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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Former SEC-registered adviser

C•••••• C••• A•••• M••••••••• G••••• L••

Former SEC-registered adviserColumbus, OhioCRD 134008SEC 801-64792IAPD

Latest filing Aug 10, 2017

First filing on the tape Apr 27, 2012 · 14 filings

RAUM

$35.8M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$3.0M

derived; firm RAUM over IAPD count

Employees

14 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM$35.8M as of Apr 3, 2017

Apr 27, 2012$27.9M then

HNW client RAUM: no history

State-registered IARs (5.B.3)14 as of Apr 3, 2017

Apr 27, 20120 then

Employees (5.A)16 as of Apr 3, 2017

Jun 28, 20137 then

Private funds: no history

RAUM +1.1% over the last fiscal year+1.8% a year over threeIARs 17 to 14

Practice profile

derived from the filing of Aug 10, 2017; every figure names its basis

RAUM per advisor: $3.0MderivedRAUM 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: $119,798derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 2.0derived6 offices incl. principal (1.F.5)
RAUM growth, one year: +1.1%derivedbetween the last two annual amendments
Advisor growth, one year: -18%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody: $35.8M, 195 clientsreportedItem 9.A
Ownership: controlled by a public reporting companyderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

is a broker-dealer (6.A.1)
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
an independent public accountant performs a surprise examination (9.C.1)
controlled by a public reporting company (10.A)

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: 299reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $35.8M for 195 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

12 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
T••• E••••• C•••••••	Powell, Oh	Nov 7, 2005	28 y	2
T•••••• S•••• S••••	Powell, Oh	Mar 15, 2006	24 y	1
D•••••• E• P••••	Ashland, Oh	May 19, 2009	23 y	0
D•••• T••••• G•••	Powell, Oh	Feb 27, 2015	26 y	1
S•••• M••••••••• M••••••Chartered Financial Consultant	Powell, Oh	Mar 9, 2015	48 y	2
V••••• F••••••	Powell, Oh	Feb 16, 2016	14 y	1
M•••••• J••••••	Powell, Oh	Jun 8, 2016	17 y	0
C••••• C••••••••• C••••	Powell, Oh	Jun 29, 2016	18 y	0
S••••••• C• M•••••	Powell, Oh	Sep 11, 2019	31 y	3
K•••• L• F••••	Maumee, Oh	Nov 12, 2019	22 y	2
Z••••••• Y•••• A•••	Powell, Oh	Jul 5, 2020	18 y	0
K••• A•••• H•••••••••	Powell, Oh	Jun 28, 2023	21 y	4

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

E••• S••••••• to C••••••••• W•••••• L••
Feb 20, 2019 · Other
K••• A•••• H••••••••• to K••••• A••••••• S•••••••• L••
Dec 1, 2017 · Other
W••••• J••• M•••• to K•••• I••••••••• M••••••••• L••
Feb 13, 2014 · Other
G•••••• T• B••••• to F•••••••• A••••••• G•••• L•••••
May 21, 2010 · Other
F•••• J• B••• to F•••••••• L••
Mar 15, 2010 · Other
R•••• A•••••• R•• to R••••••• H••••••• I••••••••• A•••••••• I•••
Aug 21, 2009 · Other

Joined, latest

K••• A•••• H••••••••• from K••••• A••••••• S•••••••• L••
Jun 28, 2023 · Other
K•••• L• F•••• from R•••• A•••• M••••••••• L••
Nov 12, 2019 · Other
S••••••• C• M••••• from A••••••••• F•••••••• S•••••••• L••
Sep 11, 2019 · Other
E••• S••••••• from N••••••••• S••••••••• L••
Jul 2, 2018 · Other
V••••• F•••••• from M•• I•••••••• S•••••••• L••
Feb 16, 2016 · Other
K••• A•••• H••••••••• from M•• I•••••••• S•••••••• L••
Aug 12, 2015 · Other
S•••• M••••••••• M•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Mar 9, 2015 · Other
D•••• T••••• G••• from C•••• I••••••••• S••••••• C••••
Feb 27, 2015 · Other
W••••• J••• M•••• from R•••• A•••• M••••••••• L••
May 19, 2009 · Other
R•••• A•••••• R•• from J••• M••••• A•••• M•••••••••
Mar 6, 2009 · Other
F•••• J• B••• from P••• A•••••••• I•••••••••
Mar 12, 2008 · Other
T•••••• S•••• S•••• from C•••••• C••• P•••••••• L••
Mar 15, 2006 · Other
G•••••• T• B••••• from C•••••• C••• P•••••••• L••
Nov 7, 2005 · Other
T••• E••••• C••••••• from C•••••• C••• P•••••••• L••
Nov 7, 2005 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••••• T•••• E••••• · Chief Compliance Officer & Ceo Managing Membercontrol
since 04/2005 · owns less than 5%
C•••••••• T•••• E••••• · Shareholdercontrol
since 05/2013 · owns 75% or more of C•••••• C••• P•••••••• I••.

Entity owners

C•••••• C••• P•••••••• I•• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

C•••••• C••• I•••••••• G••••• L••
real estatey
C•••••• C••• S••••••••• L••
broker-dealery
D•••••• P••••
insurancen

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Powell, Oh	11	0	0
Ashland, Oh	2	0	0

Offices

Schedule D 1.F, the 25 largest

Ashland, OH
Columbus, OH
Columbus, OH
Cutler Bay, FL
Medina, OH

What changed

consecutive filings, newest first

Accounts · 276 to 299
Oct 19, 2016 to Apr 3, 2017
Advisory employees · 17 to 14
Oct 19, 2016 to Apr 3, 2017
BD registered reps · 14 to 13
Oct 19, 2016 to Apr 3, 2017
Assets in custody · $35.4M to $35.8M
Oct 19, 2016 to Apr 3, 2017
Employees · 18 to 16
Oct 19, 2016 to Apr 3, 2017
State-registered IARs · 17 to 14
Oct 19, 2016 to Apr 3, 2017
Discretionary RAUM · $35.4M to $35.8M
Oct 19, 2016 to Apr 3, 2017
RAUM · $35.4M to $35.8M
Oct 19, 2016 to Apr 3, 2017
Accounts · 273 to 276
Aug 26, 2015 to Oct 19, 2016
Advisory employees · 8 to 17
Aug 26, 2015 to Oct 19, 2016
BD registered reps · 9 to 14
Aug 26, 2015 to Oct 19, 2016
Assets in custody · unset to 35445118.0
Aug 26, 2015 to Oct 19, 2016
Custody of client assets · false to true
Aug 26, 2015 to Oct 19, 2016
Employees · 9 to 18
Aug 26, 2015 to Oct 19, 2016
Financial planning clients · 0 to 1-10
Aug 26, 2015 to Oct 19, 2016
State-registered IARs · 8 to 17
Aug 26, 2015 to Oct 19, 2016
Discretionary RAUM · $35.6M to $35.4M
Aug 26, 2015 to Oct 19, 2016
RAUM · $35.6M to $35.4M
Aug 26, 2015 to Oct 19, 2016
Accounts · 303 to 273
Mar 31, 2014 to Jul 15, 2015
Advisory employees · 6 to 8
Mar 31, 2014 to Jul 15, 2015
BD registered reps · 6 to 9
Mar 31, 2014 to Jul 15, 2015
Employees · 6 to 9
Mar 31, 2014 to Jul 15, 2015
State-registered IARs · 6 to 8
Mar 31, 2014 to Jul 15, 2015
Discretionary RAUM · $34.0M to $35.6M
Mar 31, 2014 to Jul 15, 2015
RAUM · $34.0M to $35.6M
Mar 31, 2014 to Jul 15, 2015
Accounts · 308 to 303
Dec 23, 2013 to Mar 31, 2014
Advisory employees · 7 to 6
Dec 23, 2013 to Mar 31, 2014
BD registered reps · 7 to 6
Dec 23, 2013 to Mar 31, 2014
Employees · 7 to 6
Dec 23, 2013 to Mar 31, 2014
State-registered IARs · 7 to 6
Dec 23, 2013 to Mar 31, 2014
Discretionary RAUM · $26.2M to $34.0M
Dec 23, 2013 to Mar 31, 2014
RAUM · $26.2M to $34.0M
Dec 23, 2013 to Mar 31, 2014
Accounts · 364 to 308
Apr 27, 2012 to Jun 28, 2013
Advisory employees · unset to 7.0
Apr 27, 2012 to Jun 28, 2013
BD registered reps · unset to 7.0
Apr 27, 2012 to Jun 28, 2013
Employees · unset to 7.0
Apr 27, 2012 to Jun 28, 2013
State-registered IARs · 0 to 7
Apr 27, 2012 to Jun 28, 2013
Discretionary RAUM · $27.9M to $26.2M
Apr 27, 2012 to Jun 28, 2013
RAUM · $27.9M to $26.2M
Apr 27, 2012 to Jun 28, 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.

How to reach

public business contact points only, each with its source

Website: paulycpa.comreportedpublic record, Form ADV, Sep 18, 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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $3.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026