DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C•••••• I••••••••• A••••••• I••
Latest filing Mar 12, 2026
First filing on the tape Jan 6, 2012 · 16 filings
SEC status approved since Feb 26, 2018
RAUM
$278M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$278M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$278M
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
16 filings and snapshots on the tape
RAUM$278M as of Mar 12, 2026
Mar 23, 2012$47.2M then
HNW client RAUM$244M as of Mar 12, 2026
Mar 23, 2023$159M then
State-registered IARs (5.B.3)1 as of Mar 12, 2026
Mar 23, 20120 then
Employees (5.A)1 as of Mar 12, 2026
Jan 3, 20191 then
Private funds: no history
RAUM +18% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 12, 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
- $278MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$244M88%
- Individuals$34.3M12%
- Individual clients
- 61reported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 118reported
- Financial planning clients
- 0reported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• T••••• L•••••• | Chesterland, Oh | Jan 3, 2012 | 38 y | 1 |
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••••••• K•••• T••••• · President,Chief Compliance Officercontrolsince 12/1996 · 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 · 117 to 118Mar 26, 2025 to Mar 12, 2026
- Individual clients · 60 to 61Mar 26, 2025 to Mar 12, 2026
- Discretionary RAUM · $235M to $278MMar 26, 2025 to Mar 12, 2026
- HNW RAUM · $206M to $244MMar 26, 2025 to Mar 12, 2026
- Individual RAUM · $29.0M to $34.3MMar 26, 2025 to Mar 12, 2026
- RAUM · $235M to $278MMar 26, 2025 to Mar 12, 2026
- Individual clients · 61 to 60Mar 14, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 14, 2024 to Mar 26, 2025
- HQ city · unset to Mar 14, 2024 to Mar 26, 2025
- HQ state · unset to Mar 14, 2024 to Mar 26, 2025
- Discretionary RAUM · $204M to $235MMar 14, 2024 to Mar 26, 2025
- HNW RAUM · $177M to $206MMar 14, 2024 to Mar 26, 2025
- Individual RAUM · $27.0M to $29.0MMar 14, 2024 to Mar 26, 2025
- RAUM · $204M to $235MMar 14, 2024 to Mar 26, 2025
- Accounts · 118 to 117Mar 23, 2023 to Mar 14, 2024
- Discretionary RAUM · $184M to $204MMar 23, 2023 to Mar 14, 2024
- HNW RAUM · $159M to $177MMar 23, 2023 to Mar 14, 2024
- Individual RAUM · $24.3M to $27.0MMar 23, 2023 to Mar 14, 2024
- RAUM · $184M to $204MMar 23, 2023 to Mar 14, 2024
- HNW clients · unset to 57.0Mar 17, 2023 to Mar 23, 2023
- Individual clients · 128 to 61Mar 17, 2023 to Mar 23, 2023
- Discretionary RAUM · $211M to $184MMar 17, 2023 to Mar 23, 2023
- HNW RAUM · unset to 159350000.0Mar 17, 2023 to Mar 23, 2023
- Individual RAUM · $211M to $24.3MMar 17, 2023 to Mar 23, 2023
- RAUM · $211M to $184MMar 17, 2023 to Mar 23, 2023
- Accounts · 126 to 118Mar 2, 2021 to Mar 28, 2022
- Individual clients · 117 to 128Mar 2, 2021 to Mar 28, 2022
- Pension plan clients · 1.0 to unsetMar 2, 2021 to Mar 28, 2022
- Discretionary RAUM · $182M to $211MMar 2, 2021 to Mar 28, 2022
- Individual RAUM · $180M to $211MMar 2, 2021 to Mar 28, 2022
- Pension RAUM · 1773861.0 to unsetMar 2, 2021 to Mar 28, 2022
- RAUM · $182M to $211MMar 2, 2021 to Mar 28, 2022
- Accounts · 102 to 126Jun 5, 2020 to Mar 2, 2021
- Individual clients · 101 to 117Jun 5, 2020 to Mar 2, 2021
- Discretionary RAUM · $117M to $182MJun 5, 2020 to Mar 2, 2021
- Individual RAUM · $115M to $180MJun 5, 2020 to Mar 2, 2021
- Pension RAUM · $1.8M to $1.8MJun 5, 2020 to Mar 2, 2021
- RAUM · $117M to $182MJun 5, 2020 to Mar 2, 2021
- Other offices · 1 to 0Jan 3, 2019 to Mar 27, 2020
- Discretionary RAUM · $104M to $117MJan 3, 2019 to Mar 27, 2020
Signals
1 dated events
- C•••••• I••••••••• A••••••• I•• filed its initial SEC registration (Form ADV)Jan 25, 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
- 440-942-8877reportedpublic record, Form ADV, Mar 12, 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
- $278Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026