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.

Former SEC-registered adviser

Strategic Investment Advisors, LLC

Former SEC-registered adviserSylvania, OhioCRD 135448SEC 801-64681IAPD
Latest filing Mar 27, 2019
First filing on the tape Mar 23, 2012 · 22 filings
RAUM
$102M
reported, Item 5.F
Discretionary
62%
of RAUM
Private clients
55%
$55.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
22 filings and snapshots on the tape
RAUM$102M as of Mar 27, 2019
Mar 23, 2012$98.6M then
HNW client RAUM$15.6M as of Mar 27, 2019
Mar 28, 2018$19.8M then
State-registered IARs (5.B.3)2 as of Mar 27, 2019
Mar 23, 20120 then
Employees (5.A)2 as of Mar 27, 2019
Mar 25, 20135 then
Private funds: no history
RAUM -52% over the last fiscal year-16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2019; every figure names its basis
RAUM per advisor
$50.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
72derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$275,575derivedRAUM over accounts (5.F.2.f)
Discretionary
62%derivedof RAUM
Institutional
42%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
-52%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-63%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$41.4M41%
  • Individuals$40.2M40%
  • High-net-worth individuals$15.6M15%
  • Corporations and businesses$3.2M3.2%
  • Charitable organizations$1.3M1.3%
Individual clients
132reported
HNW clients
11reported
Pension plan clients
23reported
Charitable clients
0reported
Accounts
369reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Alan Mark Klopfenstein · Membercontrol
      since 08/2005 · owns 50% to 75%
    • Jean Beverly Langley · Chief Compliance Officer
      since 06/2010 · owns less than 5%
    Related persons
    Schedule D 7.A
    • Klopfenstein Financial Group, LLC
      real estatey
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 842 to 369
      Mar 28, 2018 to Mar 27, 2019
    • Advisory activities · 6 to 4
      Mar 28, 2018 to Mar 27, 2019
    • Individual clients · 379 to 132
      Mar 28, 2018 to Mar 27, 2019
    • Pension plan clients · 22 to 23
      Mar 28, 2018 to Mar 27, 2019
    • Employees · 3 to 2
      Mar 28, 2018 to Mar 27, 2019
    • Financial planning clients · 51-100 to 26-50
      Mar 28, 2018 to Mar 27, 2019
    • Discretionary RAUM · $136M to $62.9M
      Mar 28, 2018 to Mar 27, 2019
    • HNW RAUM · $19.8M to $15.6M
      Mar 28, 2018 to Mar 27, 2019
    • Individual RAUM · $108M to $40.2M
      Mar 28, 2018 to Mar 27, 2019
    • Non-discretionary RAUM · $76.9M to $38.8M
      Mar 28, 2018 to Mar 27, 2019
    • Pension RAUM · $80.3M to $41.4M
      Mar 28, 2018 to Mar 27, 2019
    • RAUM · $213M to $102M
      Mar 28, 2018 to Mar 27, 2019
    • Accounts · 827 to 842
      Jan 3, 2018 to Mar 28, 2018
    • HNW clients · 0 to 11
      Jan 3, 2018 to Mar 28, 2018
    • Individual clients · 0 to 379
      Jan 3, 2018 to Mar 28, 2018
    • Pension plan clients · 0 to 22
      Jan 3, 2018 to Mar 28, 2018
    • Employees · 2 to 3
      Jan 3, 2018 to Mar 28, 2018
    • Discretionary RAUM · $123M to $136M
      Jan 3, 2018 to Mar 28, 2018
    • HNW RAUM · $0 to $19.8M
      Jan 3, 2018 to Mar 28, 2018
    • Individual RAUM · $0 to $108M
      Jan 3, 2018 to Mar 28, 2018
    • Non-discretionary RAUM · $67.8M to $76.9M
      Jan 3, 2018 to Mar 28, 2018
    • Pension RAUM · $0 to $80.3M
      Jan 3, 2018 to Mar 28, 2018
    • RAUM · $191M to $213M
      Jan 3, 2018 to Mar 28, 2018
    • Advisory employees · 3 to 2
      Jun 29, 2017 to Jan 3, 2018
    • Charity clients · unset to 0.0
      Jun 29, 2017 to Jan 3, 2018
    • Corporate clients · unset to 0.0
      Jun 29, 2017 to Jan 3, 2018
    • HNW clients · unset to 0.0
      Jun 29, 2017 to Jan 3, 2018
    • Individual clients · unset to 0.0
      Jun 29, 2017 to Jan 3, 2018
    • Pension plan clients · unset to 0.0
      Jun 29, 2017 to Jan 3, 2018
    • Pooled vehicle clients · unset to 0.0
      Jun 29, 2017 to Jan 3, 2018
    • Employees · 3 to 2
      Jun 29, 2017 to Jan 3, 2018
    • State-registered IARs · 3 to 2
      Jun 29, 2017 to Jan 3, 2018
    • Other offices · unset to 0.0
      Jun 29, 2017 to Jan 3, 2018
    • HNW RAUM · unset to 0.0
      Jun 29, 2017 to Jan 3, 2018
    • Individual RAUM · unset to 0.0
      Jun 29, 2017 to Jan 3, 2018
    • Pension RAUM · unset to 0.0
      Jun 29, 2017 to Jan 3, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Jun 29, 2017 to Jan 3, 2018
    • Accounts · 799 to 827
      Dec 6, 2016 to Mar 23, 2017
    • Discretionary RAUM · $110M to $123M
      Dec 6, 2016 to Mar 23, 2017
    • Non-discretionary RAUM · $62.4M to $67.8M
      Dec 6, 2016 to Mar 23, 2017
    Signals
    1 dated events
    • Strategic Investment Advisors, Llc reported RAUM $101.7M, down 52% from $212.9M (2018-03-28 to 2019-03-27)
      Mar 27, 2019 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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