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
M••••• W•••••• L••
Latest filing May 19, 2025
First filing on the tape Mar 30, 2012 · 84 filings
SEC status approved since Mar 2, 2007
RAUM
$3.0B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$2.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
38
38 advisory (5.B.1)
Offices
11
beyond the principal office
Private funds
0
reported on Schedule D
History
84 filings and snapshots on the tape
RAUM$3.0B as of May 19, 2025
Mar 30, 2012$198M then
HNW client RAUM$2.4B as of May 19, 2025
Mar 29, 2018$673M then
State-registered IARs (5.B.3)38 as of May 19, 2025
Mar 12, 20130 then
Employees (5.A)38 as of May 19, 2025
Mar 12, 20135 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 38 to 38offices 12 to 11
Practice profile
derived from the filing of May 19, 2025; every figure names its basis
- RAUM per advisor
- $78.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $410,718derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.2derived12 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Financial planning clients
- 700reportedItem 5.H
- Custody
- $746M, 862 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.4B79%
- Individuals$535M18%
- Corporations and businesses$64.0M2.2%
- Pension and profit-sharing plans$22.9M0.8%
- Charitable organizations$507,3470.0%
- Individual clients
- 2,233reported
- HNW clients
- 730reported
- Pension plan clients
- 13reported
- Charitable clients
- 1reported
- Accounts
- 7,238reported
- Financial planning clients
- 700reported
- Wrap fee programs
- noreported
- Custody of client assets
- $746M for 862 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- E••• W•••• to W••••• E••••••••• A••••••• S•••••••• L••Jul 14, 2025 · RIA to affiliated broker-dealer or bank
- B•••• J• F••••••• to R•••••• J•••• • A••••••••• I•••Apr 16, 2025 · RIA to affiliated broker-dealer or bank
- K•••••• N••••••• to A••••••••• F•••••••• S•••••••• L••Dec 23, 2024 · RIA to affiliated broker-dealer or bank
- A•••••••• D••••• S••••• to M•••••• • N••••• A•••••••• L••Jul 15, 2024 · RIA to RIA
- M•••••• H••••• to M•• C•••••• M••••••••• L••Jan 16, 2024 · RIA to RIA
- S•••• D••••• C•• to C•••••••Sep 14, 2023 · Other
- W•••• L••• E••••••• to C••••••• I••••••••• C••••••Aug 2, 2023 · RIA to RIA
- C••••••••• J••• J•• to Y•••••• W••••• M••••••••• L••Dec 21, 2022 · RIA to RIA
- G•••••• G••••• V•••• to G•••••••• F•••••••• A•••••••• L••Dec 5, 2022 · Other
- S••••• C• P•••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 31, 2022 · RIA to wirehouse
- M••••••• A•• A••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 1, 2021 · RIA to affiliated broker-dealer or bank
- R•••••• M••••••• M••••••• to P•••••• A•••••• G••••• L••Apr 16, 2021 · RIA to affiliated broker-dealer or bank
- J•••• C•••••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 22, 2020 · RIA to affiliated broker-dealer or bank
- M•••••• R••• B•••• to S•••••• F•••••••• G••••• L•••••Aug 14, 2017 · Other
- L•••• B••• K•••• to S•••••• F•••••••• G••••• L•••••Feb 19, 2016 · Other
Joined, latest
- J•••• A••••• R•••••• from A••••• C••••••••• G••••Mar 18, 2024 · Other
- B•••• J• F••••••• from I••••••••• I••••••••• S•••••••• I••Oct 26, 2023 · Other
- N••• M•••• D•••••• from A••••••• I••••••••• A•••••••• L••Oct 10, 2023 · Other
- J••• C••••••• from A•••••••• A••••••• S•••••••• L••Jun 14, 2023 · RIA to RIA
- L••• A•• P••••••••• from M•••• R••• W••••• A•••••••• L•••••Apr 21, 2022 · RIA to RIA
- S••••• C• P•••••••• from T•••••• P•••• A•••••••• L••Mar 24, 2022 · RIA to RIA
- J•••• B••••• from C••••••••• F•••••••• N••••••Dec 1, 2021 · Affiliated broker-dealer or bank to independent RIA
- G•••••• A• L•••• from G••••• R••••••••• P••••••• L••Oct 21, 2021 · Other
- K•••••• N••••••• from A••••• A•• P••••••• S•••••••Oct 21, 2021 · Affiliated broker-dealer or bank to independent RIA
- C•••••• P• H••••••• from F•••••••• A•••••••• L••Sep 8, 2021 · Other
- P•••• E••••• H••••••• from F•••••••• A•••••••• L••Jul 20, 2021 · Other
- C••••••••• J••• J•• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 19, 2021 · Affiliated broker-dealer or bank to independent RIA
- M••••••• A•• A••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 26, 2021 · Affiliated broker-dealer or bank to independent RIA
- M•••••• H••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 27, 2021 · Affiliated broker-dealer or bank to independent RIA
- S••••• D•••• B•••• from M••••• F•••••••• S••••••• L••Apr 22, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from F••••••• W••••• M••••••••• L••Oct 2, 2020 · West Haven, Ct · Firm absorbed
- 2 joined from C•••••••• F•••••••• G•••• A•••••••Jan 27, 2020 · Mayfield Village, Oh
- 3 joined from C•••••••• F•••••••• G•••• A•••••••Jul 11, 2019 · Mayfield Village, Oh
- 2 joined from R••••••• • A••••••••• L••Jul 20, 2015 · Akron, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• C••••• D••••• · Managing Director, Partnercontrolsince 12/2006 · owns 5% to 10%
- M••••• C••••••• D••••• · Managing Director, Partnercontrolsince 04/2017 · owns 5% to 10%
- R•••••••• P••••• D••••• · Managing Director, Partnercontrolsince 06/2017 · owns 10% to 25%
- W••••• E•••• N••••• · Managing Director, Partnercontrolsince 12/2006 · owns 5% to 10%
- B•••••• D••••• C•••• · Membercontrolsince 10/2024 · owns 25% to 50% of M••••• P••••••• S••• L••
- W•••••• J••••••• M••• · Membercontrolsince 10/2024 · owns 50% to 75% of M••••• P••••••• S••• L••
- B••••• S•••••• D•••• · Partnersince 04/2021 · owns 5% to 10%
- B•••••• J••••• C••••••• · Partnersince 08/2021 · owns less than 5%
- C••••• R•••••• D••••• · Partnersince 03/2020 · owns 5% to 10%
- C••••• R•••••• E••••• · Partnersince 03/2020 · owns 5% to 10%
- H•••••••• C••••••• P••••• · Partnersince 08/2021 · owns less than 5%
- H•••••••• P••••• E••••• · Partnersince 07/2021 · owns less than 5%
- M••••••• M••••••• T••••• · Chief Investment Officersince 04/2015 · owns less than 5%
- S••••••• L•••••• L••• · Chief Compliance Officersince 08/2020 · owns less than 5%
- W•••••• J••••••• M••• · Partnersince 03/2020 · owns 5% to 10%
Entity owners
- A•••• H•••••••• L•• · Memberdirect · owns 10% to 25%
- M••••• P••••••• S••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- M••••• I•••••••• S•••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Amherst, Oh | 0 | 0 | 0 | ||
| Fairlawn, Oh | 0 | 0 | 0 | ||
| Mayfield Village, Oh | 0 | 0 | 0 | ||
| Bloomfield, Nj | 0 | 0 | 0 | ||
| Cleveland, Oh · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hartford, CT3 employees
- Blue Bell, PA2 employees
- Melville, NY2 employees
- Chesterfield, MO2 employees
- Akron, OH2 employees
- Philadelphia, PA2 employees
- Tampa, FL1 employees
- Cleveland, OH1 employees
- Marlton, NJ1 employees
- Mentor, OH1 employees
- Nashville, TN1 employees
- Akron, OH1 employees
What changed
consecutive filings, newest first
- Other offices · 12 to 11Mar 13, 2025 to May 19, 2025
- Accounts · 6,904 to 7,238Jan 8, 2025 to Mar 13, 2025
- HNW clients · 621 to 730Jan 8, 2025 to Mar 13, 2025
- Individual clients · 2,140 to 2,233Jan 8, 2025 to Mar 13, 2025
- Assets in custody · $730M to $746MJan 8, 2025 to Mar 13, 2025
- Employees · 40 to 38Jan 8, 2025 to Mar 13, 2025
- Discretionary RAUM · $2.5B to $2.9BJan 8, 2025 to Mar 13, 2025
- HNW RAUM · $1.9B to $2.4BJan 8, 2025 to Mar 13, 2025
- Individual RAUM · $571M to $535MJan 8, 2025 to Mar 13, 2025
- Non-discretionary RAUM · $51.3M to $55.4MJan 8, 2025 to Mar 13, 2025
- Pension RAUM · $20.6M to $22.9MJan 8, 2025 to Mar 13, 2025
- RAUM · $2.6B to $3.0BJan 8, 2025 to Mar 13, 2025
- Related insurance company · false to trueJan 8, 2025 to Mar 13, 2025
- Accounts · 6,218 to 6,904Jan 3, 2024 to Feb 26, 2024
- Advisory employees · 34 to 38Jan 3, 2024 to Feb 26, 2024
- Charity clients · unset to 1.0Jan 3, 2024 to Feb 26, 2024
- Corporate clients · 14 to 23Jan 3, 2024 to Feb 26, 2024
- HNW clients · 570 to 621Jan 3, 2024 to Feb 26, 2024
- Individual clients · 2,019 to 2,140Jan 3, 2024 to Feb 26, 2024
- Pension plan clients · 10 to 13Jan 3, 2024 to Feb 26, 2024
- Assets in custody · $317M to $730MJan 3, 2024 to Feb 26, 2024
- Employees · 34 to 40Jan 3, 2024 to Feb 26, 2024
- Financial planning clients · 251-500 to More than 500Jan 3, 2024 to Feb 26, 2024
- State-registered IARs · 34 to 38Jan 3, 2024 to Feb 26, 2024
- Discretionary RAUM · $2.2B to $2.5BJan 3, 2024 to Feb 26, 2024
- HNW RAUM · $1.7B to $1.9BJan 3, 2024 to Feb 26, 2024
- Individual RAUM · $503M to $571MJan 3, 2024 to Feb 26, 2024
- Non-discretionary RAUM · $29.6M to $51.3MJan 3, 2024 to Feb 26, 2024
- Pension RAUM · $24.8M to $20.6MJan 3, 2024 to Feb 26, 2024
- RAUM · $2.3B to $2.6BJan 3, 2024 to Feb 26, 2024
- Other offices · 11 to 12Dec 1, 2023 to Jan 2, 2024
- Other offices · 12 to 11Nov 30, 2023 to Dec 1, 2023
- Other offices · 11 to 12Nov 8, 2023 to Nov 30, 2023
- Accounts · 5,551 to 6,218Jan 9, 2023 to Mar 7, 2023
- Advisory employees · 33 to 34Jan 9, 2023 to Mar 7, 2023
- BD registered reps · 4 to 3Jan 9, 2023 to Mar 7, 2023
- Corporate clients · 11 to 14Jan 9, 2023 to Mar 7, 2023
- HNW clients · 522 to 570Jan 9, 2023 to Mar 7, 2023
- Individual clients · 1,896 to 2,019Jan 9, 2023 to Mar 7, 2023
- Pension plan clients · unset to 10.0Jan 9, 2023 to Mar 7, 2023
Signals
19 dated events
- M••••• W•••••• L•• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $3.0B)Aug 1, 2025 · Left the SEC roster · derived
- E••• W•••• left M••••• W•••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-05-16)Jul 14, 2025 · a•••••• firm change · fact
- B•••• J• F••••••• left M••••• W•••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2025-06-17)Apr 16, 2025 · a•••••• firm change · fact
- K•••••• N••••••• left M••••• W•••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-01-16)Dec 23, 2024 · a•••••• firm change · fact
- Craig D•••• Bukzin (Member) appeared on Schedule A of M••••• W•••••• L••Nov 7, 2024 · Control person joined · fact
- A•••••••• D••••• S••••• left M••••• W•••••• L•• for M•••••• • N••••• A•••••••• L•• (registered 2024-08-06)Jul 15, 2024 · a•••••• firm change · fact
- M•••••• H••••• left M••••• W•••••• L•• for M•• C•••••• M••••••••• L•• (registered 2024-01-19)Jan 16, 2024 · a•••••• firm change · fact
- S•••• D••••• C•• left M••••• W•••••• L•• for Captrust (registered 2023-09-20)Sep 14, 2023 · a•••••• firm change · fact
- W•••• L••• E••••••• left M••••• W•••••• L•• for C••••••• I••••••••• C•••••• (registered 2024-07-29)Aug 2, 2023 · a•••••• firm change · fact
- T••••• Patrick Carney (Manager) no longer on Schedule A of M••••• W•••••• L•• (listed 2023-01-09, absent 2023-03-07)Mar 7, 2023 · Control person left · inference
- C••••••••• J••• J•• left M••••• W•••••• L•• for Y•••••• W••••• M••••••••• L•• (registered 2023-03-24)Dec 21, 2022 · a•••••• firm change · fact
- G•••••• G••••• V•••• left M••••• W•••••• L•• for G•••••••• F•••••••• A•••••••• L•• (registered 2023-04-27)Dec 5, 2022 · a•••••• firm change · fact
- S••••• C• P•••••••• left M••••• W•••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-03-24)Oct 31, 2022 · a•••••• firm change · fact
- M••••• W•••••• L•• reported 33 state-registered advisory representatives, up from 22 (2022-01-10 to 2022-03-14)Mar 14, 2022 · ria a•••••• headcount change · derived
- M••••• W•••••• L•• reported RAUM $2.0B, up 58% from $1.3B (2022-01-10 to 2022-03-14)Mar 14, 2022 · RAUM change · derived
- M••••• W•••••• L•• reported RAUM $1.3B, up 28% from $1.0B (2021-02-05 to 2021-03-04)Mar 4, 2021 · RAUM change · derived
- M••••• W•••••• L•• reported RAUM $1.0B, up 42% from $709.1M (2019-11-25 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- M••••• W•••••• L•• reported 20 state-registered advisory representatives, up from 0 (2019-11-25 to 2020-03-30)Mar 30, 2020 · ria a•••••• headcount change · derived
- J•••• M•••••• R••••••• (Partner) no longer on Schedule A of M••••• W•••••• L•• (listed 2019-11-25, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- M••••• W•••••• L•• · Family Officesshared cik · office
- M••••• W•••••• L•• · Private Equityshared crd · intermediary
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026