5.6MApr 15, 2024 to Apr 3, 2025
- RAUM · $162M to $162MApr 15, 2024 to Apr 3, 2025
- Advisory employees · 1 to 2Mar 25, 2024 to Apr 15, 2024
- Employees · 2 to 3Mar 25, 2024 to Apr 15, 2024
- State-registered IARs · 1 to 2Mar 25, 2024 to Apr 15, 2024
- Accounts · 106 to 161Aug 9, 2023 to Mar 15, 2024
- HNW clients · 77 to 132Aug 9, 2023 to Mar 15, 2024
- Assets in custody · $4.4M to $1.9MAug 9, 2023 to Mar 15, 2024
- Discretionary RAUM · $150M to $162MAug 9, 2023 to Mar 15, 2024
- HNW RAUM · $125M to $140MAug 9, 2023 to Mar 15, 2024
- Individual RAUM · $2.8M to $2.1MAug 9, 2023 to Mar 15, 2024
- Pension RAUM · $14.1M to $15.0MAug 9, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · $4.4M to $1.9MAug 9, 2023 to Mar 15, 2024
- RAUM · $150M to $162MAug 9, 2023 to Mar 15, 2024
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- A••• B• L•••• • A••••••••• I••• · Independent Sponsorsshared crd · capital_provider
- A••• B• L•••• • A••••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- f••••••••@a••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 419-536-5200reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/alan-b.-lancz-&-associates-inc./aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.a••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 419-536-5200reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- a••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $175Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026