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
Kleinhenz & Associates Ltd.
Latest filing Feb 19, 2025
First filing on the tape Feb 1, 2018 · 14 filings
SEC status approved since Mar 5, 2018
RAUM
$174M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$168M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$174M as of Feb 19, 2025
Jan 29, 2019$98.5M then
HNW client RAUM$160M as of Feb 19, 2025
Jan 29, 2019$92.3M then
State-registered IARs (5.B.3)3 as of Feb 19, 2025
Jan 29, 20192 then
Employees (5.A)3 as of Feb 19, 2025
Jan 29, 20193 then
Private funds: no history
RAUM +13% over the last fiscal year+6.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 19, 2025; every figure names its basis
- RAUM per advisor
- $57.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $843,925derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $11.9M, 14 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)
- 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$160M92%
- Individuals$8.6M4.9%
- Charitable organizations$5.6M3.2%
- Individual clients
- 23reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 206reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $11.9M for 14 clientsreported
- Compensation
- % of AUMreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- Karen Rose Kleinhenz to Arax Advisory PartnersOct 24, 2025 · RIA to RIA
- John Edward Kleinhenz to Arax Advisory PartnersOct 24, 2025 · RIA to RIA
Joined, latest
- Karen Rose Kleinhenz from Van Cleef Asset Management IncJan 11, 2008 · Other
- John Edward Kleinhenz from Van Cleef Asset Management IncJan 11, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Arax Advisory PartnersOct 24, 2025 · Cleveland Heights, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Edward John Kleinhenz · Member & Chief Economistcontrolsince 11/2007 · owns 25% to 50%
- Rose Karen Kleinhenz · Chief Compliance Officer & Managing Membercontrolsince 11/2007 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Cleveland Heights, Oh | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 220 to 206Feb 22, 2024 to Feb 19, 2025
- Business name · KLEINHENZ & ASSOCIATES, LTD. to KLEINHENZ & ASSOCIATES LTD.Feb 22, 2024 to Feb 19, 2025
- Charity clients · unset to 5.0Feb 22, 2024 to Feb 19, 2025
- HNW clients · 63 to 65Feb 22, 2024 to Feb 19, 2025
- Individual clients · 25 to 23Feb 22, 2024 to Feb 19, 2025
- Assets in custody · $13.1M to $11.9MFeb 22, 2024 to Feb 19, 2025
- Financial planning clients · unset to Feb 22, 2024 to Feb 19, 2025
- HQ city · unset to Feb 22, 2024 to Feb 19, 2025
- HQ state · unset to Feb 22, 2024 to Feb 19, 2025
- Legal name · KLEINHENZ & ASSOCIATES, LTD. to KLEINHENZ & ASSOCIATES LTD.Feb 22, 2024 to Feb 19, 2025
- Discretionary RAUM · $154M to $174MFeb 22, 2024 to Feb 19, 2025
- HNW RAUM · $144M to $160MFeb 22, 2024 to Feb 19, 2025
- Individual RAUM · $9.7M to $8.6MFeb 22, 2024 to Feb 19, 2025
- RAUM · $154M to $174MFeb 22, 2024 to Feb 19, 2025
- Accounts · 213 to 220Mar 4, 2023 to Feb 22, 2024
- HNW clients · 58 to 63Mar 4, 2023 to Feb 22, 2024
- Individual clients · 30 to 25Mar 4, 2023 to Feb 22, 2024
- Assets in custody · $10.0M to $13.1MMar 4, 2023 to Feb 22, 2024
- Discretionary RAUM · $127M to $154MMar 4, 2023 to Feb 22, 2024
- HNW RAUM · $116M to $144MMar 4, 2023 to Feb 22, 2024
- Individual RAUM · $10.2M to $9.7MMar 4, 2023 to Feb 22, 2024
- RAUM · $127M to $154MMar 4, 2023 to Feb 22, 2024
- Accounts · 87 to 213Feb 8, 2022 to Feb 3, 2023
- Charity clients · 0.0 to unsetFeb 8, 2022 to Feb 3, 2023
- Corporate clients · 0.0 to unsetFeb 8, 2022 to Feb 3, 2023
- HNW clients · 67 to 58Feb 8, 2022 to Feb 3, 2023
- Individual clients · 20 to 30Feb 8, 2022 to Feb 3, 2023
- Pension plan clients · 0.0 to unsetFeb 8, 2022 to Feb 3, 2023
- Pooled vehicle clients · 0.0 to unsetFeb 8, 2022 to Feb 3, 2023
- Assets in custody · $8.7M to $10.0MFeb 8, 2022 to Feb 3, 2023
- HQ city · CLEVELAND to unsetFeb 8, 2022 to Feb 3, 2023
- HQ state · OH to unsetFeb 8, 2022 to Feb 3, 2023
- Discretionary RAUM · $143M to $127MFeb 8, 2022 to Feb 3, 2023
- HNW RAUM · $137M to $116MFeb 8, 2022 to Feb 3, 2023
- Individual RAUM · $5.4M to $10.2MFeb 8, 2022 to Feb 3, 2023
- Pension RAUM · 0.0 to unsetFeb 8, 2022 to Feb 3, 2023
- Pooled vehicle RAUM · 0.0 to unsetFeb 8, 2022 to Feb 3, 2023
- RAUM · $143M to $127MFeb 8, 2022 to Feb 3, 2023
- Accounts · 182 to 87Feb 18, 2021 to Feb 8, 2022
- HNW clients · 69 to 67Feb 18, 2021 to Feb 8, 2022
Signals
5 dated events
- Kleinhenz & Associates Ltd. no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $173.8M)Dec 20, 2025 · Left the SEC roster · derived
- Karen Rose Kleinhenz left Kleinhenz & Associates Ltd. for Arax Advisory Partners (registered 2025-09-10)Oct 24, 2025 · Advisor changed firm · fact
- John Edward Kleinhenz left Kleinhenz & Associates Ltd. for Arax Advisory Partners (registered 2025-09-10)Oct 24, 2025 · Advisor changed firm · fact
- 2 advisors left Kleinhenz & Associates LTD. (Cleveland Heights, OH) for Arax Advisory Partners on the same dayOct 24, 2025 · Team lift-out · derived
- Kleinhenz & Associates, Ltd. filed its initial SEC registration (Form ADV)Feb 1, 2018 · 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.
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