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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

I•••••••• A•••• M••••••••• L••

Former SEC-registered adviserRocky River, OhioCRD 127197SEC 801-62141IAPD
Latest filing Mar 27, 2014
First filing on the tape Mar 30, 2012 · 5 filings
RAUM
$4.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$4.8B as of Mar 27, 2014
Mar 30, 2012$3.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2014
Mar 30, 20120 then
Employees (5.A)9 as of Mar 27, 2014
Apr 1, 20138 then
Private funds: no history
RAUM +47% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2014; 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
$45.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+47%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
107reported
Financial planning clients
n/areported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••••• J••••• V•••••• · President And Chief Operating Officercontrol
        since 12/2010 · owns less than 5%
      • H••••••• P••••• K••••• · Managing Director And Chief Financial Officercontrol
        since 12/2010 · owns less than 5%
      • S••••••••• S••••••• J•••• · Chief Compliance Officer, Managing Director, General Counsel, And Secretarycontrol
        since 12/2010 · owns less than 5%
      • B••••• D•••••• G••• · Managing Director & Chief Investment Officer
        since 12/2010 · owns less than 5%
      • M•••••• W••••••• H•••• · Principal
        since 12/2010 · owns less than 5%
      Entity owners
      • M••••• C•••••• M••••••••• · Sole Member And Manager
        direct · owns 75% or more
      • C•••••••• C•••••• P••••••• • M•••••• L•• · Member
        indirect · owns 25% to 50% of M••••• C•••••• H•••••••• L••
      • C•••••••• C•••••• P••••••• • M•••••• L•• · Manager; Class A Member
        indirect · owns 50% to 75% of M••••• C•••••• H••••••• I•• L••
      • C•••••••• P•••••••• L• · Sole Member
        indirect · owns 75% or more of C•••••••• Capital Partners - M••••• LLC
      • M••••• C•••••• H••••••• I•• L•• · General Partner
        indirect · owns F of M••••• C•••••• M•••••••••
      • M••••• C•••••• H•••••••• L•• · General Partner
        indirect · owns 75% or more of M••••• Capital Managment
      Related persons
      Schedule D 7.A
      Advisers that list I•••••••• A•••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 104 to 107
        Apr 1, 2013 to Mar 27, 2014
      • Advisory employees · 8 to 9
        Apr 1, 2013 to Mar 27, 2014
      • Employees · 8 to 9
        Apr 1, 2013 to Mar 27, 2014
      • Discretionary RAUM · $3.3B to $4.8B
        Apr 1, 2013 to Mar 27, 2014
      • RAUM · $3.3B to $4.8B
        Apr 1, 2013 to Mar 27, 2014
      • Related bank · false to true
        Apr 1, 2013 to Mar 27, 2014
      • Accounts · 107 to 104
        Apr 17, 2012 to Apr 1, 2013
      • Advisory employees · unset to 8.0
        Apr 17, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Apr 17, 2012 to Apr 1, 2013
      • Employees · unset to 8.0
        Apr 17, 2012 to Apr 1, 2013
      • Discretionary RAUM · $3.1B to $3.3B
        Apr 17, 2012 to Apr 1, 2013
      • RAUM · $3.1B to $3.3B
        Apr 17, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      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