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

Clear Perspectives Financial Planning, LLC

Former SEC-registered adviserCincinnati, OhioCRD 146588SEC 801-107503IAPD
Latest filing Mar 20, 2023
First filing on the tape Mar 18, 2016 · 18 filings
RAUM
$348M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$348M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$348M as of Mar 20, 2023
Mar 2, 2017$132M then
HNW client RAUM$297M as of Mar 20, 2023
Mar 1, 2018$130M then
State-registered IARs (5.B.3)9 as of Mar 20, 2023
Mar 2, 20175 then
Employees (5.A)12 as of Mar 20, 2023
Mar 2, 20175 then
Private funds: no history
RAUM +1.8% over the last fiscal year+15% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Mar 20, 2023; every figure names its basis
RAUM per advisor
$38.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
26derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$385,237derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.8%derivedbetween the last two annual amendments
Advisor growth, one year
+13%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.5%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$347M, 230 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$297M85%
  • Individuals$51.4M15%
Individual clients
100reported
HNW clients
130reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
904reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$347M for 230 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
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
    • Amelia Carol Hoffman · Membercontrol
      since 02/2008 · owns 50% to 75%
    • Lou Deborah Thocker · Chief Compliance Officer/Membercontrol
      since 01/2021 · owns 10% to 25%
    • W Robert Bartlett · Member
      since 01/2020 · owns 5% to 10%
    • Anthony Timothy Grout · Member
      since 02/2008 · owns 10% to 25%
    • Mary Katherine Mcinerney · Member
      since 01/2020 · owns 5% to 10%
    • Justin Michael Schelle · Member
      since 01/2021 · owns 5% to 10%
    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 · 990 to 904
      Nov 4, 2022 to Mar 20, 2023
    • Advisory employees · 8 to 9
      Nov 4, 2022 to Mar 20, 2023
    • HNW clients · 118 to 130
      Nov 4, 2022 to Mar 20, 2023
    • Individual clients · 98 to 100
      Nov 4, 2022 to Mar 20, 2023
    • Assets in custody · $336M to $347M
      Nov 4, 2022 to Mar 20, 2023
    • State-registered IARs · 8 to 9
      Nov 4, 2022 to Mar 20, 2023
    • Discretionary RAUM · $342M to $348M
      Nov 4, 2022 to Mar 20, 2023
    • HNW RAUM · $285M to $297M
      Nov 4, 2022 to Mar 20, 2023
    • Individual RAUM · $57.0M to $51.4M
      Nov 4, 2022 to Mar 20, 2023
    • RAUM · $342M to $348M
      Nov 4, 2022 to Mar 20, 2023
    • Accounts · 908 to 990
      Jul 7, 2021 to Mar 10, 2022
    • Advisory employees · 7 to 8
      Jul 7, 2021 to Mar 10, 2022
    • HNW clients · 97 to 118
      Jul 7, 2021 to Mar 10, 2022
    • Individual clients · 99 to 98
      Jul 7, 2021 to Mar 10, 2022
    • Assets in custody · $217M to $336M
      Jul 7, 2021 to Mar 10, 2022
    • Employees · 8 to 12
      Jul 7, 2021 to Mar 10, 2022
    • State-registered IARs · 7 to 8
      Jul 7, 2021 to Mar 10, 2022
    • Discretionary RAUM · $285M to $342M
      Jul 7, 2021 to Mar 10, 2022
    • HNW RAUM · $237M to $285M
      Jul 7, 2021 to Mar 10, 2022
    • Individual RAUM · $47.8M to $57.0M
      Jul 7, 2021 to Mar 10, 2022
    • RAUM · $285M to $342M
      Jul 7, 2021 to Mar 10, 2022
    • Accounts · 815 to 908
      Jun 5, 2020 to Jan 29, 2021
    • HNW clients · 87 to 97
      Jun 5, 2020 to Jan 29, 2021
    • Individual clients · 87 to 99
      Jun 5, 2020 to Jan 29, 2021
    • Assets in custody · $200M to $217M
      Jun 5, 2020 to Jan 29, 2021
    • Discretionary RAUM · $229M to $285M
      Jun 5, 2020 to Jan 29, 2021
    • HNW RAUM · $181M to $237M
      Jun 5, 2020 to Jan 29, 2021
    • Individual RAUM · $47.8M to $47.8M
      Jun 5, 2020 to Jan 29, 2021
    • RAUM · $229M to $285M
      Jun 5, 2020 to Jan 29, 2021
    • Accounts · 696 to 815
      Feb 21, 2019 to Mar 11, 2020
    • Advisory employees · 6 to 7
      Feb 21, 2019 to Mar 11, 2020
    • HNW clients · 72 to 87
      Feb 21, 2019 to Mar 11, 2020
    • Individual clients · 93 to 87
      Feb 21, 2019 to Mar 11, 2020
    • Assets in custody · $96.7M to $200M
      Feb 21, 2019 to Mar 11, 2020
    • Employees · 6 to 8
      Feb 21, 2019 to Mar 11, 2020
    • State-registered IARs · 6 to 7
      Feb 21, 2019 to Mar 11, 2020
    • Discretionary RAUM · $174M to $229M
      Feb 21, 2019 to Mar 11, 2020
    • HNW RAUM · $134M to $181M
      Feb 21, 2019 to Mar 11, 2020
    • Individual RAUM · $40.4M to $47.8M
      Feb 21, 2019 to Mar 11, 2020
    • RAUM · $174M to $229M
      Feb 21, 2019 to Mar 11, 2020
    Signals
    9 dated events
    • Clear Perspectives Financial Planning, LLC's advisors moved to The Mather Group, LLC (Cincinnati, OH): 7 of 7 registered, on the same day
      Jun 30, 2023 · Firm absorbed (people side) · derived
    • Katherine Mary Mcinerney left Clear Perspectives Financial Planning, Llc for The Mather Group, Llc (registered 2023-05-30)
      Jun 30, 2023 · Advisor changed firm · fact
    • Robert W Bartlett left Clear Perspectives Financial Planning, Llc for The Mather Group, Llc (registered 2023-05-30)
      Jun 30, 2023 · Advisor changed firm · fact
    • Ryan M Gorman left Clear Perspectives Financial Planning, Llc for The Mather Group, Llc (registered 2023-05-25)
      Jun 30, 2023 · Advisor changed firm · fact
    • Michael Justin Schelle left Clear Perspectives Financial Planning, Llc for The Mather Group, Llc (registered 2023-05-25)
      Jun 30, 2023 · Advisor changed firm · fact
    • Carol Amelia Hoffman left Clear Perspectives Financial Planning, Llc for The Mather Group, Llc (registered 2023-05-26)
      Jun 30, 2023 · Advisor changed firm · fact
    • Michael Allen Curley left Clear Perspectives Financial Planning, Llc for The Mather Group, Llc (registered 2023-05-31)
      Jun 30, 2023 · Advisor changed firm · fact
    • Deborah Lou Thocker left Clear Perspectives Financial Planning, Llc for The Mather Group, Llc (registered 2023-05-30)
      Jun 30, 2023 · Advisor changed firm · fact
    • Clear Perspectives Financial Planning, Llc filed its initial SEC registration (Form ADV)
      Mar 18, 2016 · 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