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
I••••••••• M••••••••• A••••••• L•••
Latest filing Mar 26, 2026
First filing on the tape Apr 3, 2012 · 24 filings
SEC status approved since May 17, 2006
RAUM
$109M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$109M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$109M as of Mar 26, 2026
Apr 3, 2012$81.3M then
HNW client RAUM$109M as of Mar 26, 2026
Mar 30, 2018$102M then
State-registered IARs (5.B.3)1 as of Mar 26, 2026
Apr 3, 20120 then
Employees (5.A)1 as of Mar 26, 2026
Apr 30, 20132 then
Private funds: no history
RAUM +5.9% over the last fiscal year-0.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.2MderivedHNW RAUM over HNW clients
- Average account
- $3.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $69.3M, 7 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$109M100%
- Individual clients
- n/areported
- HNW clients
- 9reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 35reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $69.3M for 7 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• J•• S•••••••••Chartered Financial Analyst | Waite Hill, Oh | Mar 27, 2023 | 25 y | 2 |
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
none on the tape
Joined, latest
- K••• J•• S••••••••• from M•• C•••••• M••••••••• L••Jun 28, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• K•••• J•• · Sole Member/Chief Compliance Officercontrolsince 04/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 36 to 35Mar 21, 2025 to Mar 26, 2026
- Discretionary RAUM · $103M to $109MMar 21, 2025 to Mar 26, 2026
- HNW RAUM · $103M to $109MMar 21, 2025 to Mar 26, 2026
- RAUM · $103M to $109MMar 21, 2025 to Mar 26, 2026
- Accounts · 31 to 36Mar 12, 2024 to Mar 21, 2025
- Assets in custody · $53.9M to $69.3MMar 12, 2024 to Mar 21, 2025
- Financial planning clients · 1-10 to 1-10Mar 12, 2024 to Mar 21, 2025
- HQ city · CLEVELAND to Mar 12, 2024 to Mar 21, 2025
- HQ state · OH to Mar 12, 2024 to Mar 21, 2025
- Discretionary RAUM · $107M to $103MMar 12, 2024 to Mar 21, 2025
- HNW RAUM · $107M to $103MMar 12, 2024 to Mar 21, 2025
- RAUM · $107M to $103MMar 12, 2024 to Mar 21, 2025
- Accounts · 45 to 31Mar 30, 2023 to Mar 12, 2024
- HNW clients · 10 to 9Mar 30, 2023 to Mar 12, 2024
- Employees · 2 to 1Mar 30, 2023 to Mar 12, 2024
- Financial planning clients · 11-25 to 1-10Mar 30, 2023 to Mar 12, 2024
- Discretionary RAUM · $110M to $107MMar 30, 2023 to Mar 12, 2024
- HNW RAUM · $110M to $107MMar 30, 2023 to Mar 12, 2024
- RAUM · $110M to $107MMar 30, 2023 to Mar 12, 2024
- Accounts · 62 to 45Mar 5, 2023 to Mar 30, 2023
- HNW clients · 11 to 10Mar 5, 2023 to Mar 30, 2023
- Assets in custody · $1.1M to $53.9MMar 5, 2023 to Mar 30, 2023
- State-registered IARs · 0 to 1Mar 5, 2023 to Mar 30, 2023
- Discretionary RAUM · $133M to $110MMar 5, 2023 to Mar 30, 2023
- HNW RAUM · $139M to $110MMar 5, 2023 to Mar 30, 2023
- Non-discretionary RAUM · $6.0M to $0Mar 5, 2023 to Mar 30, 2023
- RAUM · $139M to $110MMar 5, 2023 to Mar 30, 2023
- Accounts · 69 to 62Mar 28, 2021 to Mar 29, 2022
- HNW clients · 13 to 11Mar 28, 2021 to Mar 29, 2022
- Assets in custody · $87.9M to $1.1MMar 28, 2021 to Mar 29, 2022
- Discretionary RAUM · $139M to $133MMar 28, 2021 to Mar 29, 2022
- HNW RAUM · $149M to $139MMar 28, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $10.0M to $6.0MMar 28, 2021 to Mar 29, 2022
- RAUM · $149M to $139MMar 28, 2021 to Mar 29, 2022
- Accounts · 70 to 69Sep 21, 2020 to Mar 28, 2021
- Discretionary RAUM · $112M to $139MSep 21, 2020 to Mar 28, 2021
- HNW RAUM · $112M to $149MSep 21, 2020 to Mar 28, 2021
- Non-discretionary RAUM · $0 to $10.0MSep 21, 2020 to Mar 28, 2021
- RAUM · $112M to $149MSep 21, 2020 to Mar 28, 2021
- Accounts · 74 to 70Mar 31, 2019 to Mar 31, 2020
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
- Principal office phone
- 216-436-3637reportedpublic record, Form ADV, Mar 26, 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
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026