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
N•••• P•••• P•••••••• M••••••• C•••••••••
Latest filing Mar 10, 2026
First filing on the tape Mar 22, 2012 · 25 filings
SEC status approved since Mar 29, 1999
RAUM
$773M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
95%
$736M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$773M as of Mar 10, 2026
Mar 22, 2012$440M then
HNW client RAUM$680M as of Mar 10, 2026
Mar 27, 2018$518M then
State-registered IARs (5.B.3)4 as of Mar 10, 2026
Mar 22, 20120 then
Employees (5.A)7 as of Mar 10, 2026
Mar 22, 20134 then
Private funds: no history
RAUM -1.2% over the last fiscal year-0.5% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%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)
- 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$680M88%
- Individuals$55.8M7.2%
- Pension and profit-sharing plans$35.8M4.6%
- Charitable organizations$2.0M0.3%
- Individual clients
- 108reported
- HNW clients
- 158reported
- Pension plan clients
- 7reported
- Charitable clients
- 3reported
- Accounts
- 276reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M•••• S••••Chartered Financial Analyst | Orange Village, Oh | Mar 7, 2001 | 27 y | 0 |
| D••••• J••••• D••••••• | Orange Village, Oh | Dec 1, 2006 | 25 y | 0 |
| D•••• M• M•••••Chartered Financial Analyst | Orange Village, Oh | Jun 16, 2022 | 21 y | 0 |
| L•••••• M•••• C•••••••Certified Financial Planner | Orange Village, Oh | Jun 16, 2025 | 23 y | 0 |
| J•••••• L•• H•••••Chartered Financial Analyst | Orange Village, Oh | Mar 17, 2026 | 9 y | 0 |
| J•••• P•••••• K••••Chartered Financial Analyst | Orange Village, Oh | Mar 25, 2026 | 12 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
- D••••• W••••• to E••••• J••••Jul 19, 2021 · RIA to affiliated broker-dealer or bank
- J••••• A•••••• M•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 4, 2005 · Other
Joined, latest
- D••••• W••••• from J••• M••••• I••••••••• M••••••••• I•••Jan 26, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• D•••••• J••••• · Executive Vice President & Treasurercontrolsince 12/2022 · owns 25% to 50%
- M•••••• D••••• M• · Executive Vice Presidentcontrolsince 12/2022 · owns 25% to 50%
- S••••• D••••• M•••• · Chief Compliance Officer,President & Secretarycontrolsince 12/2022 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Orange Village, Oh · principal | 6 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 10, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-12, no on the filing of 2026-03-10peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 273 to 276Mar 12, 2025 to Mar 10, 2026
- Advisory employees · 4 to 6Mar 12, 2025 to Mar 10, 2026
- Charity clients · 2 to 3Mar 12, 2025 to Mar 10, 2026
- HNW clients · 173 to 158Mar 12, 2025 to Mar 10, 2026
- Individual clients · 88 to 108Mar 12, 2025 to Mar 10, 2026
- Pension plan clients · 8 to 7Mar 12, 2025 to Mar 10, 2026
- Assets in custody · 73511385.0 to unsetMar 12, 2025 to Mar 10, 2026
- Custody of client assets · true to falseMar 12, 2025 to Mar 10, 2026
- Employees · 5 to 7Mar 12, 2025 to Mar 10, 2026
- State-registered IARs · 3 to 4Mar 12, 2025 to Mar 10, 2026
- Discretionary RAUM · $779M to $769MMar 12, 2025 to Mar 10, 2026
- HNW RAUM · $700M to $680MMar 12, 2025 to Mar 10, 2026
- Individual RAUM · $41.4M to $55.8MMar 12, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $3.4M to $4.5MMar 12, 2025 to Mar 10, 2026
- Pension RAUM · $36.1M to $35.8MMar 12, 2025 to Mar 10, 2026
- RAUM · $783M to $773MMar 12, 2025 to Mar 10, 2026
- Individual clients · 92 to 88Dec 6, 2024 to Mar 12, 2025
- Accounts · 266 to 273Dec 6, 2024 to Mar 12, 2025
- Charity clients · unset to 2.0Dec 6, 2024 to Mar 12, 2025
- HNW clients · 161 to 173Dec 6, 2024 to Mar 12, 2025
- Pension plan clients · 9 to 8Dec 6, 2024 to Mar 12, 2025
- Assets in custody · $39.6M to $73.5MDec 6, 2024 to Mar 12, 2025
- Financial planning clients · 0 to 0Dec 6, 2024 to Mar 12, 2025
- Discretionary RAUM · $720M to $779MDec 6, 2024 to Mar 12, 2025
- HNW RAUM · $633M to $700MDec 6, 2024 to Mar 12, 2025
- Individual RAUM · $43.5M to $41.4MDec 6, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $2.8M to $3.4MDec 6, 2024 to Mar 12, 2025
- Pension RAUM · $40.4M to $36.1MDec 6, 2024 to Mar 12, 2025
- RAUM · $723M to $783MDec 6, 2024 to Mar 12, 2025
- Accounts · 274 to 266Jun 26, 2023 to Mar 11, 2024
- Corporate clients · unset to 0.0Jun 26, 2023 to Mar 11, 2024
- HNW clients · 151 to 161Jun 26, 2023 to Mar 11, 2024
- Individual clients · 102 to 92Jun 26, 2023 to Mar 11, 2024
- Pension plan clients · 12 to 9Jun 26, 2023 to Mar 11, 2024
- Assets in custody · $59.1M to $39.6MJun 26, 2023 to Mar 11, 2024
- Discretionary RAUM · $782M to $720MJun 26, 2023 to Mar 11, 2024
- HNW RAUM · $599M to $633MJun 26, 2023 to Mar 11, 2024
- Individual RAUM · $47.3M to $43.5MJun 26, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $2.9M to $2.8MJun 26, 2023 to Mar 11, 2024
- Pension RAUM · $89.4M to $40.4MJun 26, 2023 to Mar 11, 2024
Signals
3 dated events
- M D•••• M••••• (Executive Vice President) appeared on Schedule A of N•••• P•••• P•••••••• M••••••• C•••••••••Mar 13, 2023 · Control person joined · fact
- James Ronald Lang (President And Secretary) no longer on Schedule A of N•••• P•••• P•••••••• M••••••• C••••••••• (listed 2022-06-21, absent 2023-03-13)Mar 13, 2023 · Control person left · inference
- Michael Philip D••••• W••••• (Vice President) no longer on Schedule A of N•••• P•••• P•••••••• M••••••• C••••••••• (listed 2021-03-11, absent 2021-10-26)Oct 26, 2021 · Control person left · inference
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
- 440-720-1100reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 440-720-1100reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- nppmcorp.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- nppmcorp.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026