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
T••••• F••••••••• I•••
Latest filing Sep 4, 2026
First filing on the tape Jan 30, 2012 · 21 filings
SEC status approved since Mar 6, 2020
RAUM
$194M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$165M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$64.7M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$194M as of Feb 23, 2026
Jan 30, 2012$39.0M then
HNW client RAUM$123M as of Feb 23, 2026
Feb 12, 2021$67.1M then
State-registered IARs (5.B.3)4 as of Feb 23, 2026
Jan 30, 20120 then
Employees (5.A)6 as of Feb 23, 2026
Feb 12, 20215 then
Private funds: no history
RAUM +17% over the last fiscal year+12% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Sep 4, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $64.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $923,810derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
- 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$123M63%
- Individuals$42.1M22%
- Pension and profit-sharing plans$24.5M13%
- Corporations and businesses$4.3M2.2%
- Individual clients
- 56reported
- HNW clients
- 110reported
- Pension plan clients
- 24reported
- Charitable clients
- n/areported
- Accounts
- 210reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.13 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• •••• K•••••••• | Canton, Oh | Oct 17, 2006 | 30 y | 1 |
| J•••• L•• E••••Certified Financial Planner | Canton, Oh | Oct 17, 2006 | 39 y | 1 |
| M••••• M•••••• H••• | Canton, Oh | Sep 21, 2021 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- B•••••• D••••••• to C••••• A••••••• L••Mar 16, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- B•••••• D••••••• from K•• I••••••••• S••••••• L••Aug 17, 2018 · Other
- J•••• •••• K•••••••• from P••• A••••• S••••••••• L••Oct 17, 2006 · Other
- J•••• L•• E•••• from P••• A••••• S••••••••• L••Oct 17, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• J••••• L•• · Chief Compliance Officercontrolsince 08/2006 · owns 50% to 75%
- K••••••••• J••••• •••• · Chief Executive Officercontrolsince 08/2006 · 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 |
|---|---|---|---|---|---|
| Canton, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Feb 23, 2026 to Sep 4, 2026
- Related adviser · false to unsetFeb 23, 2026 to Sep 4, 2026
- Related bank · false to unsetFeb 23, 2026 to Sep 4, 2026
- Related broker-dealer · false to unsetFeb 23, 2026 to Sep 4, 2026
- Related insurance company · false to unsetFeb 23, 2026 to Sep 4, 2026
- Succession · false to unsetFeb 23, 2026 to Sep 4, 2026
- Accounts · 197 to 210Jun 2, 2025 to Feb 23, 2026
- Advisory employees · 3 to 4Jun 2, 2025 to Feb 23, 2026
- Corporate clients · 8 to 17Jun 2, 2025 to Feb 23, 2026
- HNW clients · 31 to 110Jun 2, 2025 to Feb 23, 2026
- Individual clients · 136 to 56Jun 2, 2025 to Feb 23, 2026
- Pension plan clients · 22 to 24Jun 2, 2025 to Feb 23, 2026
- Employees · 5 to 6Jun 2, 2025 to Feb 23, 2026
- State-registered IARs · 3 to 4Jun 2, 2025 to Feb 23, 2026
- Discretionary RAUM · $166M to $194MJun 2, 2025 to Feb 23, 2026
- HNW RAUM · $92.6M to $123MJun 2, 2025 to Feb 23, 2026
- Individual RAUM · $43.6M to $42.1MJun 2, 2025 to Feb 23, 2026
- Pension RAUM · $26.6M to $24.5MJun 2, 2025 to Feb 23, 2026
- RAUM · $166M to $194MJun 2, 2025 to Feb 23, 2026
- Financial planning clients · 51-100 to 51-100Mar 3, 2025 to Jun 2, 2025
- Accounts · 192 to 197Nov 21, 2024 to Mar 3, 2025
- Corporate clients · 10 to 8Nov 21, 2024 to Mar 3, 2025
- HNW clients · 52 to 31Nov 21, 2024 to Mar 3, 2025
- Individual clients · 111 to 136Nov 21, 2024 to Mar 3, 2025
- Pension plan clients · 19 to 22Nov 21, 2024 to Mar 3, 2025
- Discretionary RAUM · $172M to $166MNov 21, 2024 to Mar 3, 2025
- HNW RAUM · $92.5M to $92.6MNov 21, 2024 to Mar 3, 2025
- Individual RAUM · $51.6M to $43.6MNov 21, 2024 to Mar 3, 2025
- Pension RAUM · $25.2M to $26.6MNov 21, 2024 to Mar 3, 2025
- RAUM · $172M to $166MNov 21, 2024 to Mar 3, 2025
- Accounts · 185 to 192Jan 11, 2024 to Nov 21, 2024
- HNW clients · 47 to 52Jan 11, 2024 to Nov 21, 2024
- Pension plan clients · 17 to 19Jan 11, 2024 to Nov 21, 2024
- Discretionary RAUM · $158M to $172MJan 11, 2024 to Nov 21, 2024
- HNW RAUM · $85.4M to $92.5MJan 11, 2024 to Nov 21, 2024
- Individual RAUM · $49.8M to $51.6MJan 11, 2024 to Nov 21, 2024
- Pension RAUM · $21.1M to $25.2MJan 11, 2024 to Nov 21, 2024
- RAUM · $158M to $172MJan 11, 2024 to Nov 21, 2024
- HNW clients · 44 to 47Jul 31, 2023 to Jan 11, 2024
- Individual clients · 114 to 111Jul 31, 2023 to Jan 11, 2024
Signals
1 dated events
- T••••• F••••••••• I••• filed its initial SEC registration (Form ADV)Feb 6, 2020 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 330-491-2220reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ttg401k.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 330-491-2220reportedpublic record, Form ADV, Sep 4, 2026
- Contact form
- ttg401k.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- $64.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026