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
L•••••• • M••••••• I••
Latest filing Mar 30, 2026
First filing on the tape Mar 23, 2012 · 13 filings
SEC status approved since Oct 22, 2018
RAUM
$214M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$214M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$71.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$214M as of Mar 30, 2026
May 2, 2012$69.0M then
HNW client RAUM$141M as of Mar 30, 2026
Mar 28, 2019$56.5M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
May 2, 20120 then
Employees (5.A)3 as of Mar 30, 2026
Mar 28, 20193 then
Private funds: no history
RAUM +11% over the last fiscal year+9.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $71.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $277,115derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$141M66%
- Individuals$72.8M34%
- Individual clients
- 194reported
- HNW clients
- 87reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 771reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• M•••• L•••••• | Fairlawn, Oh | Jun 4, 2012 | 33 y | 0 |
| N••••• A•••• L••••••Certified Financial Planner | Fairlawn, Oh | Jun 4, 2012 | 42 y | 0 |
| D•••••• N••••• M•••••••Certified Financial Planner | Fairlawn, Oh | Jun 14, 2012 | 33 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• L••••• M•••• · Chief Financial Officercontrolsince 11/1992 · owns 25% to 50%
- L••••••• N•••••• A•••• · Chief Executive Officercontrolsince 11/1992 · owns 25% to 50%
- M•••••••• D••••••• N••••• · Chief Compliance Officercontrolsince 11/1992 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fairlawn, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 756 to 771Mar 31, 2025 to Mar 30, 2026
- HNW clients · 92 to 87Mar 31, 2025 to Mar 30, 2026
- Individual clients · 203 to 194Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $193M to $214MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $143M to $141MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $49.3M to $72.8MMar 31, 2025 to Mar 30, 2026
- RAUM · $193M to $214MMar 31, 2025 to Mar 30, 2026
- Accounts · 736 to 756Mar 29, 2024 to Mar 31, 2025
- HNW clients · 78 to 92Mar 29, 2024 to Mar 31, 2025
- Individual clients · 200 to 203Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 251-500 to 251-500Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $176M to $193MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $119M to $143MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $56.7M to $49.3MMar 29, 2024 to Mar 31, 2025
- RAUM · $176M to $193MMar 29, 2024 to Mar 31, 2025
- Accounts · 776 to 736Mar 28, 2023 to Mar 29, 2024
- HNW clients · 75 to 78Mar 28, 2023 to Mar 29, 2024
- Individual clients · 222 to 200Mar 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $161M to $176MMar 28, 2023 to Mar 29, 2024
- HNW RAUM · $111M to $119MMar 28, 2023 to Mar 29, 2024
- Individual RAUM · $50.0M to $56.7MMar 28, 2023 to Mar 29, 2024
- RAUM · $161M to $176MMar 28, 2023 to Mar 29, 2024
- Accounts · 747 to 776Mar 14, 2022 to Mar 28, 2023
- HNW clients · 84 to 75Mar 14, 2022 to Mar 28, 2023
- Individual clients · 188 to 222Mar 14, 2022 to Mar 28, 2023
- Discretionary RAUM · $189M to $161MMar 14, 2022 to Mar 28, 2023
- HNW RAUM · $130M to $111MMar 14, 2022 to Mar 28, 2023
- Individual RAUM · $58.8M to $50.0MMar 14, 2022 to Mar 28, 2023
- RAUM · $189M to $161MMar 14, 2022 to Mar 28, 2023
- Accounts · 763 to 747Mar 25, 2021 to Mar 14, 2022
- HNW clients · 63 to 84Mar 25, 2021 to Mar 14, 2022
- Individual clients · 225 to 188Mar 25, 2021 to Mar 14, 2022
- Discretionary RAUM · $152M to $189MMar 25, 2021 to Mar 14, 2022
- HNW RAUM · $96.1M to $130MMar 25, 2021 to Mar 14, 2022
- Individual RAUM · $56.3M to $58.8MMar 25, 2021 to Mar 14, 2022
- RAUM · $152M to $189MMar 25, 2021 to Mar 14, 2022
- Accounts · 722 to 763Jun 25, 2020 to Mar 25, 2021
- HNW clients · 57 to 63Jun 25, 2020 to Mar 25, 2021
- Individual clients · 197 to 225Jun 25, 2020 to Mar 25, 2021
- Discretionary RAUM · $140M to $152MJun 25, 2020 to Mar 25, 2021
Signals
1 dated events
- L•••••• • M••••••• I•• filed its initial SEC registration (Form ADV)Sep 21, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 330-665-0655reportedpublic record, Form ADV, Mar 30, 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
- $71.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026