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•••••• I••••••••• A••••••• I••
Latest filing Apr 1, 2026
First filing on the tape Apr 4, 2012 · 17 filings
SEC status approved since May 9, 2024
RAUM
$198M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
27%
$53.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$99.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$198M as of Apr 1, 2026
Apr 4, 2012$91.6M then
HNW client RAUM$40.4M as of Apr 1, 2026
Apr 2, 2025$40.3M then
State-registered IARs (5.B.3)2 as of Apr 1, 2026
Apr 1, 20130 then
Employees (5.A)2 as of Apr 1, 2026
Apr 1, 20133 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $99.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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
- Other investment advisers$64.8M33%
- Pension and profit-sharing plans$62.3M31%
- High-net-worth individuals$40.4M20%
- Corporations and businesses$17.6M8.9%
- Individuals$12.7M6.4%
- Individual clients
- 44reported
- HNW clients
- 31reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 176reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.27 fund_share=0.33 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• M• H•••••• | Beachwood, Oh | Oct 11, 2016 | 15 y | 0 |
| K•••••• M•••••• H•••••• | Beachwood, Oh | Dec 2, 2016 | 37 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• K••••••• M•••••• · Chief Executive Officer, President, Chief Compliance Officercontrolsince 04/1989 · owns 75% or more
- H••••••• J•••••• M• · Vice Presidentsince 03/2013 · 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 |
|---|---|---|---|---|---|
| Beachwood, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 179 to 176Apr 2, 2025 to Apr 1, 2026
- Corporate clients · 5 to 6Apr 2, 2025 to Apr 1, 2026
- Individual clients · 48 to 44Apr 2, 2025 to Apr 1, 2026
- Pension plan clients · 9 to 5Apr 2, 2025 to Apr 1, 2026
- Discretionary RAUM · $156M to $195MApr 2, 2025 to Apr 1, 2026
- HNW RAUM · $40.3M to $40.4MApr 2, 2025 to Apr 1, 2026
- Individual RAUM · $12.1M to $12.7MApr 2, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $2.6M to $3.2MApr 2, 2025 to Apr 1, 2026
- Pension RAUM · $60.3M to $62.3MApr 2, 2025 to Apr 1, 2026
- RAUM · $159M to $198MApr 2, 2025 to Apr 1, 2026
- Accounts · 168 to 179Apr 16, 2024 to Apr 2, 2025
- Corporate clients · 8 to 5Apr 16, 2024 to Apr 2, 2025
- HNW clients · 72 to 31Apr 16, 2024 to Apr 2, 2025
- Individual clients · 79 to 48Apr 16, 2024 to Apr 2, 2025
- Financial planning clients · unset to Apr 16, 2024 to Apr 2, 2025
- Discretionary RAUM · $112M to $156MApr 16, 2024 to Apr 2, 2025
- HNW RAUM · $39.1M to $40.3MApr 16, 2024 to Apr 2, 2025
- Individual RAUM · $8.1M to $12.1MApr 16, 2024 to Apr 2, 2025
- Non-discretionary RAUM · $2.3M to $2.6MApr 16, 2024 to Apr 2, 2025
- Pension RAUM · $55.4M to $60.3MApr 16, 2024 to Apr 2, 2025
- RAUM · $115M to $159MApr 16, 2024 to Apr 2, 2025
- Accounts · 176 to 168Jun 28, 2017 to Apr 11, 2024
- Charity clients · unset to 0.0Jun 28, 2017 to Apr 11, 2024
- Corporate clients · unset to 8.0Jun 28, 2017 to Apr 11, 2024
- HNW clients · unset to 72.0Jun 28, 2017 to Apr 11, 2024
- Individual clients · unset to 79.0Jun 28, 2017 to Apr 11, 2024
- Pension plan clients · unset to 9.0Jun 28, 2017 to Apr 11, 2024
- Pooled vehicle clients · unset to 0.0Jun 28, 2017 to Apr 11, 2024
- Employees · 3 to 2Jun 28, 2017 to Apr 11, 2024
- Other offices · unset to 0.0Jun 28, 2017 to Apr 11, 2024
- Discretionary RAUM · $80.2M to $112MJun 28, 2017 to Apr 11, 2024
- HNW RAUM · unset to 39078888.0Jun 28, 2017 to Apr 11, 2024
- Individual RAUM · unset to 8105007.0Jun 28, 2017 to Apr 11, 2024
- Non-discretionary RAUM · $1.7M to $2.3MJun 28, 2017 to Apr 11, 2024
- Pension RAUM · unset to 55370982.0Jun 28, 2017 to Apr 11, 2024
- Pooled vehicle RAUM · unset to 0.0Jun 28, 2017 to Apr 11, 2024
- RAUM · $81.9M to $115MJun 28, 2017 to Apr 11, 2024
- Accounts · 124 to 176Aug 17, 2016 to Mar 7, 2017
- State-registered IARs · 0 to 2Aug 17, 2016 to Mar 7, 2017
- Discretionary RAUM · $78.4M to $80.2MAug 17, 2016 to Mar 7, 2017
Signals
1 dated events
- N•••••• I••••••••• A••••••• I•• filed its initial SEC registration (Form ADV)Apr 11, 2024 · 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
- Business phone
- 216-514-5151reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- n••••••.usreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 216-514-5151reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- getnewport.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $99.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026