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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Latest filing Mar 12, 2026
First filing on the tape Mar 25, 2021 · 16 filings
SEC status approved since Apr 23, 2021
RAUM
$331M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$331M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$166M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$331M as of Mar 12, 2026
Mar 11, 2022$145M then
HNW client RAUM$329M as of Mar 12, 2026
Mar 11, 2022$140M then
State-registered IARs (5.B.3)1 as of Mar 12, 2026
Mar 11, 20221 then
Employees (5.A)1 as of Mar 12, 2026
Mar 11, 20221 then
Private funds: no history
RAUM +7.2% over the last fiscal year+7.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $166MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.1MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $190M, 19 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)
- 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)
- 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$329M99%
- Individuals$2.7M0.8%
- Individual clients
- 5reported
- HNW clients
- 25reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 167reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $190M for 19 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••••• P•••••• M••••• | Bratenahl, Oh | Jan 30, 2001 | 27 y | 0 |
| S••• P•••••• M••••• | Bratenahl, Oh | Sep 2, 2025 | 19 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
- M•••••• T•••••••• P•••••• · Owner & Chief Compliance Officercontrolsince 01/2002 · owns 75% or more
Related persons
Schedule D 7.A
- T••••••• P• M•••••• L••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bratenahl, Oh | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 12, 2026HNW RAUM per HNW client of $13,144,906 against a peer median of $2,402,920 (4942 comparable advisers, 100.0th percentile, 7.2 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 160 to 167Feb 6, 2026 to Mar 12, 2026
- HNW clients · 21 to 25Feb 6, 2026 to Mar 12, 2026
- Individual clients · 9 to 5Feb 6, 2026 to Mar 12, 2026
- Assets in custody · $188M to $190MFeb 6, 2026 to Mar 12, 2026
- Discretionary RAUM · $309M to $331MFeb 6, 2026 to Mar 12, 2026
- HNW RAUM · $303M to $329MFeb 6, 2026 to Mar 12, 2026
- Individual RAUM · $6.1M to $2.7MFeb 6, 2026 to Mar 12, 2026
- RAUM · $309M to $331MFeb 6, 2026 to Mar 12, 2026
- Assets in custody · $185M to $188MSep 15, 2025 to Feb 6, 2026
- Assets in custody · $166M to $185MFeb 10, 2025 to Jul 18, 2025
- Financial planning clients · 11-25 to 11-25Feb 10, 2025 to Jul 18, 2025
- Accounts · 169 to 160Dec 11, 2024 to Feb 10, 2025
- HNW clients · 18 to 21Dec 11, 2024 to Feb 10, 2025
- Individual clients · 20 to 9Dec 11, 2024 to Feb 10, 2025
- Assets in custody · $20.4M to $166MDec 11, 2024 to Feb 10, 2025
- HQ city · unset to Dec 11, 2024 to Feb 10, 2025
- HQ state · unset to Dec 11, 2024 to Feb 10, 2025
- Discretionary RAUM · $280M to $309MDec 11, 2024 to Feb 10, 2025
- HNW RAUM · $273M to $303MDec 11, 2024 to Feb 10, 2025
- Individual RAUM · $6.3M to $6.1MDec 11, 2024 to Feb 10, 2025
- RAUM · $280M to $309MDec 11, 2024 to Feb 10, 2025
- HQ city · LAKEWOOD to unsetMay 17, 2024 to Dec 11, 2024
- HQ state · OH to unsetMay 17, 2024 to Dec 11, 2024
- Accounts · 162 to 169Jan 22, 2024 to Mar 22, 2024
- HNW clients · 4 to 18Jan 22, 2024 to Mar 22, 2024
- Assets in custody · unset to 20416748.0Jan 22, 2024 to Mar 22, 2024
- Custody of client assets · false to trueJan 22, 2024 to Mar 22, 2024
- Discretionary RAUM · $264M to $280MJan 22, 2024 to Mar 22, 2024
- HNW RAUM · $202M to $273MJan 22, 2024 to Mar 22, 2024
- Individual RAUM · $61.1M to $6.3MJan 22, 2024 to Mar 22, 2024
- RAUM · $264M to $280MJan 22, 2024 to Mar 22, 2024
- Accounts · 187 to 162Oct 5, 2022 to Mar 16, 2023
- HNW clients · 27 to 4Oct 5, 2022 to Mar 16, 2023
- Individual clients · 10 to 20Oct 5, 2022 to Mar 16, 2023
- Discretionary RAUM · $145M to $264MOct 5, 2022 to Mar 16, 2023
- HNW RAUM · $140M to $202MOct 5, 2022 to Mar 16, 2023
- Individual RAUM · $5.2M to $61.1MOct 5, 2022 to Mar 16, 2023
- RAUM · $145M to $264MOct 5, 2022 to Mar 16, 2023
- Accounts · 34 to 187Oct 13, 2021 to Mar 11, 2022
- HNW clients · 24 to 27Oct 13, 2021 to Mar 11, 2022
Signals
2 dated events
- T•• M••••• G••••• L•• reported RAUM $263.6M, up 82% from $144.8M (2022-10-05 to 2023-03-16)Mar 16, 2023 · RAUM change · derived
- T•• M••••• G••••• L•• filed its initial SEC registration (Form ADV)Mar 25, 2021 · 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
- Principal office phone
- (216) 529-1642reportedpublic record, Form ADV, Mar 12, 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
- $166Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026