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

S••••••••• W••••• M••••••••• I•••

Independent wealth managerToledo, OhioCRD 146611SEC 801-133861websiteIAPD
Latest filing Feb 27, 2026
First filing on the tape Jun 18, 2025 · 2 filings
SEC status approved since Jul 11, 2025
RAUM
$227M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$226M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$45.4M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$227M as of Feb 27, 2026
Jun 18, 2025$169M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 27, 2026
Jun 18, 20252 then
Employees (5.A)4 as of Feb 27, 2026
Jun 18, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
RAUM per advisor
$45.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$430,531derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.8derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$226M100%
  • Corporations and businesses$542,0000.2%
Individual clients
523reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
527reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
5 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T••••• K••••• R•••••Toledo, OhMar 28, 200827 y3
B•••• A••••• S••••••Toledo, OhApr 23, 200827 y1
P••• W•••••• M••••Toledo, OhJan 29, 202113 y2
C••••••••• C•••••• W•••••Temperance, MiMar 16, 202223 y2
N••••• T••••• R•••••Toledo, OhFeb 25, 202518 y1
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••••• B••••• A••••• · Ownercontrol
    since 10/2009 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Toledo, Oh · principal400
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 340 to 527
    Jun 18, 2025 to Feb 27, 2026
  • Corporate clients · unset to 4.0
    Jun 18, 2025 to Feb 27, 2026
  • Individual clients · 340 to 523
    Jun 18, 2025 to Feb 27, 2026
  • Discretionary RAUM · $169M to $227M
    Jun 18, 2025 to Feb 27, 2026
  • Individual RAUM · $169M to $226M
    Jun 18, 2025 to Feb 27, 2026
  • RAUM · $169M to $227M
    Jun 18, 2025 to Feb 27, 2026
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
Business email
structuredwealthmanagement@structuredplan.comreportedpublished by the firm, firm site, Sep 17, 2026
Business phone
419-517-1227reportedpublished by the firm, firm site, Sep 17, 2026
Website
H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
419-517-1227reportedpublic record, Form ADV, Feb 27, 2026
Contact form
structuredplan.com/contactreportedpublished by the firm, firm site, Sep 17, 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
$45.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026