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
R••• F•••••••• S•••••••• I•••
Legal name J•••• R••• F•••••••• S•••••••• I•••
Latest filing Mar 5, 2026
First filing on the tape Mar 14, 2012 · 28 filings
SEC status approved since Aug 17, 1989
RAUM
$389M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$374M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$97.2M
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$389M as of Mar 5, 2026
Mar 14, 2012$144M then
HNW client RAUM$293M as of Mar 5, 2026
Mar 27, 2018$147M then
State-registered IARs (5.B.3)4 as of Mar 5, 2026
Mar 21, 20132 then
Employees (5.A)10 as of Mar 5, 2026
Mar 21, 20138 then
Private funds: no history
RAUM +12% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 5, 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
- 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
- $97.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $333,316derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$293M75%
- Individuals$81.5M21%
- Pension and profit-sharing plans$14.2M3.7%
- Corporations and businesses$99,7510.0%
- Individual clients
- 214reported
- HNW clients
- 129reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 1,166reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• E•••••••• L•••••••••Certified Financial Planner | Cleveland, Oh | May 29, 2015 | 28 y | 0 |
| J•••• S• E•••••• | Cleveland, Oh | Feb 5, 2020 | 14 y | 0 |
| E••• W••••• | Cleveland, Oh | Feb 5, 2020 | 10 y | 0 |
| L••• A• S••••Certified Financial Planner | Cleveland, Oh | Sep 30, 2021 | 10 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
- J••• D••• M•• to R••••••• • A•••••••••Jan 22, 2018 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••• J••••• S• · Client Relations Managercontrolsince 01/2019 · owns 10% to 25%
- L••••••••• A•••••• E•••••••• · Chief Operating Officer/ Chief Compliance Officercontrolsince 05/2013 · owns 50% to 75%
- R•••• J••••• M•••• · Presidentcontrolsince 12/1986 · owns 10% to 25%
- W•••••• E••• · Investment Analystcontrolsince 01/2022 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Cleveland, Oh · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,143 to 1,166Mar 18, 2025 to Mar 5, 2026
- Advisory employees · 11 to 10Mar 18, 2025 to Mar 5, 2026
- HNW clients · 120 to 129Mar 18, 2025 to Mar 5, 2026
- Individual clients · 221 to 214Mar 18, 2025 to Mar 5, 2026
- Employees · 11 to 10Mar 18, 2025 to Mar 5, 2026
- Discretionary RAUM · $346M to $389MMar 18, 2025 to Mar 5, 2026
- HNW RAUM · $254M to $293MMar 18, 2025 to Mar 5, 2026
- Individual RAUM · $78.7M to $81.5MMar 18, 2025 to Mar 5, 2026
- Pension RAUM · $12.8M to $14.2MMar 18, 2025 to Mar 5, 2026
- RAUM · $346M to $389MMar 18, 2025 to Mar 5, 2026
- Accounts · 1,150 to 1,143Oct 1, 2024 to Mar 18, 2025
- Advisory employees · 12 to 11Oct 1, 2024 to Mar 18, 2025
- HNW clients · 106 to 120Oct 1, 2024 to Mar 18, 2025
- Individual clients · 239 to 221Oct 1, 2024 to Mar 18, 2025
- Pension plan clients · 8 to 7Oct 1, 2024 to Mar 18, 2025
- Employees · 12 to 11Oct 1, 2024 to Mar 18, 2025
- Financial planning clients · 251-500 to 251-500Oct 1, 2024 to Mar 18, 2025
- State-registered IARs · 6 to 4Oct 1, 2024 to Mar 18, 2025
- Other offices · 1 to 0Oct 1, 2024 to Mar 18, 2025
- Discretionary RAUM · $307M to $346MOct 1, 2024 to Mar 18, 2025
- HNW RAUM · $213M to $254MOct 1, 2024 to Mar 18, 2025
- Individual RAUM · $82.9M to $78.7MOct 1, 2024 to Mar 18, 2025
- Pension RAUM · $11.1M to $12.8MOct 1, 2024 to Mar 18, 2025
- RAUM · $307M to $346MOct 1, 2024 to Mar 18, 2025
- Accounts · 1,165 to 1,150Mar 29, 2023 to Feb 20, 2024
- BD registered reps · 5 to 4Mar 29, 2023 to Feb 20, 2024
- Corporate clients · 2 to 1Mar 29, 2023 to Feb 20, 2024
- HNW clients · 96 to 106Mar 29, 2023 to Feb 20, 2024
- Individual clients · 253 to 239Mar 29, 2023 to Feb 20, 2024
- Pension plan clients · 6 to 8Mar 29, 2023 to Feb 20, 2024
- Discretionary RAUM · $271M to $307MMar 29, 2023 to Feb 20, 2024
- HNW RAUM · $177M to $213MMar 29, 2023 to Feb 20, 2024
- Individual RAUM · $82.7M to $82.9MMar 29, 2023 to Feb 20, 2024
- Pension RAUM · $11.1M to $11.1MMar 29, 2023 to Feb 20, 2024
- RAUM · $271M to $307MMar 29, 2023 to Feb 20, 2024
- Accounts · 1,156 to 1,165Nov 4, 2022 to Mar 29, 2023
- BD registered reps · 6 to 5Nov 4, 2022 to Mar 29, 2023
- HNW clients · 107 to 96Nov 4, 2022 to Mar 29, 2023
- Individual clients · 240 to 253Nov 4, 2022 to Mar 29, 2023
- Pension plan clients · 5 to 6Nov 4, 2022 to Mar 29, 2023
Signals
2 dated events
- E••• W••••• (Investment Analyst) appeared on Schedule A of R••• F•••••••• S•••••••• I•••Mar 29, 2022 · Control person joined · fact
- S Janet Edwards (Client Relations Manager) appeared on Schedule A of R••• F•••••••• S•••••••• I•••Mar 27, 2019 · Control person joined · 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
- Business phone
- 216-464-1163reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 216-464-2090reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-637-3211reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- R•••-FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 216-464-2090reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- reed-financial.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- reed-financial.com/about-us/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
- $97.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026