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
T••••••• F•••••••• L•••
Latest filing Mar 27, 2026
First filing on the tape Mar 27, 2026 · 1 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
n/a
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
4
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- unknownreportedItem 5.E
- Advisory activities
- unknownreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months1 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- D•••• J••••• P••••• to I••••• F••••••••Jul 1, 2026 · Other
- E••••• P••• G•••• to I••••• F••••••••Jun 16, 2026 · Other
- A•••••• J••• M•••••• to I••••• F••••••••Jun 16, 2026 · Other
- D••••• W•••••• R••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Oct 23, 2025 · Other
- D••••• W•••••• R••••••• to L•• F•••••••• L••Dec 31, 2022 · Other
- J•••• R••••• Y•••• to L•• F•••••••• L••Dec 31, 2022 · Other
- S••• A••• S•••••• to L•• F•••••••• L••Dec 31, 2022 · Other
- D•••• J••••• P••••• to L•• F•••••••• L••Dec 31, 2022 · Other
- M•••••• M••••••• M•••••••• to L•• F•••••••• L••Dec 31, 2022 · Other
- E••••• P••• G•••• to L•• F•••••••• L••Dec 31, 2022 · Other
- A•••••• J••• M•••••• to L•• F•••••••• L••Dec 31, 2022 · Other
- J•••••• J••• S••••• to L•• F•••••••• L••Dec 31, 2022 · Other
- C••••••••• L••••• N••••• to L•• F•••••••• L••Feb 2, 2021 · Other
- M••••• F•••• K••••• to L•• F•••••••• L••Feb 2, 2021 · Other
- A•••••• J••• M•••••• to S•• I••••••••• I•••Oct 19, 2007 · Other
Joined, latest
- D••••• W•••••• R••••••• from L•• F•••••••• L••Jan 24, 2023 · Affiliated broker-dealer or bank to a state-registered adviser
- D••••• W•••••• R••••••• from S•• I••••••••• I•••Dec 7, 2017 · Affiliated broker-dealer or bank to a state-registered adviser
- J•••• R••••• Y•••• from S•• I••••••••• I•••Dec 7, 2017 · Affiliated broker-dealer or bank to a state-registered adviser
- S••• A••• S•••••• from S•• I••••••••• I•••Dec 7, 2017 · Affiliated broker-dealer or bank to a state-registered adviser
- C••••••••• L••••• N••••• from S•• I••••••••• I•••Dec 7, 2017 · Affiliated broker-dealer or bank to a state-registered adviser
- M•••••• M••••••• M•••••••• from S•• I••••••••• I•••Dec 7, 2017 · Affiliated broker-dealer or bank to a state-registered adviser
- E••••• P••• G•••• from S•• I••••••••• I•••Dec 7, 2017 · Affiliated broker-dealer or bank to a state-registered adviser
- J•••••• J••• S••••• from S•• I••••••••• I•••Dec 7, 2017 · Affiliated broker-dealer or bank to a state-registered adviser
- M••••• F•••• K••••• from S•• I••••••••• I•••Dec 7, 2017 · Affiliated broker-dealer or bank to a state-registered adviser
- A•••••• J••• M•••••• from S•• I••••••••• I•••Nov 30, 2017 · Affiliated broker-dealer or bank to a state-registered adviser
- D•••• J••••• P••••• from S•• I••••••••• I•••Nov 29, 2017 · Affiliated broker-dealer or bank to a state-registered adviser
- A•••••• J••• M•••••• from F•• S••••••••• C•••••••••Oct 31, 2002 · Other
- D•••• J••••• P••••• from F•• S••••••••• C•••••••••Oct 31, 2002 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for I••••• F••••••••Jun 16, 2026 · Willoughby Hills, Oh
- 8 left for L•• F•••••••• L••Dec 31, 2022 · Strongsville, Oh · Firm absorbed
- 4 joined from S•• I••••••••• I•••Feb 14, 2018 · Parma, Oh
- 5 joined from S•• I••••••••• I•••Feb 14, 2018 · Appleton, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Broadview Heights, Oh | 0 | 0 | 1 | ||
| Fairview Park, Oh | 0 | 0 | 1 | ||
| Willoughby Hills, Oh | 0 | 0 | 1 | 1 | |
| Strongsville, Oh · principal | 0 | 0 | 2 | ||
| Independence, Oh | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
17 dated events
- D•••• J••••• P••••• left T••••••• F•••••••• L••• for I••••• F•••••••• (registered 2026-07-01)Jul 1, 2026 · Advisor changed firm · fact
- E••••• P••• G•••• left T••••••• F•••••••• L••• for I••••• F•••••••• (registered 2026-06-24)Jun 16, 2026 · Advisor changed firm · fact
- A•••••• J••• M•••••• left T••••••• F•••••••• L••• for I••••• F•••••••• (registered 2026-07-01)Jun 16, 2026 · Advisor changed firm · fact
- 2 advisors left T••••••• F•••••••• L••• (Willoughby Hills, OH) for I••••• F•••••••• on the same dayJun 16, 2026 · Team lift-out · derived
- D••••• W•••••• R••••••• left T••••••• F•••••••• L••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-12-16)Oct 23, 2025 · Advisor changed firm · fact
- Robert James Ptacek no longer registered at T••••••• F•••••••• L•••; no later IA registration on IAPDOct 23, 2025 · Advisor departure · fact
- M•••••• M••••••• M•••••••• no longer registered at T••••••• F•••••••• L•••; no later IA registration on IAPDOct 23, 2025 · Advisor departure · fact
- S••• A••• S•••••• left T••••••• F•••••••• L••• for L•• F•••••••• L•• (registered 2018-02-14)Dec 31, 2022 · Advisor changed firm · fact
- A•••••• J••• M•••••• left T••••••• F•••••••• L••• for L•• F•••••••• L•• (registered 2018-02-14)Dec 31, 2022 · Advisor changed firm · fact
- D•••• J••••• P••••• left T••••••• F•••••••• L••• for L•• F•••••••• L•• (registered 2018-02-14)Dec 31, 2022 · Advisor changed firm · fact
- E••••• P••• G•••• left T••••••• F•••••••• L••• for L•• F•••••••• L•• (registered 2018-02-14)Dec 31, 2022 · Advisor changed firm · fact
- J•••• R••••• Y•••• left T••••••• F•••••••• L••• for L•• F•••••••• L•• (registered 2018-02-14)Dec 31, 2022 · Advisor changed firm · fact
- Matthew Allen Ridler no longer registered at T••••••• F•••••••• L•••; no later IA registration on IAPDDec 31, 2022 · Advisor departure · fact
- D••••• W•••••• R••••••• left T••••••• F•••••••• L••• for L•• F•••••••• L•• (registered 2018-02-14)Dec 31, 2022 · Advisor changed firm · fact
- J•••••• J••• S••••• left T••••••• F•••••••• L••• for L•• F•••••••• L•• (registered 2018-02-14)Dec 31, 2022 · Advisor changed firm · fact
- M•••••• M••••••• M•••••••• left T••••••• F•••••••• L••• for L•• F•••••••• L•• (registered 2018-02-14)Dec 31, 2022 · Advisor changed firm · fact
- T••••••• F•••••••• L•••'s advisors moved to L•• F•••••••• L•• (Strongsville, OH): 8 of 10 registered, on the same dayDec 31, 2022 · Firm absorbed (people side) · derived
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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 440-891-1200reportedpublic record, Form ADV, Mar 27, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026