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
M•••••• B•••• • C••• L••
Latest filing Feb 10, 2026
First filing on the tape Jan 5, 2012 · 27 filings
SEC status approved since Feb 23, 2018
RAUM
$249M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$249M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$124M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$249M as of Feb 10, 2026
Jan 5, 2012$52.6M then
HNW client RAUM$186M as of Feb 10, 2026
Jan 11, 2019$46.8M then
State-registered IARs (5.B.3)2 as of Feb 10, 2026
Jan 5, 20120 then
Employees (5.A)2 as of Feb 10, 2026
Jan 11, 20192 then
Private funds: no history
RAUM +8.9% over the last fiscal year+21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 10, 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
- $124MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $404,869derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $249M, 218 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$186M75%
- Individuals$62.3M25%
- Individual clients
- 163reported
- HNW clients
- 55reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 614reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $249M for 218 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• C•••••• B••••Certified Financial Planner | Westlake, Oh | Feb 22, 2006 | 41 y | 1 |
| C•••••• M•••••• B••••Certified Financial Planner | Westlake, Oh | Jul 10, 2017 | 13 y | 1 |
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
none on the tape
Joined, latest
- C•••••• M•••••• B•••• from C••••••••• W••••• A•••••••• L••Jul 10, 2017 · Other
- M•••••• C•••••• B•••• from P••• A•••••••• I•••••••••Feb 22, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• C••••••• M•••••• · Vice Presidentcontrolsince 08/2017 · owns 10% to 25%
- B••••• M••••••• C•••••• · President, Chief Executive Officer & Chief Compliance Officercontrolsince 06/2003 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Westlake, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 646 to 614Jan 23, 2025 to Jan 27, 2026
- HNW clients · 54 to 55Jan 23, 2025 to Jan 27, 2026
- Assets in custody · $228M to $249MJan 23, 2025 to Jan 27, 2026
- Discretionary RAUM · $228M to $249MJan 23, 2025 to Jan 27, 2026
- HNW RAUM · $161M to $186MJan 23, 2025 to Jan 27, 2026
- Individual RAUM · $66.8M to $62.3MJan 23, 2025 to Jan 27, 2026
- RAUM · $228M to $249MJan 23, 2025 to Jan 27, 2026
- Accounts · 611 to 646Jan 11, 2024 to Jan 23, 2025
- HNW clients · 42 to 54Jan 11, 2024 to Jan 23, 2025
- Individual clients · 182 to 163Jan 11, 2024 to Jan 23, 2025
- Assets in custody · $196M to $228MJan 11, 2024 to Jan 23, 2025
- Financial planning clients · 101-250 to 101-250Jan 11, 2024 to Jan 23, 2025
- Discretionary RAUM · $196M to $228MJan 11, 2024 to Jan 23, 2025
- HNW RAUM · $132M to $161MJan 11, 2024 to Jan 23, 2025
- Individual RAUM · $64.5M to $66.8MJan 11, 2024 to Jan 23, 2025
- RAUM · $196M to $228MJan 11, 2024 to Jan 23, 2025
- Accounts · 584 to 611Jan 2, 2024 to Jan 11, 2024
- HNW clients · 37 to 42Jan 2, 2024 to Jan 11, 2024
- Individual clients · 186 to 182Jan 2, 2024 to Jan 11, 2024
- Assets in custody · $139M to $196MJan 2, 2024 to Jan 11, 2024
- Discretionary RAUM · $139M to $196MJan 2, 2024 to Jan 11, 2024
- HNW RAUM · $77.3M to $132MJan 2, 2024 to Jan 11, 2024
- Individual RAUM · $61.6M to $64.5MJan 2, 2024 to Jan 11, 2024
- RAUM · $139M to $196MJan 2, 2024 to Jan 11, 2024
- Accounts · 580 to 584Jan 6, 2022 to Jan 10, 2023
- HNW clients · 44 to 37Jan 6, 2022 to Jan 10, 2023
- Individual clients · 180 to 186Jan 6, 2022 to Jan 10, 2023
- Assets in custody · $160M to $139MJan 6, 2022 to Jan 10, 2023
- Discretionary RAUM · $160M to $139MJan 6, 2022 to Jan 10, 2023
- HNW RAUM · $99.2M to $77.3MJan 6, 2022 to Jan 10, 2023
- Individual RAUM · $61.2M to $61.6MJan 6, 2022 to Jan 10, 2023
- RAUM · $160M to $139MJan 6, 2022 to Jan 10, 2023
- Accounts · 591 to 580Mar 8, 2021 to Jan 6, 2022
- HNW clients · 37 to 44Mar 8, 2021 to Jan 6, 2022
- Individual clients · 190 to 180Mar 8, 2021 to Jan 6, 2022
- Assets in custody · $131M to $160MMar 8, 2021 to Jan 6, 2022
- Discretionary RAUM · $131M to $160MMar 8, 2021 to Jan 6, 2022
- HNW RAUM · $72.9M to $99.2MMar 8, 2021 to Jan 6, 2022
- Individual RAUM · $57.9M to $61.2MMar 8, 2021 to Jan 6, 2022
- RAUM · $131M to $160MMar 8, 2021 to Jan 6, 2022
Signals
1 dated events
- M•••••• B•••• • C••• L•• filed its initial SEC registration (Form ADV)Jan 25, 2018 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/202056reportedpublic record, Form ADV, Sep 18, 2026
- Website
- M••••••B••••CO.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 440-235-2100reportedpublic record, Form ADV, Feb 10, 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
- $124Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026