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
S••••• C•••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Oct 7, 2021 · 11 filings
SEC status approved since Nov 5, 2021
RAUM
$177M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$175M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$177M as of Mar 31, 2026
Mar 27, 2022$197M then
HNW client RAUM$109M as of Mar 31, 2026
Mar 27, 2022$170M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 27, 20224 then
Employees (5.A)3 as of Mar 31, 2026
Mar 27, 20224 then
Private funds: no history
RAUM -15% over the last fiscal year-2.3% a year over threeIARs 4 to 3offices 1 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $58.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $900,885derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, publicationsreportedItem 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$109M61%
- Individuals$66.5M38%
- Pension and profit-sharing plans$1.5M0.9%
- Individual clients
- 119reported
- HNW clients
- 74reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 196reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- G••• E••• F••••••• to B•••• W••••• M••••••••• L••May 21, 2026 · RIA to RIA
- R••••• M•• R••• to B•••• W••••• M••••••••• L••Apr 30, 2026 · RIA to RIA
- D•••• M•••••• Y•••••• to B•••• W••••• M••••••••• L••Mar 31, 2026 · RIA to RIA
- F•••••••• E••••• B••••• to L•• F•••••••• L••May 15, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- F•••••••• E••••• B••••• from X•••• F•••••••• G••••• I•••Oct 26, 2022 · Other
- D•••• M•••••• Y•••••• from B•••• W••••• M••••••••• L••Nov 20, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••• J•••• · President And Chief Compliance Officercontrolsince 09/1997 · owns 75% or more
- Y••••••• D••••• M•••••• · Vice Presidentsince 03/2021 · 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 | 0 | 0 | 1 | ||
| Kiawah Island, Sc | 0 | 0 | 1 | ||
| Pepper Pike, Oh | 0 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
- Pepper Pike, OH1 employees
What changed
consecutive filings, newest first
- Accounts · 673 to 196Feb 19, 2026 to Mar 31, 2026
- Advisory employees · 4 to 3Feb 19, 2026 to Mar 31, 2026
- HNW clients · 92 to 74Feb 19, 2026 to Mar 31, 2026
- Individual clients · 123 to 119Feb 19, 2026 to Mar 31, 2026
- Pension plan clients · unset to 3.0Feb 19, 2026 to Mar 31, 2026
- Employees · 4 to 3Feb 19, 2026 to Mar 31, 2026
- HQ city · PEPPER PIKE to Feb 19, 2026 to Mar 31, 2026
- HQ state · OH to Feb 19, 2026 to Mar 31, 2026
- State-registered IARs · 4 to 3Feb 19, 2026 to Mar 31, 2026
- Other offices · 1 to 0Feb 19, 2026 to Mar 31, 2026
- Discretionary RAUM · $208M to $177MFeb 19, 2026 to Mar 31, 2026
- HNW RAUM · $149M to $109MFeb 19, 2026 to Mar 31, 2026
- Individual RAUM · $59.1M to $66.5MFeb 19, 2026 to Mar 31, 2026
- Pension RAUM · unset to 1524169.0Feb 19, 2026 to Mar 31, 2026
- RAUM · $208M to $177MFeb 19, 2026 to Mar 31, 2026
- Accounts · 750 to 673Mar 14, 2024 to Mar 19, 2025
- Advisory activities · 3 to 2Mar 14, 2024 to Mar 19, 2025
- HNW clients · 102 to 92Mar 14, 2024 to Mar 19, 2025
- Individual clients · 159 to 123Mar 14, 2024 to Mar 19, 2025
- Employees · 5 to 4Mar 14, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Mar 14, 2024 to Mar 19, 2025
- Discretionary RAUM · $222M to $208MMar 14, 2024 to Mar 19, 2025
- HNW RAUM · $166M to $149MMar 14, 2024 to Mar 19, 2025
- Individual RAUM · $56.8M to $59.1MMar 14, 2024 to Mar 19, 2025
- RAUM · $222M to $208MMar 14, 2024 to Mar 19, 2025
- Accounts · 730 to 750Oct 23, 2023 to Mar 14, 2024
- HNW clients · 91 to 102Oct 23, 2023 to Mar 14, 2024
- Individual clients · 165 to 159Oct 23, 2023 to Mar 14, 2024
- Employees · 4 to 5Oct 23, 2023 to Mar 14, 2024
- Discretionary RAUM · $189M to $222MOct 23, 2023 to Mar 14, 2024
- HNW RAUM · $159M to $166MOct 23, 2023 to Mar 14, 2024
- Individual RAUM · $30.3M to $56.8MOct 23, 2023 to Mar 14, 2024
- RAUM · $189M to $222MOct 23, 2023 to Mar 14, 2024
- Discretionary RAUM · $184M to $189MJul 23, 2023 to Oct 23, 2023
- Non-discretionary RAUM · $5.4M to $0Jul 23, 2023 to Oct 23, 2023
- Accounts · 645 to 730Nov 4, 2022 to Mar 28, 2023
- HNW clients · 84 to 91Nov 4, 2022 to Mar 28, 2023
- Individual clients · 163 to 165Nov 4, 2022 to Mar 28, 2023
- Custody of client assets · true to falseNov 4, 2022 to Mar 28, 2023
- Discretionary RAUM · $193M to $184MNov 4, 2022 to Mar 28, 2023
Signals
7 dated events
- S••••• C•••••• I••• no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $176.6M)Aug 3, 2026 · Left the SEC roster · derived
- Michael Wayne Kelley no longer registered at S••••• C•••••• I•••; no later IA registration on IAPDJul 31, 2026 · Advisor departure · fact
- G••• E••• F••••••• left S••••• C•••••• I••• for B•••• W••••• M••••••••• L•• (registered 2026-03-20)May 21, 2026 · Advisor changed firm · fact
- R••••• M•• R••• left S••••• C•••••• I••• for B•••• W••••• M••••••••• L•• (registered 2026-03-20)Apr 30, 2026 · Advisor changed firm · fact
- D•••• M•••••• Y•••••• left S••••• C•••••• I••• for B•••• W••••• M••••••••• L•• (registered 2026-03-02)Mar 31, 2026 · Advisor changed firm · fact
- F•••••••• E••••• B••••• left S••••• C•••••• I••• for L•• F•••••••• L•• (registered 2025-03-24)May 15, 2023 · Advisor changed firm · fact
- S••••• C•••••• I••• filed its initial SEC registration (Form ADV)Oct 7, 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.
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