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

P•••••• W••••• C••••••••• L••

Former SEC-registered adviserToledo, OhioCRD 112602SEC 801-57364IAPD
Latest filing Nov 2, 2018
First filing on the tape Jan 30, 2012 · 24 filings
RAUM
$247M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
71%
$176M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$247M as of Mar 30, 2018
Jan 30, 2012$116M then
HNW client RAUM: $80.0M
State-registered IARs (5.B.3)2 as of Mar 30, 2018
Jan 30, 20120 then
Employees (5.A)10 as of Mar 30, 2018
Mar 12, 201311 then
Private funds: no history
RAUM +16% over the last fiscal year+11% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Nov 2, 2018; every figure names its basis
RAUM per advisor
$61.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
125derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$615,385derivedHNW RAUM over HNW clients
Average account
$143,093derivedRAUM over accounts (5.F.2.f)
Discretionary
78%derivedof RAUM
Institutional
29%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
+16%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 assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$95.8M39%
  • High-net-worth individuals$80.0M32%
  • Pension and profit-sharing plans$71.0M29%
Individual clients
370reported
HNW clients
130reported
Pension plan clients
93reported
Charitable clients
0reported
Accounts
1,725reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
      • R••••••• G•••• L•• · Chief Executive Officercontrol
        since 08/1997 · owns 75% or more
      • A••••• S•••• · Chief Compliance Officer
        since 01/2015 · owns less than 5%
      • M•••••• D••••••• S•••• · President
        since 09/2009 · owns less than 5%
      Related persons
      Schedule D 7.A
      • D•••••• S• M•••••
        investment advisern
      • G••• L• R••••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 1,725
        Oct 31, 2018 to Nov 2, 2018
      • Advisory employees · 0 to 4
        Oct 31, 2018 to Nov 2, 2018
      • HNW clients · 0 to 130
        Oct 31, 2018 to Nov 2, 2018
      • Individual clients · 0 to 370
        Oct 31, 2018 to Nov 2, 2018
      • Pension plan clients · 0 to 93
        Oct 31, 2018 to Nov 2, 2018
      • Employees · 0 to 10
        Oct 31, 2018 to Nov 2, 2018
      • State-registered IARs · 0 to 4
        Oct 31, 2018 to Nov 2, 2018
      • Discretionary RAUM · $0 to $193M
        Oct 31, 2018 to Nov 2, 2018
      • HNW RAUM · $0 to $80.0M
        Oct 31, 2018 to Nov 2, 2018
      • Individual RAUM · $0 to $95.8M
        Oct 31, 2018 to Nov 2, 2018
      • Non-discretionary RAUM · $0 to $54.1M
        Oct 31, 2018 to Nov 2, 2018
      • Pension RAUM · $0 to $71.0M
        Oct 31, 2018 to Nov 2, 2018
      • RAUM · $0 to $247M
        Oct 31, 2018 to Nov 2, 2018
      • Accounts · 1,725 to 0
        Aug 7, 2018 to Oct 31, 2018
      • Advisory employees · 4 to 0
        Aug 7, 2018 to Oct 31, 2018
      • HNW clients · 130 to 0
        Aug 7, 2018 to Oct 31, 2018
      • Individual clients · 370 to 0
        Aug 7, 2018 to Oct 31, 2018
      • Pension plan clients · 93 to 0
        Aug 7, 2018 to Oct 31, 2018
      • Employees · 10 to 0
        Aug 7, 2018 to Oct 31, 2018
      • State-registered IARs · 4 to 0
        Aug 7, 2018 to Oct 31, 2018
      • Discretionary RAUM · $193M to $0
        Aug 7, 2018 to Oct 31, 2018
      • HNW RAUM · $80.0M to $0
        Aug 7, 2018 to Oct 31, 2018
      • Individual RAUM · $95.8M to $0
        Aug 7, 2018 to Oct 31, 2018
      • Non-discretionary RAUM · $54.1M to $0
        Aug 7, 2018 to Oct 31, 2018
      • Pension RAUM · $71.0M to $0
        Aug 7, 2018 to Oct 31, 2018
      • RAUM · $247M to $0
        Aug 7, 2018 to Oct 31, 2018
      • Advisory employees · 2 to 4
        Mar 30, 2018 to Apr 17, 2018
      • State-registered IARs · 2 to 4
        Mar 30, 2018 to Apr 17, 2018
      • Accounts · 1,683 to 1,725
        Sep 26, 2017 to Mar 30, 2018
      • Advisory activities · 2 to 3
        Sep 26, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Sep 26, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Sep 26, 2017 to Mar 30, 2018
      • HNW clients · unset to 130.0
        Sep 26, 2017 to Mar 30, 2018
      • Individual clients · unset to 370.0
        Sep 26, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 93.0
        Sep 26, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Sep 26, 2017 to Mar 30, 2018
      • Financial planning clients · 11-25 to 26-50
        Sep 26, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Sep 26, 2017 to Mar 30, 2018
      • Discretionary RAUM · $163M to $193M
        Sep 26, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 80000000.0
        Sep 26, 2017 to Mar 30, 2018
      Signals
      1 dated events
      • P•••••• W••••• C••••••••• L•• reported RAUM $0, down 100% from $246.8M (2018-08-07 to 2018-10-31)
        Oct 31, 2018 · RAUM change · derived
      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