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Former SEC-registered adviser

A•••• C•••••• I•••

Former SEC-registered adviserMayfield Heights, OhioCRD 141901SEC 801-67726IAPD
Latest filing Mar 28, 2019
First filing on the tape Mar 30, 2012 · 8 filings
RAUM
$32.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$32.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$32.4M as of Mar 28, 2019
Mar 30, 2012$111M then
HNW client RAUM$32.1M as of Mar 28, 2019
Mar 27, 2018$47.0M then
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 30, 20120 then
Employees (5.A)5 as of Mar 28, 2019
Apr 1, 20136 then
Private funds: no history
RAUM -32% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-32%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$92,467, 2 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$32.1M99%
  • Pooled investment vehicles$317,4671.0%
Individual clients
n/areported
HNW clients
8reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
17reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$92,467 for 2 clientsreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• J•••• E•••• · President & Chief Compliance Officercontrol
        since 08/2006 · owns 75% or more
      • B••••• S••••• J••• · Vice President
        since 08/2006 · owns 10% to 25%
      • L••••••••• L•••• M•••• · Chief Financial Officer
        since 08/2006 · owns less than 5%
      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 · 22 to 17
        Mar 27, 2018 to Mar 28, 2019
      • Assets in custody · $133,181 to $92,467
        Mar 27, 2018 to Mar 28, 2019
      • Discretionary RAUM · $47.4M to $32.4M
        Mar 27, 2018 to Mar 28, 2019
      • HNW RAUM · $47.0M to $32.1M
        Mar 27, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $383,168 to $317,467
        Mar 27, 2018 to Mar 28, 2019
      • RAUM · $47.4M to $32.4M
        Mar 27, 2018 to Mar 28, 2019
      • Accounts · 28 to 22
        Mar 31, 2017 to Mar 27, 2018
      • HNW clients · unset to 8.0
        Mar 31, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 31, 2017 to Mar 27, 2018
      • Assets in custody · $166,502 to $133,181
        Mar 31, 2017 to Mar 27, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 27, 2018
      • Discretionary RAUM · $51.0M to $47.4M
        Mar 31, 2017 to Mar 27, 2018
      • HNW RAUM · unset to 47015565.0
        Mar 31, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 383168.0
        Mar 31, 2017 to Mar 27, 2018
      • RAUM · $51.0M to $47.4M
        Mar 31, 2017 to Mar 27, 2018
      • Accounts · 31 to 28
        Mar 30, 2016 to Mar 31, 2017
      • Advisory activities · 2 to 1
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $170,116 to $166,502
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 6 to 5
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $68.5M to $51.0M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $68.5M to $51.0M
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $216,459 to $170,116
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $91.9M to $68.5M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $91.9M to $68.5M
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $97,923 to $216,459
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $153M to $91.9M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $153M to $91.9M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 32 to 31
        Apr 1, 2013 to Mar 31, 2014
      • Assets in custody · $33,000 to $97,923
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $152M to $153M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $152M to $153M
        Apr 1, 2013 to Mar 31, 2014
      • Accounts · 36 to 32
        Mar 30, 2012 to Apr 1, 2013
      • Advisory employees · unset to 3.0
        Mar 30, 2012 to Apr 1, 2013
      • Assets in custody · $3.9M to $33,000
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 6.0
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $111M to $152M
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $111M to $152M
        Mar 30, 2012 to Apr 1, 2013
      • Related adviser · true to false
        Mar 30, 2012 to Apr 1, 2013
      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.
      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