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
S•• F•••••••• S•••••••••
Latest filing Jan 22, 2026
First filing on the tape Jan 27, 2012 · 10 filings
SEC status approved since Feb 25, 2022
RAUM
$159M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$146M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$159M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$159M as of Jan 22, 2026
Jan 27, 2012$75.6M then
HNW client RAUM$101M as of Jan 22, 2026
Jan 27, 2023$59.4M then
State-registered IARs (5.B.3)1 as of Jan 22, 2026
Jan 27, 20120 then
Employees (5.A)1 as of Jan 22, 2026
Jan 27, 20231 then
Private funds: no history
RAUM +6.1% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 22, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $159MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 217derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $266,041derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$101M63%
- Individuals$45.5M29%
- Pension and profit-sharing plans$8.4M5.3%
- Corporations and businesses$4.5M2.8%
- Individual clients
- 175reported
- HNW clients
- 42reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 598reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.05 related_bd=true 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 |
|---|---|---|---|---|
| R••••• B•••• W••••••Certified Financial Planner | Fairview Park, Oh | Oct 18, 1999 | 31 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
- J••• H••••• B••• to A••••• W••••• A•••••••• L••Apr 1, 2013 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• R•••••• B•••• · President/Chief Compliance Officercontrolsince 04/1995 · owns 75% or more
Related persons
Schedule D 7.A
- S•• S••••••••• I•••broker-dealern
- S•••••• K•••••• • A•••••• I•••insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 595 to 598Feb 20, 2025 to Jan 22, 2026
- Corporate clients · 12 to 10Feb 20, 2025 to Jan 22, 2026
- HNW clients · 38 to 42Feb 20, 2025 to Jan 22, 2026
- Individual clients · 167 to 175Feb 20, 2025 to Jan 22, 2026
- Discretionary RAUM · $150M to $159MFeb 20, 2025 to Jan 22, 2026
- HNW RAUM · $93.8M to $101MFeb 20, 2025 to Jan 22, 2026
- Individual RAUM · $45.4M to $45.5MFeb 20, 2025 to Jan 22, 2026
- Pension RAUM · $7.1M to $8.4MFeb 20, 2025 to Jan 22, 2026
- RAUM · $150M to $159MFeb 20, 2025 to Jan 22, 2026
- Accounts · 574 to 595Jan 30, 2024 to Feb 20, 2025
- Corporate clients · 11 to 12Jan 30, 2024 to Feb 20, 2025
- HNW clients · 162 to 38Jan 30, 2024 to Feb 20, 2025
- Individual clients · 399 to 167Jan 30, 2024 to Feb 20, 2025
- Financial planning clients · 1-10 to 1-10Jan 30, 2024 to Feb 20, 2025
- Discretionary RAUM · $113M to $150MJan 30, 2024 to Feb 20, 2025
- HNW RAUM · $69.0M to $93.8MJan 30, 2024 to Feb 20, 2025
- Individual RAUM · $36.0M to $45.4MJan 30, 2024 to Feb 20, 2025
- Pension RAUM · $5.7M to $7.1MJan 30, 2024 to Feb 20, 2025
- RAUM · $113M to $150MJan 30, 2024 to Feb 20, 2025
- Accounts · 584 to 574Jan 27, 2023 to Jan 30, 2024
- Corporate clients · 12 to 11Jan 27, 2023 to Jan 30, 2024
- HNW clients · 29 to 162Jan 27, 2023 to Jan 30, 2024
- Individual clients · 170 to 399Jan 27, 2023 to Jan 30, 2024
- Discretionary RAUM · $107M to $113MJan 27, 2023 to Jan 30, 2024
- HNW RAUM · $59.4M to $69.0MJan 27, 2023 to Jan 30, 2024
- Individual RAUM · $41.9M to $36.0MJan 27, 2023 to Jan 30, 2024
- Pension RAUM · $3.7M to $5.7MJan 27, 2023 to Jan 30, 2024
- RAUM · $107M to $113MJan 27, 2023 to Jan 30, 2024
- Accounts · 616 to 584Apr 21, 2022 to Jan 27, 2023
- Corporate clients · 11 to 12Apr 21, 2022 to Jan 27, 2023
- HNW clients · 35 to 29Apr 21, 2022 to Jan 27, 2023
- Individual clients · 164 to 170Apr 21, 2022 to Jan 27, 2023
- Pension plan clients · 1 to 2Apr 21, 2022 to Jan 27, 2023
- Financial planning clients · 251-500 to 1-10Apr 21, 2022 to Jan 27, 2023
- Discretionary RAUM · $122M to $107MApr 21, 2022 to Jan 27, 2023
- HNW RAUM · $79.8M to $59.4MApr 21, 2022 to Jan 27, 2023
- Individual RAUM · $37.4M to $41.9MApr 21, 2022 to Jan 27, 2023
- Pension RAUM · $1.9M to $3.7MApr 21, 2022 to Jan 27, 2023
- RAUM · $122M to $107MApr 21, 2022 to Jan 27, 2023
- Accounts · 287 to 616Mar 29, 2012 to Jan 26, 2022
Signals
2 dated events
- Douglas Gary Klubnik (Vice President/Cfo) no longer on Schedule A of S•• F•••••••• S••••••••• (listed 2012-03-29, absent 2022-01-26)Jan 26, 2022 · Control person left · inference
- S•• F•••••••• S••••••••• filed its initial SEC registration (Form ADV)Jan 26, 2022 · 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
- 440-734-3200reportedpublic record, Form ADV, Jan 22, 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
- $159Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026