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
E•••••••• P•• S••••• F••••••••
Legal name H••••••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 8, 2021 · 8 filings
SEC status approved since Mar 12, 2021
RAUM
$225M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$225M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$225M as of Mar 27, 2026
Mar 19, 2021$117M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 19, 20211 then
Employees (5.A)4 as of Mar 27, 2026
Mar 19, 20211 then
Private funds: no history
RAUM +25% over the last fiscal year+24% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 371derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $314,685derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +64%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $15.0M, 6 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- 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
- Individuals$225M100%
- Individual clients
- 714reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 715reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $15.0M for 6 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=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A•••• S••••••••• | Avon, Oh | May 4, 2012 | 31 y | 5 |
| J••••• D•••• S••••••••• | Avon, Oh | Mar 21, 2025 | 10 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
- D•••• A•••• S••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 31, 2010 · Other
Joined, latest
- D•••• A•••• S••••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 4, 2012 · Other
- D•••• A•••• S••••••••• from R•••••• J•••• F•••••••• S•••••••• I•••May 26, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• D•• · Membercontrolsince 04/2005 · owns 25% to 50%
- H•••••• D••• · Membercontrolsince 04/2011 · owns 25% to 50%
- S••••••••• D••••• A•••• · Member/Chief Compliance Officercontrolsince 04/2005 · 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 |
|---|---|---|---|---|---|
| Avon, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Mar 27, 2026individual and HNW clients (Item 5.D) moved from 452.0 to 741.0 (+64.0%) between the annual amendments of 2025-03-25 and 2026-03-27; the peer median change was +3.0% (3309 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 98% percentile
- custody status changedChange between filings · filing Mar 27, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-25, yes on the filing of 2026-03-27peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 625 to 715Mar 25, 2025 to Mar 27, 2026
- Corporate clients · 7.0 to unsetMar 25, 2025 to Mar 27, 2026
- Individual clients · 425 to 714Mar 25, 2025 to Mar 27, 2026
- Assets in custody · $35.0M to $15.0MMar 25, 2025 to Mar 27, 2026
- Custody of client assets · false to trueMar 25, 2025 to Mar 27, 2026
- Financial planning clients · 101-250 to 11-25Mar 25, 2025 to Mar 27, 2026
- Discretionary RAUM · $180M to $225MMar 25, 2025 to Mar 27, 2026
- Individual RAUM · $177M to $225MMar 25, 2025 to Mar 27, 2026
- RAUM · $180M to $225MMar 25, 2025 to Mar 27, 2026
- Accounts · 560 to 625Mar 26, 2024 to Mar 25, 2025
- Advisory employees · 1 to 2Mar 26, 2024 to Mar 25, 2025
- Corporate clients · unset to 7.0Mar 26, 2024 to Mar 25, 2025
- HNW clients · unset to 27.0Mar 26, 2024 to Mar 25, 2025
- Individual clients · 389 to 425Mar 26, 2024 to Mar 25, 2025
- Employees · 1 to 4Mar 26, 2024 to Mar 25, 2025
- Financial planning clients · 51-100 to 101-250Mar 26, 2024 to Mar 25, 2025
- State-registered IARs · 1 to 2Mar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $151M to $180MMar 26, 2024 to Mar 25, 2025
- Individual RAUM · $151M to $177MMar 26, 2024 to Mar 25, 2025
- RAUM · $151M to $180MMar 26, 2024 to Mar 25, 2025
- Accounts · 491 to 560Apr 28, 2023 to Mar 26, 2024
- Individual clients · 225 to 389Apr 28, 2023 to Mar 26, 2024
- Assets in custody · $7.5M to $35.0MApr 28, 2023 to Mar 26, 2024
- Custody of client assets · true to falseApr 28, 2023 to Mar 26, 2024
- Financial planning clients · 11-25 to 51-100Apr 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $117M to $151MApr 28, 2023 to Mar 26, 2024
- Individual RAUM · $117M to $151MApr 28, 2023 to Mar 26, 2024
- RAUM · $117M to $151MApr 28, 2023 to Mar 26, 2024
- Accounts · 436 to 491Mar 8, 2022 to Mar 16, 2023
- Individual clients · 300 to 225Mar 8, 2022 to Mar 16, 2023
- Assets in custody · $4.0M to $7.5MMar 8, 2022 to Mar 16, 2023
- Financial planning clients · 26-50 to 11-25Mar 8, 2022 to Mar 16, 2023
- Discretionary RAUM · $130M to $117MMar 8, 2022 to Mar 16, 2023
- Individual RAUM · $130M to $117MMar 8, 2022 to Mar 16, 2023
- RAUM · $130M to $117MMar 8, 2022 to Mar 16, 2023
- Accounts · 423 to 436Mar 19, 2021 to Mar 8, 2022
- Individual clients · 423 to 300Mar 19, 2021 to Mar 8, 2022
- Assets in custody · $7.0M to $4.0MMar 19, 2021 to Mar 8, 2022
- Discretionary RAUM · $117M to $130MMar 19, 2021 to Mar 8, 2022
- Individual RAUM · $117M to $130MMar 19, 2021 to Mar 8, 2022
Signals
1 dated events
- E•••••••• P•• S••••• F•••••••• filed its initial SEC registration (Form ADV)Feb 8, 2021 · 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
- 440-934-2195reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 440-934-2196reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- edgewaterig.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 440-934-2195reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- edgewaterig.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026