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
P•••••• H•••••• I••••••••• M••••••••• • C•••••• L•••
Latest filing Mar 27, 2026
First filing on the tape Mar 13, 2012 · 32 filings
SEC status approved since Apr 28, 2008
RAUM
$169M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$158M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$169M
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
32 filings and snapshots on the tape
RAUM$169M as of Mar 27, 2026
Mar 13, 2012$244M then
HNW client RAUM$125M as of Mar 27, 2026
Mar 12, 2018$102M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 8, 20132 then
Employees (5.A)1 as of Mar 27, 2026
Mar 8, 20135 then
Private funds: no history
RAUM -2.5% over the last fiscal year+0.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $169MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 135derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $535,493derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 6.0%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
- -2.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$125M74%
- Individuals$32.2M19%
- Pension and profit-sharing plans$10.0M5.9%
- Corporations and businesses$1.4M0.8%
- Charitable organizations$161,4870.1%
- Individual clients
- 86reported
- HNW clients
- 49reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 316reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.06 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 |
|---|---|---|---|---|
| J•••• A••• B•••Chartered Financial Analyst | Solon, Oh | Oct 3, 2008 | 30 y | 1 |
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
- J•••• A••• B••• from G•••••••• C•••••• M••••••••• C••••Oct 3, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• J••••• A••• · Managing Member - Ccocontrolsince 01/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list P•••••• H•••••• I••••••••• M••••••••• • C•••••• L••• as a related person
- 172633 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 350 to 316Mar 18, 2025 to Mar 27, 2026
- HNW clients · 54 to 49Mar 18, 2025 to Mar 27, 2026
- Individual clients · 94 to 86Mar 18, 2025 to Mar 27, 2026
- Discretionary RAUM · $171M to $167MMar 18, 2025 to Mar 27, 2026
- HNW RAUM · $129M to $125MMar 18, 2025 to Mar 27, 2026
- Individual RAUM · $32.0M to $32.2MMar 18, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $2.3M to $2.4MMar 18, 2025 to Mar 27, 2026
- Pension RAUM · $11.6M to $10.0MMar 18, 2025 to Mar 27, 2026
- RAUM · $173M to $169MMar 18, 2025 to Mar 27, 2026
- Accounts · 378 to 350Mar 26, 2024 to Mar 18, 2025
- Corporate clients · 3 to 2Mar 26, 2024 to Mar 18, 2025
- Individual clients · 98 to 94Mar 26, 2024 to Mar 18, 2025
- Financial planning clients · 1-10 to 1-10Mar 26, 2024 to Mar 18, 2025
- HQ city · unset to Mar 26, 2024 to Mar 18, 2025
- HQ state · unset to Mar 26, 2024 to Mar 18, 2025
- Discretionary RAUM · $169M to $171MMar 26, 2024 to Mar 18, 2025
- HNW RAUM · $118M to $129MMar 26, 2024 to Mar 18, 2025
- Individual RAUM · $36.5M to $32.0MMar 26, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $2.3M to $2.3MMar 26, 2024 to Mar 18, 2025
- Pension RAUM · $15.9M to $11.6MMar 26, 2024 to Mar 18, 2025
- RAUM · $172M to $173MMar 26, 2024 to Mar 18, 2025
- Accounts · 372 to 378Sep 20, 2023 to Mar 26, 2024
- Corporate clients · 4 to 3Sep 20, 2023 to Mar 26, 2024
- HNW clients · 56 to 54Sep 20, 2023 to Mar 26, 2024
- Individual clients · 97 to 98Sep 20, 2023 to Mar 26, 2024
- Discretionary RAUM · $168M to $169MSep 20, 2023 to Mar 26, 2024
- HNW RAUM · $118M to $118MSep 20, 2023 to Mar 26, 2024
- Individual RAUM · $34.9M to $36.5MSep 20, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $2.2M to $2.3MSep 20, 2023 to Mar 26, 2024
- Pension RAUM · $15.3M to $15.9MSep 20, 2023 to Mar 26, 2024
- RAUM · $170M to $172MSep 20, 2023 to Mar 26, 2024
- Accounts · 379 to 372Mar 28, 2023 to Sep 20, 2023
- Advisory employees · 2 to 1Mar 28, 2023 to Sep 20, 2023
- HNW clients · 58 to 56Mar 28, 2023 to Sep 20, 2023
- Individual clients · 101 to 97Mar 28, 2023 to Sep 20, 2023
- Employees · 2 to 1Mar 28, 2023 to Sep 20, 2023
- HQ city · SOLON to unsetMar 28, 2023 to Sep 20, 2023
- HQ state · OH to unsetMar 28, 2023 to Sep 20, 2023
- Discretionary RAUM · $163M to $168MMar 28, 2023 to Sep 20, 2023
- HNW RAUM · $115M to $118MMar 28, 2023 to Sep 20, 2023
Signals
1 dated events
- John Geofrey Greenleaf (Member - Chairman - Cco) no longer on Schedule A of P•••••• H•••••• I••••••••• M••••••••• • C•••••• L••• (listed 2019-02-11, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
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
- 216-292-5700reportedpublic record, Form ADV, Mar 27, 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
- $169Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026