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

C•• F•••••••• G•••• I••

Former SEC-registered adviserAkron, OhioCRD 111725SEC 801-10846IAPD
Latest filing Oct 25, 2018
First filing on the tape Mar 27, 2012 · 9 filings
RAUM
$112M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$112M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$112M as of Oct 25, 2018
Oct 25, 2012$103M then
HNW client RAUM$96.3M as of Oct 25, 2018
Oct 11, 2017$97.7M then
State-registered IARs (5.B.3)1 as of Oct 25, 2018
Oct 24, 20131 then
Employees (5.A)4 as of Oct 25, 2018
Oct 24, 20133 then
Private funds: no history
RAUM -1.5% over the last fiscal year+0.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Oct 25, 2018; every figure names its basis
RAUM per advisor
$112MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
65derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.4MderivedHNW RAUM over HNW clients
Average account
$1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 5.G
Custody
$6.6M, 15 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$96.3M86%
  • Individuals$15.5M14%
Individual clients
37reported
HNW clients
28reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
65reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$6.6M for 15 clientsreported
Compensation
% of AUM, fixed, 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R••••••• J••••••• H•••••• · Chief Compliance Officer/Ceo/Sole Shareholdercontrol
        since 10/2004 · owns 75% or more
      Related persons
      Schedule D 7.A
      • J•••••• H• R••••••
        n
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 1 to 2
        Jan 4, 2018 to Oct 25, 2018
      • Insurance-licensed employees · 0 to 1
        Jan 4, 2018 to Oct 25, 2018
      • Discretionary RAUM · $110M to $108M
        Jan 4, 2018 to Oct 25, 2018
      • HNW RAUM · $97.7M to $96.3M
        Jan 4, 2018 to Oct 25, 2018
      • Individual RAUM · $15.8M to $15.5M
        Jan 4, 2018 to Oct 25, 2018
      • Non-discretionary RAUM · $3.5M to $3.4M
        Jan 4, 2018 to Oct 25, 2018
      • RAUM · $113M to $112M
        Jan 4, 2018 to Oct 25, 2018
      • Accounts · 77 to 65
        Oct 4, 2016 to Oct 11, 2017
      • HNW clients · unset to 28.0
        Oct 4, 2016 to Oct 11, 2017
      • Individual clients · unset to 37.0
        Oct 4, 2016 to Oct 11, 2017
      • Assets in custody · $6.6M to $6.6M
        Oct 4, 2016 to Oct 11, 2017
      • Financial planning clients · 1-10 to 51-100
        Oct 4, 2016 to Oct 11, 2017
      • Other offices · unset to 0.0
        Oct 4, 2016 to Oct 11, 2017
      • Discretionary RAUM · $101M to $110M
        Oct 4, 2016 to Oct 11, 2017
      • HNW RAUM · unset to 97714126.0
        Oct 4, 2016 to Oct 11, 2017
      • Individual RAUM · unset to 15777374.0
        Oct 4, 2016 to Oct 11, 2017
      • Non-discretionary RAUM · $3.5M to $3.5M
        Oct 4, 2016 to Oct 11, 2017
      • RAUM · $104M to $113M
        Oct 4, 2016 to Oct 11, 2017
      • Accounts · 87 to 77
        Oct 15, 2015 to Oct 4, 2016
      • Assets in custody · $6.9M to $6.6M
        Oct 15, 2015 to Oct 4, 2016
      • Discretionary RAUM · $102M to $101M
        Oct 15, 2015 to Oct 4, 2016
      • Non-discretionary RAUM · $8.4M to $3.5M
        Oct 15, 2015 to Oct 4, 2016
      • RAUM · $111M to $104M
        Oct 15, 2015 to Oct 4, 2016
      • Accounts · 88 to 87
        Sep 30, 2014 to Oct 15, 2015
      • Assets in custody · $5.4M to $6.9M
        Sep 30, 2014 to Oct 15, 2015
      • Employees · 3 to 4
        Sep 30, 2014 to Oct 15, 2015
      • Discretionary RAUM · $104M to $102M
        Sep 30, 2014 to Oct 15, 2015
      • Non-discretionary RAUM · $9.0M to $8.4M
        Sep 30, 2014 to Oct 15, 2015
      • RAUM · $113M to $111M
        Sep 30, 2014 to Oct 15, 2015
      • Accounts · 86 to 88
        Oct 24, 2013 to Sep 30, 2014
      • Assets in custody · $5.1M to $5.4M
        Oct 24, 2013 to Sep 30, 2014
      • Discretionary RAUM · $101M to $104M
        Oct 24, 2013 to Sep 30, 2014
      • Non-discretionary RAUM · $8.2M to $9.0M
        Oct 24, 2013 to Sep 30, 2014
      • RAUM · $110M to $113M
        Oct 24, 2013 to Sep 30, 2014
      • Accounts · 84 to 86
        Oct 25, 2012 to Oct 24, 2013
      • Advisory employees · unset to 1.0
        Oct 25, 2012 to Oct 24, 2013
      • Assets in custody · $11.6M to $5.1M
        Oct 25, 2012 to Oct 24, 2013
      • Employees · unset to 3.0
        Oct 25, 2012 to Oct 24, 2013
      • State-registered IARs · unset to 1.0
        Oct 25, 2012 to Oct 24, 2013
      • Discretionary RAUM · $95.0M to $101M
        Oct 25, 2012 to Oct 24, 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