DFX Intelligence

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P•••••• F•••••••• L••

Independent wealth managerSEC-registered· Highland Heights, Ohiowebsite

Independent wealth manager, based in Highland Heights, Ohio, reporting $207M of regulatory assets across 3 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-11 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $207M
Advisors: 3
Net advisor flow, 12 months: 0
RAUM change, 1 year: +8.7%
Private clients: 100%

See where advisers went See teams that moved

Advisors (3)Where the RAUM sits

As of 2026-03-11 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 11 Mar 2026, RAUM $190M to $207M (+8.7%) on the Form ADV filed 11 Mar 2026, while advisors on the filing fell 4 to 3 and offices rose 1 to 4.

Every filed figure, and the identifiersCRD 133764 · SEC 801-111854 · 13 filingsShow

CRD 133764SEC 801-111854First filing on the tape Sep 14, 2017, latest Mar 11, 2026SEC status approved since Oct 13, 2017IAPD

RAUM

$207M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

100%

$207M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$69.0M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM +9.6% a year over three years · the tape starts Sep 14, 2017

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$207M as of Mar 11, 2026

Mar 14, 2018$102M then

HNW client RAUM$164M as of Mar 11, 2026

Mar 14, 2018$68.2M then

State-registered IARs (5.B.3)3 as of Mar 11, 2026

Mar 14, 20184 then

Employees (5.A)5 as of Mar 11, 2026

Mar 14, 20184 then

Private funds: no history

RAUM +8.7% over the last fiscal year+9.6% a year over threeIARs 4 to 3offices 1 to 4

Practice profile

derived from the filing of Mar 11, 2026; every figure names its basis

Archetypes

HNW wealth manager

The rule behind each archetype, and every derived figure1 ruleShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent

RAUM per advisor: $69.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 54derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $373,066derivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.7derivedItem 5.A over advisors
Advisors per office: 0.6derived5 offices incl. principal (1.F.5)
RAUM growth, one year: +8.7%derivedbetween the last two annual amendments
Advisor growth, one year: -25%derivedItem 5.B.3 between annual amendments
Client growth, one year: -4.7%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

79% high-net-worth individuals, 21% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$164M79%
Individuals$43.3M21%
Charitable organizations$231,7020.1%

Individual clients: 86reported
HNW clients: 76reported
Pension plan clients: n/areported
Charitable clients: 1reported
Accounts: 555reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, hourlyreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

3 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry
T••••• P• G•••••	Highland Heights, Oh	Mar 13, 2008	19 y
M•••••• D••••• P••••••Certified Financial Planner	Cleveland Heights, Oh	Jul 22, 2010	18 y
C•••• A•• P••••••Personal Financial Specialist	Willoughby, Oh	Jun 6, 2014	12 y

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

G•••••• T•••••• P• · Investment Advisor & Ccocontrol
since 12/2021 · owns 25% to 50%
P••••••• C••••• A•• · Controller And Investment Advisorcontrol
since 12/2021 · owns 25% to 50%
P••••••• D•••••• L•• · President & Ceocontrol
since 12/2004 · owns less than 5%
P••••••• M••••••• D••••• · Investment Advisorcontrol
since 12/2021 · owns 25% to 50%

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
Highland Heights, Oh · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

, 1 employee

ADV anomalies

2 against comparable advisers; where to look, not conclusions

low discretionary shareStatic outlier · filing Mar 11, 2026
discretionary share of RAUM of 0% against a peer median of 100% (5683 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: independent wealth managers, $100M to $500M (5,683) · 0.0% percentile
compensation changedChange between filings · filing Mar 11, 2026
hourly charges (Item 5.E.2): no on the filing of 2025-09-30, yes on the filing of 2026-03-11
peers: independent wealth managers, $100M to $500M (5,683)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 578 to 555
Sep 30, 2025 to Mar 11, 2026
Advisory employees · 4 to 3
Sep 30, 2025 to Mar 11, 2026
Individual clients · 94 to 86
Sep 30, 2025 to Mar 11, 2026
Employees · 4 to 5
Sep 30, 2025 to Mar 11, 2026
State-registered IARs · 4 to 3
Sep 30, 2025 to Mar 11, 2026

Full history · 79 changes

Other offices · 5 to 4
Sep 30, 2025 to Mar 11, 2026
HNW RAUM · $150M to $164M
Sep 30, 2025 to Mar 11, 2026
Individual RAUM · $40.5M to $43.3M
Sep 30, 2025 to Mar 11, 2026
Non-discretionary RAUM · $190M to $207M
Sep 30, 2025 to Mar 11, 2026
RAUM · $190M to $207M
Sep 30, 2025 to Mar 11, 2026
Financial planning clients · 101-250 to 101-250
Jan 21, 2025 to Jul 28, 2025
Other offices · 1 to 5
Jan 21, 2025 to Jul 28, 2025
Accounts · 590 to 578
Jan 19, 2024 to Jan 21, 2025
HNW clients · 68 to 76
Jan 19, 2024 to Jan 21, 2025
Individual clients · 103 to 94
Jan 19, 2024 to Jan 21, 2025
HNW RAUM · $124M to $150M
Jan 19, 2024 to Jan 21, 2025
Individual RAUM · $42.1M to $40.5M
Jan 19, 2024 to Jan 21, 2025
Non-discretionary RAUM · $166M to $190M
Jan 19, 2024 to Jan 21, 2025
RAUM · $166M to $190M
Jan 19, 2024 to Jan 21, 2025
Accounts · 592 to 590
Jan 20, 2023 to Jan 19, 2024
HNW clients · 67 to 68
Jan 20, 2023 to Jan 19, 2024
Individual clients · 106 to 103
Jan 20, 2023 to Jan 19, 2024
HNW RAUM · $117M to $124M
Jan 20, 2023 to Jan 19, 2024
Individual RAUM · $39.9M to $42.1M
Jan 20, 2023 to Jan 19, 2024
Non-discretionary RAUM · $157M to $166M
Jan 20, 2023 to Jan 19, 2024
RAUM · $157M to $166M
Jan 20, 2023 to Jan 19, 2024
Accounts · 605 to 592
Jan 19, 2022 to Jan 20, 2023
HNW clients · 75 to 67
Jan 19, 2022 to Jan 20, 2023
Individual clients · 103 to 106
Jan 19, 2022 to Jan 20, 2023
Pension plan clients · 1.0 to unset
Jan 19, 2022 to Jan 20, 2023
HNW RAUM · $141M to $117M
Jan 19, 2022 to Jan 20, 2023
Individual RAUM · $39.6M to $39.9M
Jan 19, 2022 to Jan 20, 2023
Non-discretionary RAUM · $183M to $157M
Jan 19, 2022 to Jan 20, 2023
Pension RAUM · 1401067.0 to unset
Jan 19, 2022 to Jan 20, 2023
RAUM · $183M to $157M
Jan 19, 2022 to Jan 20, 2023
Accounts · 573 to 605
Mar 10, 2021 to Jan 19, 2022
HNW clients · 72 to 75
Mar 10, 2021 to Jan 19, 2022
Individual clients · 98 to 103
Mar 10, 2021 to Jan 19, 2022
HNW RAUM · $123M to $141M
Mar 10, 2021 to Jan 19, 2022
Individual RAUM · $34.1M to $39.6M
Mar 10, 2021 to Jan 19, 2022
Non-discretionary RAUM · $158M to $183M
Mar 10, 2021 to Jan 19, 2022
Pension RAUM · $1.4M to $1.4M
Mar 10, 2021 to Jan 19, 2022
RAUM · $158M to $183M
Mar 10, 2021 to Jan 19, 2022
Accounts · 541 to 573
May 12, 2020 to Mar 10, 2021
Charity clients · unset to 1.0
May 12, 2020 to Mar 10, 2021
HNW clients · 40 to 72
May 12, 2020 to Mar 10, 2021
Individual clients · 129 to 98
May 12, 2020 to Mar 10, 2021
HNW RAUM · $56.8M to $123M
May 12, 2020 to Mar 10, 2021
Individual RAUM · $39.9M to $34.1M
May 12, 2020 to Mar 10, 2021
Non-discretionary RAUM · $97.7M to $158M
May 12, 2020 to Mar 10, 2021
Pension RAUM · $939,582 to $1.4M
May 12, 2020 to Mar 10, 2021
RAUM · $97.7M to $158M
May 12, 2020 to Mar 10, 2021
Accounts · 538 to 541
Mar 13, 2019 to Mar 19, 2020
HNW clients · 50 to 40
Mar 13, 2019 to Mar 19, 2020
Individual clients · 113 to 129
Mar 13, 2019 to Mar 19, 2020
Pension plan clients · 2 to 1
Mar 13, 2019 to Mar 19, 2020
HNW RAUM · $74.9M to $56.8M
Mar 13, 2019 to Mar 19, 2020
Individual RAUM · $34.3M to $39.9M
Mar 13, 2019 to Mar 19, 2020
Non-discretionary RAUM · $111M to $97.7M
Mar 13, 2019 to Mar 19, 2020
Pension RAUM · $1.2M to $939,582
Mar 13, 2019 to Mar 19, 2020
RAUM · $111M to $97.7M
Mar 13, 2019 to Mar 19, 2020
Accounts · 494 to 538
Mar 14, 2018 to Mar 13, 2019
HNW clients · 46 to 50
Mar 14, 2018 to Mar 13, 2019
Individual clients · 104 to 113
Mar 14, 2018 to Mar 13, 2019
HNW RAUM · $68.2M to $74.9M
Mar 14, 2018 to Mar 13, 2019
Individual RAUM · $32.9M to $34.3M
Mar 14, 2018 to Mar 13, 2019
Non-discretionary RAUM · $102M to $111M
Mar 14, 2018 to Mar 13, 2019
Pension RAUM · $1.3M to $1.2M
Mar 14, 2018 to Mar 13, 2019
RAUM · $102M to $111M
Mar 14, 2018 to Mar 13, 2019
Accounts · 651 to 494
Sep 14, 2017 to Mar 14, 2018
HNW clients · unset to 46.0
Sep 14, 2017 to Mar 14, 2018
Individual clients · unset to 104.0
Sep 14, 2017 to Mar 14, 2018
Pension plan clients · unset to 2.0
Sep 14, 2017 to Mar 14, 2018
Other offices · unset to 1.0
Sep 14, 2017 to Mar 14, 2018
HNW RAUM · unset to 68206078.0
Sep 14, 2017 to Mar 14, 2018
Individual RAUM · unset to 32924642.0
Sep 14, 2017 to Mar 14, 2018
Non-discretionary RAUM · $111M to $102M
Sep 14, 2017 to Mar 14, 2018
Pension RAUM · unset to 1318796.0
Sep 14, 2017 to Mar 14, 2018
RAUM · $111M to $102M
Sep 14, 2017 to Mar 14, 2018

Signals

4 dated events

••• Locked
Jan 19, 2022 · Control person joined · fact
••• Locked
Jan 19, 2022 · Control person joined · fact
••• Locked
Jan 19, 2022 · Control person joined · fact
••• Locked
Sep 14, 2017 · 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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 11, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 11, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $69.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026