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••••• O• L••• W••••• P•••••••
Legal name P•••••• F•••••••• S•••••••• L••
Latest filing Feb 25, 2026
First filing on the tape Feb 27, 2017 · 18 filings
SEC status approved since Mar 14, 2017
RAUM
$473M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
87%
$413M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$118M
derived; firm RAUM over IAPD count
Employees
13
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$473M as of Feb 25, 2026
Mar 30, 2018$181M then
HNW client RAUM$343M as of Feb 25, 2026
Mar 30, 2018$122M then
State-registered IARs (5.B.3)5 as of Feb 25, 2026
Mar 30, 20184 then
Employees (5.A)13 as of Feb 25, 2026
Mar 30, 201810 then
Private funds: no history
RAUM +20% over the last fiscal year+10% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 25, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $118MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $566,561derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscriptionreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$343M73%
- Individuals$70.1M15%
- Pension and profit-sharing plans$59.7M13%
- Individual clients
- 167reported
- HNW clients
- 88reported
- Pension plan clients
- 29reported
- Charitable clients
- n/areported
- Accounts
- 834reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••• F••••••• | Brecksville, Oh | Jun 7, 2004 | 32 y | 1 |
| Y••••••• Y••• | Baltimore, Md | Jul 12, 2016 | 14 y | 0 |
| C•••••• C•••••• H•••••Certified Financial Planner, Chartered Financial Consultant | Cleveland, Oh | Jun 10, 2022 | 17 y | 0 |
| D••••••• K••••••• L•••••• | Cleveland, Oh | Aug 30, 2022 | 13 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 headcount1 left over 36 months
Left, latest
- M•••••• G•••• R•••••• to L•• F•••••••• L••Jan 24, 2024 · RIA to RIA
- A•• C•••• V•••••••• to K•• I••••••••• S••••••• L••Jan 18, 2023 · RIA to affiliated broker-dealer or bank
- B•••• J••• K••••• to L•• F•••••••• L••Jul 19, 2021 · Other
- J••••• M•••••• B•• to C••••••••• F•••••••• N••••••Mar 26, 2021 · RIA to affiliated broker-dealer or bank
- D••••• M••• G••••••• to P••••••• C•••••• A••••••• C•••••••••Jul 13, 2020 · RIA to RIA
- C••••••••• C• W••••• to E•••••• A••••••• G••••• L••Jan 10, 2017 · Other
- W••••• E•••••• M•••• to L•• F•••••••• L••Dec 19, 2016 · Other
Joined, latest
- A•• C•••• V•••••••• from A••••••••• F•••••••• S•••••••• L••Jul 16, 2020 · Affiliated broker-dealer or bank to independent RIA
- D••••• M••• G••••••• from P•••• S••••••••• L••Nov 9, 2017 · Other
- B•••• J••• K••••• from P•• C•••••• A••••••• L••Apr 18, 2017 · Other
- C••••••••• C• W••••• from L•• F•••••••• L••Jul 12, 2016 · Other
- W••••• E•••••• M•••• from O•••••••• A•••••••• I•••Apr 20, 2007 · Other
- J••••• M•••••• B•• from L•• F•••••••• L••Jul 1, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• F•••• · President, Chief Compliance Officercontrolsince 01/1994 · owns 75% or more
- R•••••• J•••••• M•••••• · Chief Operating Officersince 10/2023 · owns less than 5%
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 | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 782 to 834Mar 31, 2025 to Feb 25, 2026
- HNW clients · 73 to 88Mar 31, 2025 to Feb 25, 2026
- Individual clients · 183 to 167Mar 31, 2025 to Feb 25, 2026
- Pension plan clients · 30 to 29Mar 31, 2025 to Feb 25, 2026
- Employees · 12 to 13Mar 31, 2025 to Feb 25, 2026
- Discretionary RAUM · $347M to $413MMar 31, 2025 to Feb 25, 2026
- HNW RAUM · $255M to $343MMar 31, 2025 to Feb 25, 2026
- Individual RAUM · $91.4M to $70.1MMar 31, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $45.4M to $59.7MMar 31, 2025 to Feb 25, 2026
- Pension RAUM · $45.4M to $59.7MMar 31, 2025 to Feb 25, 2026
- RAUM · $392M to $473MMar 31, 2025 to Feb 25, 2026
- Accounts · 755 to 782Sep 3, 2024 to Mar 31, 2025
- HNW clients · 66 to 73Sep 3, 2024 to Mar 31, 2025
- Individual clients · 192 to 183Sep 3, 2024 to Mar 31, 2025
- Pension plan clients · 28 to 30Sep 3, 2024 to Mar 31, 2025
- Employees · 11 to 12Sep 3, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 11-25Sep 3, 2024 to Mar 31, 2025
- Discretionary RAUM · $296M to $347MSep 3, 2024 to Mar 31, 2025
- HNW RAUM · $196M to $255MSep 3, 2024 to Mar 31, 2025
- Individual RAUM · $100M to $91.4MSep 3, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $72.3M to $45.4MSep 3, 2024 to Mar 31, 2025
- Pension RAUM · $72.3M to $45.4MSep 3, 2024 to Mar 31, 2025
- RAUM · $368M to $392MSep 3, 2024 to Mar 31, 2025
- Commission compensation · true to falseMar 28, 2024 to Sep 3, 2024
- Related broker-dealer · false to trueMar 28, 2024 to Sep 3, 2024
- Accounts · 774 to 755Oct 2, 2023 to Mar 28, 2024
- Business name · P•••••• F•••••••• S••••••• to R••••• O• L••• W••••• P•••••••Oct 2, 2023 to Mar 28, 2024
- HNW clients · 61 to 66Oct 2, 2023 to Mar 28, 2024
- Individual clients · 225 to 192Oct 2, 2023 to Mar 28, 2024
- Pension plan clients · 20 to 28Oct 2, 2023 to Mar 28, 2024
- Discretionary RAUM · $295M to $296MOct 2, 2023 to Mar 28, 2024
- HNW RAUM · $198M to $196MOct 2, 2023 to Mar 28, 2024
- Individual RAUM · $96.6M to $100MOct 2, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $57.8M to $72.3MOct 2, 2023 to Mar 28, 2024
- Pension RAUM · $57.8M to $72.3MOct 2, 2023 to Mar 28, 2024
- RAUM · $352M to $368MOct 2, 2023 to Mar 28, 2024
- Accounts · 769 to 774May 8, 2022 to Mar 31, 2023
- Advisory employees · 3 to 5May 8, 2022 to Mar 31, 2023
- BD registered reps · 4 to 5May 8, 2022 to Mar 31, 2023
- HNW clients · 77 to 61May 8, 2022 to Mar 31, 2023
Signals
3 dated events
- M•••••• G•••• R•••••• left R••••• O• L••• W••••• P••••••• for L•• F•••••••• L•• (registered 2022-07-01)Jan 24, 2024 · Advisor changed firm · fact
- A•• C•••• V•••••••• left R••••• O• L••• W••••• P••••••• for K•• I••••••••• S••••••• L•• (registered 2023-10-25)Jan 18, 2023 · Advisor changed firm · fact
- P•••••• F•••••••• S••••••• filed its initial SEC registration (Form ADV)Feb 27, 2017 · First SEC registration · 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
- Firm profile
- linkedin.com/company/return-on-life-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- 401kprosperity.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 440-740-0130reportedpublic record, Form ADV, Feb 25, 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
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026