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.

Former SEC-registered adviser

Rav Financial

Former SEC-registered adviserBeachwood, OhioCRD 106632SEC 801-17712IAPD
Legal name Rav Financial Services, LLC
Latest filing Feb 29, 2016
First filing on the tape Mar 23, 2012 · 8 filings
RAUM
$301M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$301M as of Feb 29, 2016
Mar 23, 2012$316M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Feb 29, 2016
Mar 18, 20137 then
Employees (5.A)14 as of Feb 29, 2016
Mar 18, 201318 then
Private funds: no history
RAUM -9.5% over the last fiscal year-2.5% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Feb 29, 2016; every figure names its basis
RAUM per advisor
$50.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$231,380derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-9.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,300reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Michael David Taucher · Membercontrol
        since 02/2005 · owns 25% to 50% of Rav Holdings, LLC
      • A Robert Valente · Membercontrol
        since 02/2005 · owns 50% to 75% of Rav Holdings LLC
      • Gillian Jean Graham · Chief Compliance Officer
        since 01/2007 · owns less than 5%
      • Joseph Mark Mccandless · Member
        since 10/2014 · owns 5% to 10%
      • Joseph Kenneth Paull · Member
        since 07/2005 · owns less than 5%
      Entity owners
      • Rav Holdings, LLC · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1,360 to 1,300
        Sep 29, 2015 to Feb 29, 2016
      • Discretionary RAUM · $332M to $300M
        Sep 29, 2015 to Feb 29, 2016
      • Non-discretionary RAUM · $456,094 to $592,653
        Sep 29, 2015 to Feb 29, 2016
      • RAUM · $332M to $301M
        Sep 29, 2015 to Feb 29, 2016
      • Accounts · 1,418 to 1,360
        Dec 3, 2014 to Mar 20, 2015
      • Discretionary RAUM · $354M to $332M
        Dec 3, 2014 to Mar 20, 2015
      • Non-discretionary RAUM · $1.3M to $456,094
        Dec 3, 2014 to Mar 20, 2015
      • RAUM · $355M to $332M
        Dec 3, 2014 to Mar 20, 2015
      • Business name · RAV FINANCIAL SERVICES, LLC to RAV FINANCIAL
        Mar 25, 2014 to Dec 3, 2014
      • Employees · 18 to 14
        Mar 25, 2014 to Dec 3, 2014
      • State-registered IARs · 7 to 6
        Mar 25, 2014 to Dec 3, 2014
      • Accounts · 1,480 to 1,418
        Mar 18, 2013 to Mar 25, 2014
      • Discretionary RAUM · $324M to $354M
        Mar 18, 2013 to Mar 25, 2014
      • Non-discretionary RAUM · $1.1M to $1.3M
        Mar 18, 2013 to Mar 25, 2014
      • RAUM · $325M to $355M
        Mar 18, 2013 to Mar 25, 2014
      • Accounts · 1,500 to 1,480
        Nov 14, 2012 to Mar 18, 2013
      • State-registered IARs · 6 to 7
        Nov 14, 2012 to Mar 18, 2013
      • Discretionary RAUM · $311M to $324M
        Nov 14, 2012 to Mar 18, 2013
      • Non-discretionary RAUM · $5.1M to $1.1M
        Nov 14, 2012 to Mar 18, 2013
      • RAUM · $316M to $325M
        Nov 14, 2012 to Mar 18, 2013
      • Advisory employees · unset to 2.0
        Mar 23, 2012 to Nov 14, 2012
      • Employees · unset to 18.0
        Mar 23, 2012 to Nov 14, 2012
      • State-registered IARs · unset to 6.0
        Mar 23, 2012 to Nov 14, 2012
      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