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
N•• F•••••••• P•••••••
Legal name F•••••••• P••••••• O• C••••••••• I•••
Latest filing Jun 25, 2022
First filing on the tape Nov 16, 2011 · 32 filings
RAUM
$759M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$729M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
22 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$759M as of Jun 24, 2022
May 1, 2012$586M then
HNW client RAUM$557M as of Jun 24, 2022
Jun 25, 2018$583M then
State-registered IARs (5.B.3)14 as of Jun 24, 2022
May 1, 20120 then
Employees (5.A)22 as of Jun 24, 2022
Apr 4, 201319 then
Private funds: no history
RAUM -45% over the last fiscal year-10% a year over threeIARs 17 to 14
Practice profile
derived from the filing of Jun 25, 2022; every figure names its basis
- RAUM per advisor
- $54.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $405,248derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 7.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -45%derivedbetween the last two annual amendments
- Advisor growth, one year
- -18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -44%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $230M, 408 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
- is an insurance broker or agent (6.A.6)
- 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$557M73%
- Individuals$172M23%
- Corporations and businesses$24.1M3.2%
- Pension and profit-sharing plans$5.1M0.7%
- Charitable organizations$364,3240.0%
- Individual clients
- 542reported
- HNW clients
- 235reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,873reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $759M managedreported
- Custody of client assets
- $230M for 408 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
- M••••••• A•••• K•••••••• to S•••••• F•••••••• G••••• L•••••Nov 7, 2022 · RIA to RIA
- M•••••• R• R••• to S•••••• F•••••••• G••••• L•••••Nov 7, 2022 · RIA to RIA
- D•••• F•••••• K•••• to S•••••• F•••••••• G••••• L•••••Nov 7, 2022 · RIA to RIA
- R••••• B•••• C••••••• to S•••••• F•••••••• G••••• L•••••Nov 7, 2022 · RIA to RIA
- M•••••• M••••• W••••••••• to S•••••• F•••••••• G••••• L•••••Nov 7, 2022 · RIA to RIA
- A••••• C•••••• C••••••• to S•••••• F•••••••• G••••• L•••••Nov 7, 2022 · RIA to RIA
- K•••• H••••• M•••••• to S•••••• F•••••••• G••••• L•••••Nov 7, 2022 · RIA to RIA
- K•••• L••• E•••••• to S•••••• F•••••••• G••••• L•••••Nov 7, 2022 · RIA to RIA
- E•••••••• P••••• S••••••••• to S•••••• F•••••••• G••••• L•••••Nov 7, 2022 · RIA to RIA
- C••••• S••••• F••• to S•••••• F•••••••• G••••• L•••••Nov 7, 2022 · RIA to RIA
- D••••• P•••••• L••••• to O•••• W•••••• I•••Jan 7, 2022 · RIA to affiliated broker-dealer or bank
- A••••• L•• B••••••• to O•••• W•••••• I•••Jan 7, 2022 · RIA to affiliated broker-dealer or bank
- A••••• C•••••• C••••••• to O•••• W•••••• I•••Jun 11, 2018 · Other
- E••• D•••••• to L•••••• I•••••••••Apr 25, 2018 · Other
- E•••• M•••• to P•••• F•••••••• C••••••••• L••Apr 6, 2017 · Other
Joined, latest
- M••••••• A•••• K•••••••• from O•••• W•••••• I•••Mar 9, 2021 · Affiliated broker-dealer or bank to independent RIA
- A••••• C•••••• C••••••• from O•••• W•••••• I•••Aug 22, 2018 · Affiliated broker-dealer or bank to independent RIA
- D••••• J••• O••••• from E•••••••• A•••••••• L••Oct 19, 2009 · Other
- M••••• W• B••••••• from N•••••• I••••••••• I•••Nov 20, 2007 · Other
- M•••••• M••••• W••••••••• from O•••• W•••••• I•••Dec 7, 1999 · Other
- K•••• H••••• M•••••• from O•••• W•••••• I•••Dec 7, 1999 · Other
- W••••• S••••• W•••••• from O•••• W•••••• I•••Dec 7, 1999 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 10 left for S•••••• F•••••••• G••••• L•••••Nov 7, 2022 · Mayfield Heights, Oh · Firm absorbed
- 2 left for O•••• W•••••• I•••Jan 7, 2022 · Cleveland, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• K••••• H••••• · President/Ceocontrolsince 05/1989 · owns 75% or more
- R••••••• K••••• J••• · Chief Compliance Officer/Vice Presidentcontrolsince 01/2005 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Westlake, OH5 employees
What changed
consecutive filings, newest first
- Accounts · 3,342 to 1,873Sep 30, 2021 to Jun 24, 2022
- Advisory employees · 23 to 22Sep 30, 2021 to Jun 24, 2022
- BD registered reps · 17 to 6Sep 30, 2021 to Jun 24, 2022
- Corporate clients · 10 to 5Sep 30, 2021 to Jun 24, 2022
- HNW clients · 435 to 235Sep 30, 2021 to Jun 24, 2022
- Individual clients · 959 to 542Sep 30, 2021 to Jun 24, 2022
- Pension plan clients · 6.0 to unsetSep 30, 2021 to Jun 24, 2022
- Assets in custody · $411M to $230MSep 30, 2021 to Jun 24, 2022
- Employees · 23 to 22Sep 30, 2021 to Jun 24, 2022
- Insurance-licensed employees · 0 to 13Sep 30, 2021 to Jun 24, 2022
- State-registered IARs · 17 to 14Sep 30, 2021 to Jun 24, 2022
- Discretionary RAUM · $1.4B to $743MSep 30, 2021 to Jun 24, 2022
- HNW RAUM · $957M to $557MSep 30, 2021 to Jun 24, 2022
- Individual RAUM · $400M to $172MSep 30, 2021 to Jun 24, 2022
- Non-discretionary RAUM · $27.2M to $16.5MSep 30, 2021 to Jun 24, 2022
- Pension RAUM · $4.6M to $5.1MSep 30, 2021 to Jun 24, 2022
- RAUM · $1.4B to $759MSep 30, 2021 to Jun 24, 2022
- Wrap assets (manager) · $1.4B to $759MSep 30, 2021 to Jun 24, 2022
- Accounts · 3,219 to 3,342Jun 29, 2020 to May 28, 2021
- Advisory employees · 22 to 23Jun 29, 2020 to May 28, 2021
- BD registered reps · 15 to 17Jun 29, 2020 to May 28, 2021
- Corporate clients · 9 to 10Jun 29, 2020 to May 28, 2021
- HNW clients · 302 to 435Jun 29, 2020 to May 28, 2021
- Individual clients · 1,112 to 959Jun 29, 2020 to May 28, 2021
- Pension plan clients · 8 to 6Jun 29, 2020 to May 28, 2021
- Assets in custody · $304M to $411MJun 29, 2020 to May 28, 2021
- Employees · 22 to 23Jun 29, 2020 to May 28, 2021
- Financial planning clients · 11-25 to 1-10Jun 29, 2020 to May 28, 2021
- State-registered IARs · 14 to 17Jun 29, 2020 to May 28, 2021
- Discretionary RAUM · $974M to $1.4BJun 29, 2020 to May 28, 2021
- HNW RAUM · $625M to $957MJun 29, 2020 to May 28, 2021
- Individual RAUM · $347M to $400MJun 29, 2020 to May 28, 2021
- Non-discretionary RAUM · $22.4M to $27.2MJun 29, 2020 to May 28, 2021
- Pension RAUM · $3.9M to $4.6MJun 29, 2020 to May 28, 2021
- RAUM · $997M to $1.4BJun 29, 2020 to May 28, 2021
- Wrap assets (manager) · $997M to $1.4BJun 29, 2020 to May 28, 2021
- Accounts · 3,060 to 3,219Apr 15, 2020 to Jun 25, 2020
- Advisory employees · 23 to 22Apr 15, 2020 to Jun 25, 2020
- BD registered reps · 16 to 15Apr 15, 2020 to Jun 25, 2020
- HNW clients · 319 to 302Apr 15, 2020 to Jun 25, 2020
Signals
16 dated events
- C••••• S••••• F••• left N•• F•••••••• P••••••• for S•••••• F•••••••• G••••• L••••• (registered 2022-01-12)Nov 7, 2022 · Advisor changed firm · fact
- A••••• C•••••• C••••••• left N•• F•••••••• P••••••• for S•••••• F•••••••• G••••• L••••• (registered 2022-01-12)Nov 7, 2022 · Advisor changed firm · fact
- R••••• B•••• C••••••• left N•• F•••••••• P••••••• for S•••••• F•••••••• G••••• L••••• (registered 2022-01-12)Nov 7, 2022 · Advisor changed firm · fact
- M•••••• R• R••• left N•• F•••••••• P••••••• for S•••••• F•••••••• G••••• L••••• (registered 2022-01-12)Nov 7, 2022 · Advisor changed firm · fact
- M••••••• A•••• K•••••••• left N•• F•••••••• P••••••• for S•••••• F•••••••• G••••• L••••• (registered 2022-01-12)Nov 7, 2022 · Advisor changed firm · fact
- K•••• L••• E•••••• left N•• F•••••••• P••••••• for S•••••• F•••••••• G••••• L••••• (registered 2022-01-12)Nov 7, 2022 · Advisor changed firm · fact
- E•••••••• P••••• S••••••••• left N•• F•••••••• P••••••• for S•••••• F•••••••• G••••• L••••• (registered 2022-01-12)Nov 7, 2022 · Advisor changed firm · fact
- K•••• H••••• M•••••• left N•• F•••••••• P••••••• for S•••••• F•••••••• G••••• L••••• (registered 2022-01-12)Nov 7, 2022 · Advisor changed firm · fact
- M•••••• M••••• W••••••••• left N•• F•••••••• P••••••• for S•••••• F•••••••• G••••• L••••• (registered 2022-01-12)Nov 7, 2022 · Advisor changed firm · fact
- D•••• F•••••• K•••• left N•• F•••••••• P••••••• for S•••••• F•••••••• G••••• L••••• (registered 2022-01-12)Nov 7, 2022 · Advisor changed firm · fact
- N•• F•••••••• P•••••••'s advisors moved to S•••••• F•••••••• G••••• L••••• (Mayfield Heights, OH): 10 of 10 registered, on the same dayNov 7, 2022 · Firm absorbed (people side) · derived
- N•• F•••••••• P••••••• reported RAUM $759.0M, down 45% from $1.4B (2021-09-30 to 2022-06-24)Jun 24, 2022 · RAUM change · derived
- A••••• L•• B••••••• left N•• F•••••••• P••••••• for O•••• W•••••• I••• (registered 2022-03-14)Jan 7, 2022 · Advisor changed firm · fact
- D••••• P•••••• L••••• left N•• F•••••••• P••••••• for O•••• W•••••• I••• (registered 2021-12-10)Jan 7, 2022 · Advisor changed firm · fact
- 2 advisors left N•• F•••••••• P••••••• (Cleveland, OH) for O•••• W•••••• I••• on the same dayJan 7, 2022 · Team lift-out · derived
- N•• F•••••••• P••••••• reported RAUM $1.4B, up 39% from $996.7M (2020-06-29 to 2021-05-28)May 28, 2021 · 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