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
P••••• I••••••••• A••••••• C•••••••••
Latest filing Jan 6, 2026
First filing on the tape Dec 23, 2011 · 2 filings
SEC status approved since Jan 2, 2026
RAUM
$112M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$112M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$55.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$112M as of Jan 6, 2026
Dec 23, 2011$31.5M then
HNW client RAUM: $78.2M
State-registered IARs (5.B.3)2 as of Jan 6, 2026
Dec 23, 20110 then
Employees (5.A): 2
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 6, 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
- $55.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $578,130derivedRAUM 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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- 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$78.2M70%
- Individuals$33.3M30%
- Individual clients
- 66reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 193reported
- Financial planning clients
- reported
- 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=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• J• P•••••Certified Financial Planner | Highland Hts., Oh | Aug 28, 2007 | 21 y | 0 |
| W•••••• P•••••• P•••••Certified Financial Planner | Highland Hts., Oh | Apr 1, 2009 | 42 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
- P•••••• A•••••• J• · Chief Compliance Officercontrolsince 10/2006 · owns 10% to 25%
- P•••••• W••••••• P•••••• · President/Ownercontrolsince 10/1993 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Highland Hts, Oh | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Jan 6, 2026commissions (Item 5.E.5): yes on the filing of 2011-12-23, no on the filing of 2026-01-06peers: independent wealth managers, $100M to $500M (5,678)
- business activity changedChange between filings · filing Jan 6, 2026financial planning (Item 5.G.1): yes on the filing of 2011-12-23, no on the filing of 2026-01-06peers: independent wealth managers, $100M to $500M (5,678)
- compensation changedChange between filings · filing Jan 6, 2026hourly charges (Item 5.E.2): yes on the filing of 2011-12-23, no on the filing of 2026-01-06peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 170 to 193Dec 23, 2011 to Jan 6, 2026
- Advisory employees · unset to 2.0Dec 23, 2011 to Jan 6, 2026
- Advisory activities · 3 to 1Dec 23, 2011 to Jan 6, 2026
- BD registered reps · unset to 1.0Dec 23, 2011 to Jan 6, 2026
- Business name · P••••• I••••••••• A••••••• C••• to P••••• I••••••••• A••••••• C•••••••••Dec 23, 2011 to Jan 6, 2026
- HNW clients · unset to 35.0Dec 23, 2011 to Jan 6, 2026
- Individual clients · unset to 66.0Dec 23, 2011 to Jan 6, 2026
- Commission compensation · true to falseDec 23, 2011 to Jan 6, 2026
- Employees · unset to 2.0Dec 23, 2011 to Jan 6, 2026
- Financial planning clients · 0 to Dec 23, 2011 to Jan 6, 2026
- HQ city · unset to Dec 23, 2011 to Jan 6, 2026
- HQ state · unset to Dec 23, 2011 to Jan 6, 2026
- State-registered IARs · 0 to 2Dec 23, 2011 to Jan 6, 2026
- Legal name · P••••• I••••••••• A••••••• C••• to P••••• I••••••••• A••••••• C•••••••••Dec 23, 2011 to Jan 6, 2026
- Other offices · unset to 0.0Dec 23, 2011 to Jan 6, 2026
- Discretionary RAUM · $23.8M to $112MDec 23, 2011 to Jan 6, 2026
- HNW RAUM · unset to 78247501.0Dec 23, 2011 to Jan 6, 2026
- Individual RAUM · unset to 33331595.0Dec 23, 2011 to Jan 6, 2026
- Non-discretionary RAUM · $7.6M to $0Dec 23, 2011 to Jan 6, 2026
- RAUM · $31.5M to $112MDec 23, 2011 to Jan 6, 2026
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.
How to reach
public business contact points only, each with its source
- Business phone
- 440-442-4483reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 440-442-4485reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P•••••IAC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 440-442-4483reportedpublic record, Form ADV, Jan 6, 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
- $55.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026