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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
N••••••••• R••••••• P•••••••• L••
Latest filing Apr 17, 2026
First filing on the tape Apr 17, 2026 · 1 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
27
24 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Apr 17, 2026; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 24.0derived1 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
- unknownreportedItem 5.E
- Advisory activities
- unknownreportedItem 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 a broker-dealer (6.A.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
21 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• M•••••• H•••• | Cleveland, Oh | Jun 23, 2023 | 22 y | 0 |
| K•••• M•••••• H••••• | Cleveland, Oh | Jun 23, 2023 | 18 y | 0 |
| P•••••• J••••• C••••••• | Cleveland, Oh | Jun 23, 2023 | 18 y | 0 |
| J•••• J•• S•••••••• | Barrington, Ri | Jun 23, 2023 | 10 y | 0 |
| A••••• T••••• M•• | Cleveland, Oh | Jun 23, 2023 | 10 y | 0 |
| M•••••• P•••••• K•••••••• | Cleveland, Oh | Jun 23, 2023 | 37 y | 0 |
| V•••••• B•••••• P••••••• | Cleveland, Oh | Jun 23, 2023 | 36 y | 0 |
| R••• M•••••• C•••••• | Cleveland, Oh | Jun 23, 2023 | 20 y | 0 |
| C•••••• E••••• C•••••••••Chartered Financial Analyst | Cleveland, Oh | Jun 23, 2023 | 20 y | 0 |
| K••• W•••••• L•••••• | Cleveland, Oh | Jun 23, 2023 | 39 y | 0 |
| K••••• M•••• | Cleveland, Oh | Jun 23, 2023 | 27 y | 0 |
| A•••• B•••• R•••Chartered Financial Analyst | Cleveland, Oh | Jun 27, 2023 | 17 y | 3 |
| A•••• S•••••••• | Cleveland, Oh | Oct 16, 2023 | 10 y | 0 |
| N••••• H••••• S••••• | Cleveland, Oh | Jan 6, 2024 | 38 y | 0 |
| N••••••• H•••••••• | Cleveland, Oh | Jan 14, 2025 | 13 y | 0 |
| A•••••••• K•••••••••Chartered Financial Analyst | Cleveland, Oh | Jun 17, 2025 | 29 y | 0 |
| D••••• J•••• B•••• | Cleveland, Oh | Dec 19, 2025 | 12 y | 0 |
| R••••• A•••••• M•••• P••••• | Cleveland, Oh | Mar 13, 2026 | 12 y | 0 |
| D•••• M•••••Chartered Financial Analyst | Delray Beach, Fl | Apr 19, 2026 | 10 y | 0 |
| F•••••• P•••••• S••••• | Cleveland, Oh | Jul 8, 2026 | 10 y | 0 |
| J•••• L•••• C••••••• | Cleveland, Oh | Aug 17, 2026 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days8 left over 36 months
Left, latest
- J•••• H•••• K•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 9, 2025 · Other
- A•••••• C••••••••• to J••• M••••• S••••••••• L••Aug 7, 2025 · Other
- S•••• J••• S•••• to C••••• D•••• A•••• M•••••••••Aug 7, 2025 · Other
- M••• W•••••• S•••••• to N•• D•••• R•••••••• I•••Jul 21, 2025 · Other
- W•••• H••••• to M•••••• • N••••• A•••••••• L••Jun 4, 2025 · Other
- M•••••••• L••• O••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Apr 17, 2024 · Other
- H••••• S••• S••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 31, 2023 · Other
- J••• J• B•••• to F••••••• P••••••• A•• W•••••••• A•••••••Nov 6, 2023 · Other
Joined, latest
- A•••• B•••• R••• from F•••• T•••• S••••••••• I•••Jun 27, 2023 · Affiliated broker-dealer or bank to a state-registered adviser
- S•••• J••• S•••• from J••••• M••••••••• S•••• L••Jun 23, 2023 · Other
- J••• J• B•••• from H••••••••• F•••••••• A•••••••Jun 23, 2023 · Affiliated broker-dealer or bank to a state-registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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, Oh · principal | 21 | 5 | 1 | ||
| Fort Lauderdale, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
8 dated events
- J•••• H•••• K•••••• left N••••••••• R••••••• P•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2025-11-07)Oct 9, 2025 · Advisor changed firm · fact
- A•••••• C••••••••• left N••••••••• R••••••• P•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2025-08-21)Aug 7, 2025 · Advisor changed firm · fact
- S•••• J••• S•••• left N••••••••• R••••••• P•••••••• L•• for C••••• D•••• A•••• M••••••••• (registered 2025-07-10)Aug 7, 2025 · Advisor changed firm · fact
- M••• W•••••• S•••••• left N••••••••• R••••••• P•••••••• L•• for N•• D•••• R•••••••• I••• (registered 2025-10-27)Jul 21, 2025 · Advisor changed firm · fact
- W•••• H••••• left N••••••••• R••••••• P•••••••• L•• for M•••••• • N••••• A•••••••• L•• (registered 2025-09-02)Jun 4, 2025 · Advisor changed firm · fact
- M•••••••• L••• O••••••• left N••••••••• R••••••• P•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-05-08)Apr 17, 2024 · Advisor changed firm · fact
- H••••• S••• S••••••••• left N••••••••• R••••••• P•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-01-08)Dec 31, 2023 · Advisor changed firm · fact
- J••• J• B•••• left N••••••••• R••••••• P•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-02-20)Nov 6, 2023 · Advisor changed firm · fact
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
- Website
- northcoastresearch.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 216-468-6900reportedpublic record, Form ADV, Apr 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026