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.

Former SEC-registered adviser

Commonwealth Advisory Group, Ltd.

Former SEC-registered adviserPittsburgh, PennsylvaniaCRD 113347SEC 801-60362IAPD
Latest filing Mar 15, 2021
First filing on the tape Nov 23, 2011 · 33 filings
RAUM
$465M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
84%
$393M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$465M as of Mar 11, 2021
Feb 7, 2012$186M then
HNW client RAUM$315M as of Mar 11, 2021
Feb 25, 2018$236M then
State-registered IARs (5.B.3)5 as of Mar 11, 2021
Feb 12, 20134 then
Employees (5.A)8 as of Mar 11, 2021
Feb 12, 20136 then
Private funds: no history
RAUM +6.8% over the last fiscal year+8.1% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Mar 15, 2021; every figure names its basis
RAUM per advisor
$93.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
77derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$508,651derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.8%derivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.6%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$140M, 136 clientsreportedItem 9.A
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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$315M68%
  • Individuals$77.8M17%
  • Pension and profit-sharing plans$41.3M8.9%
  • Charitable organizations$16.7M3.6%
  • Corporations and businesses$14.2M3.0%
Individual clients
290reported
HNW clients
95reported
Pension plan clients
12reported
Charitable clients
8reported
Accounts
915reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$140M for 136 clientsreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
  • 5 left for Mariner
    Sep 13, 2021 · Pittsburgh, Pa · Firm absorbed
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Joseph Robert Lohman · President/Ceocontrol
      since 07/1993 · owns 75% or more
    • Lisa Stein · Chief Compliance Officer/Chief Operations Officercontrol
      since 01/2019 · owns less than 5%
    Related persons
    Schedule D 7.A
    • Randy G. Hillier
      real estatey
    • Robert J. Lohman
      real estatey
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 927 to 915
      Jan 12, 2021 to Mar 11, 2021
    • HNW clients · 90 to 95
      Jan 12, 2021 to Mar 11, 2021
    • Individual clients · 289 to 290
      Jan 12, 2021 to Mar 11, 2021
    • Assets in custody · $97.4M to $140M
      Jan 12, 2021 to Mar 11, 2021
    • Employees · 9 to 8
      Jan 12, 2021 to Mar 11, 2021
    • HNW RAUM · $292M to $315M
      Jan 12, 2021 to Mar 11, 2021
    • Individual RAUM · $76.2M to $77.8M
      Jan 12, 2021 to Mar 11, 2021
    • Non-discretionary RAUM · $436M to $465M
      Jan 12, 2021 to Mar 11, 2021
    • Pension RAUM · $38.7M to $41.3M
      Jan 12, 2021 to Mar 11, 2021
    • RAUM · $436M to $465M
      Jan 12, 2021 to Mar 11, 2021
    • Assets in custody · unset to 97426174.0
      Jun 19, 2020 to Sep 23, 2020
    • Custody of client assets · false to true
      Jun 19, 2020 to Sep 23, 2020
    • Advisory employees · 6 to 5
      Feb 6, 2020 to Jun 19, 2020
    • Advisory activities · 2 to 3
      Feb 6, 2020 to Jun 19, 2020
    • State-registered IARs · 6 to 5
      Feb 6, 2020 to Jun 19, 2020
    • Accounts · 899 to 927
      Mar 25, 2019 to Feb 6, 2020
    • HNW clients · 80 to 90
      Mar 25, 2019 to Feb 6, 2020
    • Individual clients · 290 to 289
      Mar 25, 2019 to Feb 6, 2020
    • Employees · 8 to 9
      Mar 25, 2019 to Feb 6, 2020
    • HNW RAUM · $227M to $292M
      Mar 25, 2019 to Feb 6, 2020
    • Individual RAUM · $75.0M to $76.2M
      Mar 25, 2019 to Feb 6, 2020
    • Non-discretionary RAUM · $362M to $436M
      Mar 25, 2019 to Feb 6, 2020
    • Pension RAUM · $33.6M to $38.7M
      Mar 25, 2019 to Feb 6, 2020
    • RAUM · $362M to $436M
      Mar 25, 2019 to Feb 6, 2020
    • Accounts · 874 to 899
      May 31, 2018 to Feb 26, 2019
    • Charity clients · 7 to 8
      May 31, 2018 to Feb 26, 2019
    • Corporate clients · 11 to 12
      May 31, 2018 to Feb 26, 2019
    • HNW clients · 73 to 80
      May 31, 2018 to Feb 26, 2019
    • Individual clients · 268 to 290
      May 31, 2018 to Feb 26, 2019
    • Pension plan clients · 14 to 12
      May 31, 2018 to Feb 26, 2019
    • HNW RAUM · $236M to $227M
      May 31, 2018 to Feb 26, 2019
    • Individual RAUM · $73.1M to $75.0M
      May 31, 2018 to Feb 26, 2019
    • Non-discretionary RAUM · $369M to $362M
      May 31, 2018 to Feb 26, 2019
    • Pension RAUM · $36.3M to $33.6M
      May 31, 2018 to Feb 26, 2019
    • RAUM · $369M to $362M
      May 31, 2018 to Feb 26, 2019
    • Accounts · 835 to 874
      Mar 3, 2017 to Feb 25, 2018
    • Charity clients · unset to 7.0
      Mar 3, 2017 to Feb 25, 2018
    • Corporate clients · unset to 11.0
      Mar 3, 2017 to Feb 25, 2018
    • HNW clients · unset to 73.0
      Mar 3, 2017 to Feb 25, 2018
    • Individual clients · unset to 268.0
      Mar 3, 2017 to Feb 25, 2018
    Signals
    1 dated events
    • Lisa Stein (Chief Compliance Officer) appeared on Schedule A of Commonwealth Advisory Group, Ltd.
      Feb 26, 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.
    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