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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

T•• P••••• A••••••• C•••••••••

Former SEC-registered adviserBeachwood, OhioCRD 110615SEC 801-42983IAPD
Latest filing May 31, 2019
First filing on the tape Mar 7, 2012 · 15 filings
RAUM
$292M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
93%
$272M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$292M as of Mar 29, 2019
Mar 7, 2012$292M then
HNW client RAUM$210M as of Mar 29, 2019
Mar 27, 2018$47.4M then
State-registered IARs (5.B.3)3 as of Mar 29, 2019
Feb 12, 20134 then
Employees (5.A)4 as of Mar 29, 2019
Feb 12, 20134 then
Private funds: no history
RAUM +2.1% over the last fiscal year-0.8% a year over threeIARs 4 to 3
Practice profile
derived from the filing of May 31, 2019; every figure names its basis
RAUM per advisor
$97.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
86derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.4MderivedHNW RAUM over HNW clients
Average account
$409,026derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
6.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.1%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
-59%derived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody
$100,000, 150 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$210M72%
  • Individuals$61.8M21%
  • Pension and profit-sharing plans$19.8M6.8%
Individual clients
196reported
HNW clients
61reported
Pension plan clients
6reported
Charitable clients
n/areported
Accounts
713reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$100,000 for 150 clientsreported
Compensation
% of AUM, 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
      • P•••••• W••••••• D•••• · President/Principalcontrol
        since 12/1992 · owns 75% or more
      • O•••• A•••• P••••••• · Chief Investment Officer/Chief Compliance Officer
        since 12/1993 · owns less than 5%
      Related persons
      Schedule D 7.A
      • W•••••• D• P•••••• C••
        insurancey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 738 to 713
        Apr 5, 2018 to Mar 29, 2019
      • Advisory employees · 4 to 3
        Apr 5, 2018 to Mar 29, 2019
      • Advisory activities · 3 to 4
        Apr 5, 2018 to Mar 29, 2019
      • HNW clients · 62 to 61
        Apr 5, 2018 to Mar 29, 2019
      • Individual clients · 558 to 196
        Apr 5, 2018 to Mar 29, 2019
      • Pension plan clients · 11 to 6
        Apr 5, 2018 to Mar 29, 2019
      • Assets in custody · $47.4M to $100,000
        Apr 5, 2018 to Mar 29, 2019
      • Employees · 5 to 4
        Apr 5, 2018 to Mar 29, 2019
      • Financial planning clients · unset to 11-25
        Apr 5, 2018 to Mar 29, 2019
      • State-registered IARs · 4 to 3
        Apr 5, 2018 to Mar 29, 2019
      • Discretionary RAUM · $238M to $287M
        Apr 5, 2018 to Mar 29, 2019
      • HNW RAUM · $47.4M to $210M
        Apr 5, 2018 to Mar 29, 2019
      • Individual RAUM · $210M to $61.8M
        Apr 5, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $47.4M to $4.9M
        Apr 5, 2018 to Mar 29, 2019
      • Pension RAUM · $28.7M to $19.8M
        Apr 5, 2018 to Mar 29, 2019
      • RAUM · $286M to $292M
        Apr 5, 2018 to Mar 29, 2019
      • Related insurance company · false to true
        Apr 5, 2018 to Mar 29, 2019
      • Related insurance company · true to false
        Mar 27, 2018 to Apr 5, 2018
      • Accounts · 288 to 738
        Sep 8, 2017 to Mar 27, 2018
      • HNW clients · unset to 62.0
        Sep 8, 2017 to Mar 27, 2018
      • Individual clients · unset to 558.0
        Sep 8, 2017 to Mar 27, 2018
      • Pension plan clients · unset to 11.0
        Sep 8, 2017 to Mar 27, 2018
      • Assets in custody · unset to 47351909.0
        Sep 8, 2017 to Mar 27, 2018
      • Custody of client assets · false to true
        Sep 8, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Sep 8, 2017 to Mar 27, 2018
      • Discretionary RAUM · $273M to $238M
        Sep 8, 2017 to Mar 27, 2018
      • HNW RAUM · unset to 47351909.0
        Sep 8, 2017 to Mar 27, 2018
      • Individual RAUM · unset to 209610276.0
        Sep 8, 2017 to Mar 27, 2018
      • Non-discretionary RAUM · $52.1M to $47.4M
        Sep 8, 2017 to Mar 27, 2018
      • Pension RAUM · unset to 28696145.0
        Sep 8, 2017 to Mar 27, 2018
      • RAUM · $325M to $286M
        Sep 8, 2017 to Mar 27, 2018
      • Accounts · 261 to 288
        Mar 23, 2016 to Mar 31, 2017
      • Advisory activities · 2 to 3
        Mar 23, 2016 to Mar 31, 2017
      • Employees · 4 to 5
        Mar 23, 2016 to Mar 31, 2017
      • Discretionary RAUM · $256M to $273M
        Mar 23, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $42.6M to $52.1M
        Mar 23, 2016 to Mar 31, 2017
      • RAUM · $299M to $325M
        Mar 23, 2016 to Mar 31, 2017
      • Accounts · 276 to 261
        Mar 6, 2015 to Mar 23, 2016
      • Discretionary RAUM · $304M to $256M
        Mar 6, 2015 to Mar 23, 2016
      • Non-discretionary RAUM · $33.1M to $42.6M
        Mar 6, 2015 to Mar 23, 2016
      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