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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Former SEC-registered adviser

M•••••• I••••••••• M••••••••• L••

Former SEC-registered adviserCleveland, OhioCRD 111170SEC 801-57070IAPD
Latest filing Nov 29, 2017
First filing on the tape Feb 22, 2012 · 14 filings
RAUM
$229M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$229M as of Mar 9, 2017
Feb 22, 2012$120M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 9, 2017
Feb 22, 20120 then
Employees (5.A)8 as of Mar 9, 2017
Mar 14, 20137 then
Private funds: no history
RAUM +4.8% over the last fiscal year+1.0% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Nov 29, 2017; every figure names its basis
RAUM per advisor
$38.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$422,615derivedRAUM over accounts (5.F.2.f)
Discretionary
92%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publicationsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
543reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
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
    • H•••••••• M•••••••• E•••• · Membercontrol
      since 12/2004 · owns 25% to 50%
    • K••••• N•••••• F•••••• · Managing Member/Chief Compliance Officercontrol
      since 01/2000 · owns 10% to 25%
    • M•••••••• E••••• L•••••••• · Membercontrol
      since 01/2000 · owns 25% to 50%
    • Y•••••• R•••••• J••• · Membercontrol
      since 01/2000 · owns 10% to 25%
    • V••••• K••••• A•••• · Member
      since 07/2013 · owns 5% to 10%
    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
    • Other offices · unset to 0.0
      Mar 9, 2017 to Nov 29, 2017
    • Accounts · 550 to 543
      Dec 12, 2016 to Mar 9, 2017
    • Advisory activities · 3 to 4
      Dec 12, 2016 to Mar 9, 2017
    • Discretionary RAUM · $202M to $211M
      Dec 12, 2016 to Mar 9, 2017
    • Non-discretionary RAUM · $16.7M to $18.1M
      Dec 12, 2016 to Mar 9, 2017
    • RAUM · $219M to $229M
      Dec 12, 2016 to Mar 9, 2017
    • Accounts · 516 to 550
      Nov 3, 2015 to Mar 2, 2016
    • Advisory employees · 9 to 6
      Nov 3, 2015 to Mar 2, 2016
    • Advisory activities · 2 to 3
      Nov 3, 2015 to Mar 2, 2016
    • Employees · 10 to 8
      Nov 3, 2015 to Mar 2, 2016
    • Discretionary RAUM · $228M to $202M
      Nov 3, 2015 to Mar 2, 2016
    • Non-discretionary RAUM · $0 to $16.7M
      Nov 3, 2015 to Mar 2, 2016
    • RAUM · $228M to $219M
      Nov 3, 2015 to Mar 2, 2016
    • State-registered IARs · 0 to 6
      Jul 2, 2015 to Nov 3, 2015
    • Accounts · 487 to 516
      Mar 12, 2014 to Feb 19, 2015
    • Advisory employees · 7 to 9
      Mar 12, 2014 to Feb 19, 2015
    • Employees · 8 to 10
      Mar 12, 2014 to Feb 19, 2015
    • Discretionary RAUM · $223M to $228M
      Mar 12, 2014 to Feb 19, 2015
    • RAUM · $223M to $228M
      Mar 12, 2014 to Feb 19, 2015
    • Accounts · 376 to 487
      Sep 26, 2013 to Mar 12, 2014
    • Advisory employees · 6 to 7
      Sep 26, 2013 to Mar 12, 2014
    • Employees · 7 to 8
      Sep 26, 2013 to Mar 12, 2014
    • Discretionary RAUM · $141M to $223M
      Sep 26, 2013 to Mar 12, 2014
    • RAUM · $141M to $223M
      Sep 26, 2013 to Mar 12, 2014
    • Accounts · 361 to 376
      Mar 28, 2012 to Mar 14, 2013
    • Advisory employees · unset to 6.0
      Mar 28, 2012 to Mar 14, 2013
    • Employees · unset to 7.0
      Mar 28, 2012 to Mar 14, 2013
    • Discretionary RAUM · $120M to $141M
      Mar 28, 2012 to Mar 14, 2013
    • RAUM · $120M to $141M
      Mar 28, 2012 to Mar 14, 2013
    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