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.
SEC-registered adviser
Broadleaf Partners, LLC
Latest filing Jun 8, 2026
First filing on the tape Feb 6, 2012 · 29 filings
SEC status approved since Feb 25, 2010
RAUM
$551M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
79%
$437M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$184M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$551M as of Jun 8, 2026
Feb 6, 2012$93.9M then
HNW client RAUM$388M as of Jun 8, 2026
Feb 23, 2018$98.2M then
State-registered IARs (5.B.3)3 as of Jun 8, 2026
Feb 6, 20120 then
Employees (5.A)7 as of Jun 8, 2026
Feb 7, 20136 then
Private funds: no history
RAUM +11% over the last fiscal year+21% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 8, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $184MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $947,238derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $20.4M, 19 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$388M70%
- Charitable organizations$95.4M17%
- Individuals$48.2M8.7%
- Corporations and businesses$17.8M3.2%
- Pension and profit-sharing plans$1.4M0.3%
- Individual clients
- 133reported
- HNW clients
- 94reported
- Pension plan clients
- 1reported
- Charitable clients
- 13reported
- Accounts
- 582reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $20.4M for 19 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.79 fund_share=0.0 institutional_share=0.18 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Douglas Scott MackayChartered Financial Analyst | Peninsula, Oh | Nov 14, 2005 | 35 y | 1 |
| William Frank Hoover | Hudson, Oh | Feb 11, 2009 | 33 y | 2 |
| Jared Paul Hoffman | Hudson, Oh | Sep 14, 2022 | 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
- Jeffrey Butler Travis to Winslow Asset Management IncAug 17, 2009 · Other
Joined, latest
- William Frank Hoover from Morgan Stanley & Co. LLCFeb 11, 2009 · Other
- Douglas Scott Mackay from Oak Associates LtdNov 14, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Frank William Hoover · President & Coocontrolsince 02/2009 · owns 50% to 75%
- Scott Douglas Mackay · Ceo & Ciocontrolsince 09/2005 · owns 50% to 75%
- Edward Peter Mackay · Ccocontrolsince 07/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Hudson, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 526 to 582Mar 12, 2025 to Mar 30, 2026
- HNW clients · 85 to 94Mar 12, 2025 to Mar 30, 2026
- Individual clients · 111 to 133Mar 12, 2025 to Mar 30, 2026
- Assets in custody · $15.5M to $20.4MMar 12, 2025 to Mar 30, 2026
- Discretionary RAUM · $494M to $550MMar 12, 2025 to Mar 30, 2026
- HNW RAUM · $335M to $388MMar 12, 2025 to Mar 30, 2026
- Individual RAUM · $46.4M to $48.2MMar 12, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $880,693 to $1.3MMar 12, 2025 to Mar 30, 2026
- Pension RAUM · $1.1M to $1.4MMar 12, 2025 to Mar 30, 2026
- RAUM · $495M to $551MMar 12, 2025 to Mar 30, 2026
- Accounts · 494 to 526Oct 8, 2024 to Mar 12, 2025
- Advisory activities · 4 to 5Oct 8, 2024 to Mar 12, 2025
- HNW clients · 79 to 85Oct 8, 2024 to Mar 12, 2025
- Individual clients · 94 to 111Oct 8, 2024 to Mar 12, 2025
- Assets in custody · $29.3M to $15.5MOct 8, 2024 to Mar 12, 2025
- Financial planning clients · 0 to 1-10Oct 8, 2024 to Mar 12, 2025
- Discretionary RAUM · $410M to $494MOct 8, 2024 to Mar 12, 2025
- HNW RAUM · $274M to $335MOct 8, 2024 to Mar 12, 2025
- Individual RAUM · $39.7M to $46.4MOct 8, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $330,080 to $880,693Oct 8, 2024 to Mar 12, 2025
- Pension RAUM · $922,976 to $1.1MOct 8, 2024 to Mar 12, 2025
- RAUM · $411M to $495MOct 8, 2024 to Mar 12, 2025
- Accounts · 467 to 494Jul 3, 2023 to Mar 19, 2024
- HNW clients · 97 to 79Jul 3, 2023 to Mar 19, 2024
- Individual clients · 70 to 94Jul 3, 2023 to Mar 19, 2024
- Assets in custody · unset to 29260855.0Jul 3, 2023 to Mar 19, 2024
- Custody of client assets · false to trueJul 3, 2023 to Mar 19, 2024
- Financial planning clients · unset to 0Jul 3, 2023 to Mar 19, 2024
- Discretionary RAUM · $309M to $410MJul 3, 2023 to Mar 19, 2024
- HNW RAUM · $196M to $274MJul 3, 2023 to Mar 19, 2024
- Individual RAUM · $37.6M to $39.7MJul 3, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $272,388 to $330,080Jul 3, 2023 to Mar 19, 2024
- Pension RAUM · $715,796 to $922,976Jul 3, 2023 to Mar 19, 2024
- RAUM · $310M to $411MJul 3, 2023 to Mar 19, 2024
- Accounts · 452 to 467Mar 21, 2022 to Mar 9, 2023
- HNW clients · 83 to 97Mar 21, 2022 to Mar 9, 2023
- Individual clients · 78 to 70Mar 21, 2022 to Mar 9, 2023
- Pension plan clients · 3 to 1Mar 21, 2022 to Mar 9, 2023
- State-registered IARs · 2 to 3Mar 21, 2022 to Mar 9, 2023
- Discretionary RAUM · $397M to $309MMar 21, 2022 to Mar 9, 2023
Signals
2 dated events
- Broadleaf Partners, Llc reported RAUM $410.6M, up 33% from $309.7M (2023-07-03 to 2024-03-19)Mar 19, 2024 · RAUM change · derived
- Edward Peter Mackay (Cco) appeared on Schedule A of Broadleaf Partners, LlcJul 3, 2023 · Control person joined · 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
- 330-650-0936reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 330-650-0921reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/broadleaf-partners-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- BROADLEAFPARTNERS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 330-650-0921reportedpublic record, Form ADV, Jun 8, 2026
- Contact form
- broadleafpartners.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- broadleafpartners.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $184Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026