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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SEC-registered adviser
P••• W••••• S••••••••
Legal name P••• W••••• S••••••••• I•••
Latest filing Mar 28, 2026
First filing on the tape Mar 30, 2012 · 22 filings
SEC status approved since Feb 25, 2010
RAUM
$912M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
87%
$797M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$912M as of Mar 28, 2026
Mar 30, 2012$130M then
HNW client RAUM$682M as of Mar 28, 2026
Mar 28, 2018$161M then
State-registered IARs (5.B.3)7 as of Mar 28, 2026
Mar 30, 20120 then
Employees (5.A)10 as of Mar 28, 2026
Apr 1, 20135 then
Private funds: no history
RAUM +16% over the last fiscal year+18% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 28, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 97derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $415,867derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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
- 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)
- 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
- High-net-worth individuals$682M75%
- Individuals$115M13%
- Pension and profit-sharing plans$96.1M11%
- Charitable organizations$15.3M1.7%
- Corporations and businesses$3.1M0.3%
- Individual clients
- 364reported
- HNW clients
- 312reported
- Pension plan clients
- 32reported
- Charitable clients
- 7reported
- Accounts
- 2,192reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• P••• K••••• | Pepper Pike, Oh | Aug 1, 2016 | 25 y | 3 |
| G•••••• M•••••• G••••• | Pepper Pike, Oh | Aug 12, 2016 | 25 y | 3 |
| K•••• R•••••• W••••••••Certified Financial Planner | Pepper Pike, Oh | Mar 28, 2018 | 11 y | 0 |
| D••••• V•••••• | Pepper Pike, Oh | Nov 1, 2021 | 17 y | 1 |
| J•••••• D•••• M•••••••••Chartered Financial Consultant | Pepper Pike, Oh | Nov 16, 2021 | 24 y | 4 |
| W•••••• I••••••• R••••Certified Financial Planner | Pepper Pike, Oh | Apr 11, 2025 | 31 y | 4 |
| K•••• J••• K••••• | Pepper Pike, Oh | Jan 2, 2026 | 20 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- G••• A••••• H••••• to S•••••• W••••• P•••••••• L••Dec 17, 2024 · RIA to affiliated broker-dealer or bank
- G•••••• J•••• R•••• to S•••••• F•••••••• G••••• L•••••Nov 11, 2021 · RIA to RIA
- D••••• C••••••••• C••• to T•••••••• W•••••Jan 11, 2018 · Other
Joined, latest
- K•••• J••• K••••• from M••••• S••••••Jan 2, 2026 · Wirehouse to independent RIA
- W•••••• I••••••• R•••• from O•••• W•••••• I•••Apr 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- J•••••• D•••• M••••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 16, 2021 · Affiliated broker-dealer or bank to independent RIA
- D••••• V•••••• from C••• I••••••••• A••••••• S•••••••• L••Nov 1, 2021 · Other
- G••• A••••• H••••• from M•• I•••••••• S•••••••• L••Nov 12, 2020 · Affiliated broker-dealer or bank to independent RIA
- G•••••• M•••••• G••••• from P•••••• A•••••• G••••• L••Aug 12, 2016 · Other
- D•••• P••• K••••• from L•• F•••••••• L••Aug 1, 2016 · Other
- D••••• C••••••••• C••• from E•••••••• A•••••••• L••Dec 3, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• G••••••• M•••••• · Managing Principal, Chief Compliance Officercontrolsince 07/2016 · owns 50% to 75%
- K•••••• D••••• P••• · Managing Principal / Retirement Plan Consultantcontrolsince 07/2016 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Pepper Pike, Oh · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,040 to 2,192Mar 21, 2025 to Mar 28, 2026
- Charity clients · 6 to 7Mar 21, 2025 to Mar 28, 2026
- Corporate clients · 2 to 3Mar 21, 2025 to Mar 28, 2026
- HNW clients · 273 to 312Mar 21, 2025 to Mar 28, 2026
- Individual clients · 376 to 364Mar 21, 2025 to Mar 28, 2026
- Pension plan clients · 31 to 32Mar 21, 2025 to Mar 28, 2026
- Discretionary RAUM · $690M to $815MMar 21, 2025 to Mar 28, 2026
- HNW RAUM · $561M to $682MMar 21, 2025 to Mar 28, 2026
- Individual RAUM · $113M to $115MMar 21, 2025 to Mar 28, 2026
- Non-discretionary RAUM · $99.2M to $96.1MMar 21, 2025 to Mar 28, 2026
- Pension RAUM · $99.2M to $96.1MMar 21, 2025 to Mar 28, 2026
- RAUM · $789M to $912MMar 21, 2025 to Mar 28, 2026
- Accounts · 2,012 to 2,040Mar 8, 2024 to Mar 21, 2025
- Advisory employees · 8 to 7Mar 8, 2024 to Mar 21, 2025
- BD registered reps · 6 to 5Mar 8, 2024 to Mar 21, 2025
- Corporate clients · 4 to 2Mar 8, 2024 to Mar 21, 2025
- HNW clients · 239 to 273Mar 8, 2024 to Mar 21, 2025
- Individual clients · 395 to 376Mar 8, 2024 to Mar 21, 2025
- Pension plan clients · 28 to 31Mar 8, 2024 to Mar 21, 2025
- Employees · 11 to 10Mar 8, 2024 to Mar 21, 2025
- Financial planning clients · 251-500 to 251-500Mar 8, 2024 to Mar 21, 2025
- State-registered IARs · 8 to 7Mar 8, 2024 to Mar 21, 2025
- Discretionary RAUM · $567M to $690MMar 8, 2024 to Mar 21, 2025
- HNW RAUM · $439M to $561MMar 8, 2024 to Mar 21, 2025
- Individual RAUM · $113M to $113MMar 8, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $91.0M to $99.2MMar 8, 2024 to Mar 21, 2025
- Pension RAUM · $91.0M to $99.2MMar 8, 2024 to Mar 21, 2025
- RAUM · $658M to $789MMar 8, 2024 to Mar 21, 2025
- Accounts · 1,892 to 2,012Mar 20, 2023 to Mar 8, 2024
- Charity clients · unset to 6.0Mar 20, 2023 to Mar 8, 2024
- Corporate clients · unset to 4.0Mar 20, 2023 to Mar 8, 2024
- HNW clients · 199 to 239Mar 20, 2023 to Mar 8, 2024
- Individual clients · 428 to 395Mar 20, 2023 to Mar 8, 2024
- Pension plan clients · 15 to 28Mar 20, 2023 to Mar 8, 2024
- Discretionary RAUM · $455M to $567MMar 20, 2023 to Mar 8, 2024
- HNW RAUM · $336M to $439MMar 20, 2023 to Mar 8, 2024
- Individual RAUM · $119M to $113MMar 20, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $96.0M to $91.0MMar 20, 2023 to Mar 8, 2024
- Pension RAUM · $96.0M to $91.0MMar 20, 2023 to Mar 8, 2024
- RAUM · $551M to $658MMar 20, 2023 to Mar 8, 2024
Signals
1 dated events
- G••• A••••• H••••• left P••• W••••• S•••••••• for S•••••• W••••• P•••••••• L•• (registered 2024-04-22)Dec 17, 2024 · a•••••• firm change · 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
- Business email
- info@retirepeak.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- katie@retirepeak.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- linda@retirepeak.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- sarah@retirepeak.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- dan@retirepeak.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- erin@retirepeak.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 216-370-7887reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 216-292-7865reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 216-292-9288reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/P•••-WEALTH-S••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- R•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 216-370-7887reportedpublic record, Form ADV, Mar 28, 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
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026