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••••• P•••••••• L••

Broker-dealer affiliated wealth managerBeachwood, OhioCRD 153184SEC 801-71457website IAPD

Latest filing Sep 16, 2026

First filing on the tape Mar 9, 2012 · 349 filings

SEC status approved since Jun 4, 2010

RAUM

$19B

reported, Item 5.F

Discretionary

96%

of RAUM

Private clients

94%

$18B individuals and HNW

Advisors

386

registered through the firm on IAPD

RAUM per advisor

$48.3M

derived; firm RAUM over IAPD count

Employees

618

352 advisory (5.B.1)

Offices

170

beyond the principal office

Private funds

reported on Schedule D

History

349 filings and snapshots on the tape

RAUM$19B as of Aug 31, 2026

Mar 9, 2012$551M then

HNW client RAUM$12B as of Aug 31, 2026

Mar 27, 2018$1.2B then

State-registered IARs (5.B.3)352 as of Aug 31, 2026

Mar 9, 20120 then

Employees (5.A)618 as of Aug 31, 2026

Mar 28, 2013245 then

Private funds: no history

RAUM +49% over the last fiscal year+22% a year over threeIARs 315 to 352offices 101 to 170

Practice profile

derived from the filing of Sep 16, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $48.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 64derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.9MderivedHNW RAUM over HNW clients
Average account: $390,942derivedRAUM over accounts (5.F.2.f)
Discretionary: 96%derivedof RAUM
Institutional: 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.6derivedItem 5.A over advisors
Advisors per office: 2.3derived171 offices incl. principal (1.F.5)
RAUM growth, one year: +49%derivedbetween the last two annual amendments
Advisor growth, one year: +12%derivedItem 5.B.3 between annual amendments
Client growth, one year: +27%derived
Compensation: percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Financial planning clients: 1,000reportedItem 5.H
Wrap fee program: $12BreportedItem 5.I
Custody: $1.2B, 806 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)
a related person has custody of client securities (9.B.1.b)
a related person acts as qualified custodian (9.D.2)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$12B64%
Individuals$5.7B30%
Corporations and businesses$703M3.8%
Charitable organizations$284M1.5%
Pension and profit-sharing plans$75.9M0.4%
Insurance companies$20.1M0.1%
Banks and thrifts$5.5M0.0%

Individual clients: 20,685reported
HNW clients: 4,159reported
Pension plan clients: 106reported
Charitable clients: 121reported
Accounts: 47,696reported
Financial planning clients: 1,000reported
Wrap fee programs: $1.5B sponsored, $0 managedreported
Custody of client assets: $1.2B for 806 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=340.0derived

Advisors registered through the firm

384 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•••• B•••••• P•••••Certified Financial Planner, Chartered Financial Consultant	Chula Vista, Ca	Dec 31, 1997	37 y	1
D••••• R•••• M•••••Certified Financial Planner	Wooster, Oh	Oct 18, 1999	29 y	0
A•••• M•••••• S••••	Tiffin, Oh	Oct 18, 1999	36 y	0
J•••••• A••• C•••••••••	Beachwood, Oh	Aug 13, 2010	32 y	3
M•••••• J••••• Z••••••	Beachwood, Oh	Aug 13, 2010	38 y	1
D••••• J••• J•••••	Aventura, Fl	Aug 13, 2010	31 y	2
J••••• A••••• Z•••••••Certified Financial Planner	Chagrin Falls, Oh	Aug 13, 2010	26 y	1
C•••••••• M• O••••	Oberlin, Oh	Aug 13, 2010	30 y	1
K•••• N••• S•••••	Columbus, Oh	Aug 13, 2010	34 y	2
D•••• K•••••• T•••••Certified Financial Planner	Boulder, Co	Aug 13, 2010	28 y	1
J••• B•••• H•••	Santa Rosa Beach, Fl	Aug 13, 2010	39 y	1
S••••• J•••• L•••••	Broadview Heights, Oh	Aug 13, 2010	26 y	1
J••••• R• H•••••	Chagrin Falls, Oh	Aug 13, 2010	21 y	1
J•••• V•••••••• L•••••	Hudson, Oh	Aug 13, 2010	44 y	1
D•••• C• V••••••	Akron, Oh	Aug 13, 2010	22 y	4
R••••• A••••• H•••••Certified Financial Planner	Chagrin Falls, Oh	Aug 13, 2010	26 y	3
S•••• D•••• Z••••	Westlake, Oh	Aug 13, 2010	23 y	1
E••••• J••••• W•••••	Hudson, Oh	Aug 13, 2010	42 y	3
C••••••••• B•••• W••••••	Columbus, Oh	Aug 13, 2010	33 y	2
K••• R•••••• M•••••	Beachwood, Oh	Aug 13, 2010	26 y	1
J•••• A•• M•••	Hudson, Oh	Aug 26, 2010	18 y	2
B•••• N••• R•••••Certified Financial Planner	Hudson, Oh	Sep 8, 2010	30 y	1
J•••••• G••••• K•••••••••	Beachwood, Oh	Sep 28, 2010	40 y	3
S•••• H••• R•••••••	Powell, Oh	Oct 1, 2010	30 y	3
J••••••• C• H•••	San Diego, Ca	Oct 28, 2010	27 y	3
K•••• J••• O•••••	Beachwood, Oh	Nov 15, 2010	31 y	4
D•••• G••••• H•••••Certified Financial Planner, Chartered Financial Consultant	Houston, Tx	Dec 13, 2010	40 y	3
G•••• H••••• B•••••	Grove City, Pa	Dec 17, 2010	17 y	1
H•••• E••••• B•••••Certified Financial Planner	Grove City, Pa	Dec 20, 2010	36 y	1
S•••• A••• K••••••	Beachwood, Oh	Dec 20, 2010	29 y	3
R•••••• H••• M••••••	Beachwood, Oh	Dec 20, 2010	23 y	1
E••••• D••••• H•••••	Columbus, Oh	Dec 23, 2010	28 y	2
R••••• D••• D•••••••••	San D••••, Ca	Jan 19, 2011	29 y	3
W••••• C•••••• R•••••••	Findlay, Oh	Mar 11, 2011	17 y	1
T••••• N••••• C•••	Fort Myers, Fl	Apr 25, 2011	31 y	3
R••• M••••••• M••••	Beachwood, Oh	Jun 6, 2011	19 y	0
K•••••• A•••• R•••••	Beachwood, Oh	Sep 19, 2011	16 y	1
C••••••••• J••••• C••••••	Worthington, Pa	Oct 11, 2011	42 y	1
K••• R•••••• R•••••••••Certified Financial Planner	Chagrin Falls, Oh	Oct 27, 2011	30 y	2
N••• J• H•••••Certified Financial Planner	San Diego, Ca	Dec 16, 2011	19 y	2

All 384 advisors at S•••••• W••••• P•••••••• L••

Advisor movement

29 left, 35 joined in 12 months

net +6 in 12 months15 left in 90 days14 joined in 90 daysdeparture rate 7.5% of current headcount65 left over 36 months

Left, latest

J•••• E•••• C••• to L•• F•••••••• L••
Sep 3, 2026 · Affiliated broker-dealer or bank to another
M•••••• J• C•••••• to T••••• F••• W•••••
Sep 3, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
J••••• D• P••• to T••••• F••• W•••••
Sep 3, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
J••• T••••• D•••••••• to T••••• F••• W•••••
Sep 3, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
C•••••• K•••••••• to T••••• F••• W•••••
Sep 3, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
C••••••••• Z••••• to L•• F•••••••• L••
Sep 3, 2026 · Affiliated broker-dealer or bank to another
J••••• W••••••• to T••••• F••• W•••••
Sep 3, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
M•••••• L•• to T••••• F••• W•••••
Sep 3, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
R••• J•••• H••••• to T••••• F••• W•••••
Sep 3, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
J••••• R••••• V•••• to T••••• F••• W•••••
Sep 3, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
M•••• A• B••••••• to T••••• F••• W•••••
Sep 3, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
A•••••• J••••• T••••• to L•• F•••••••• L••
Sep 2, 2026 · Affiliated broker-dealer or bank to another
K•••• P•••••• N•• to S•••••• W••••• A••••••• L••
Sep 1, 2026 · Affiliated broker-dealer or bank to independent RIA
B••••••• M•••••• F••••• to C••••••••• I••••••••• A•••••••• L••
Jul 7, 2026 · Affiliated broker-dealer or bank to independent RIA
C•••••••• N••••••• G••••••••• to L•• F•••••••• L••
Jun 29, 2026 · Affiliated broker-dealer or bank to another

Joined, latest

S••••• L•• B••••••• from R•••••• J•••• • A••••••••• I•••
Sep 17, 2026 · Affiliated broker-dealer or bank to another
D•••• G••••• V•••••• from D••• D••••• W••••• M••••••••• L••
Aug 24, 2026 · Other
C••• D• T•••••• from M••••• A•••••••• L••
Aug 18, 2026 · Affiliated broker-dealer or bank to another
A••••• V•••••• from L••••••• F•••••••• S••••••••• I•••
Aug 17, 2026 · RIA to affiliated broker-dealer or bank
B••••••• M•••••• F••••• from C••••••••• I••••••••• A•••••••• L••
Jul 24, 2026 · RIA to affiliated broker-dealer or bank
E•••• A••• S•••••• from C•••••• S••••• • C••• I•••
Jul 23, 2026 · Affiliated broker-dealer or bank to another
R••••• F• B•••••••• from S•• I••••••••• M••••••••• C•••
Jul 17, 2026 · RIA to affiliated broker-dealer or bank
J•••• K•••• W•••••• from O•••• W•••••• I•••
Jul 1, 2026 · Affiliated broker-dealer or bank to another
D•••• L•• B•••••• from O•••• W•••••• I•••
Jul 1, 2026 · Affiliated broker-dealer or bank to another
J•••• J••••••• L••••• from O•••• W•••••• I•••
Jul 1, 2026 · Affiliated broker-dealer or bank to another
J•••• D•••• B•••••• from O•••• W•••••• I•••
Jul 1, 2026 · Affiliated broker-dealer or bank to another
M•••••• D••••• G•••••• from E•••••••• A•••••••• L••
Jun 29, 2026 · Affiliated broker-dealer or bank to another
K••••• R•••••• K•••• from O•••• W•••••• I•••
Jun 29, 2026 · Affiliated broker-dealer or bank to another
M•••• L••• H••••• from P•• W••••• M•••••••••
Jun 22, 2026 · Affiliated broker-dealer or bank to another
C••••• L• N•••• from K•• I••••••••• S••••••• L••
Jun 17, 2026 · Affiliated broker-dealer or bank to another

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

8 left for T••••• F••• W•••••
Sep 3, 2026 · Darien, Ct
2 left for L•• F•••••••• L••
Sep 2, 2026 · Bedford, Nh
2 left for I••••••••• F•••••••• G••••• L••
Mar 30, 2026 · W•••Oughby Hills, Oh
3 left for H••••••• W••••• A•••••••
Dec 23, 2024 · Clifton Park, Ny
2 left for L•• F•••••••• L••
Dec 4, 2024 · La Jolla, Ca
2 left for J••••• M••••••••• S•••• L••
Oct 31, 2024 · Columbus, Oh
2 left for I••••••••• A•••••• A•••••••• L••
Apr 1, 2024 · Zanesville, Oh
4 left for H••••••• W••••• P•••••••• L••
Aug 4, 2022 · Deridder, La

4 joined from O•••• W•••••• I•••
Jul 6, 2026 · Naperville, Il
2 joined from S•••••••• I••••••••• S••••••••• I•••
May 29, 2025 · Avon, Oh
2 joined from F•••••••• A•••••••• I••••••••• M•••••••••
Apr 30, 2025 · Olympia, Wa
7 joined from O•••• W•••••• I•••
Feb 15, 2024 · Redwood City, Ca
2 joined from O•••• W•••••• I•••
Feb 15, 2024 · Boston, Ma
2 joined from M••••• S••••••
Sep 22, 2023 · Akron, Oh
5 joined from W•••• F•••• A•••••••
Feb 24, 2022 · Salt Lake City, Ut
4 joined from M•• I•••••••• S•••••••• L••
Dec 16, 2019 · Stamford, Ct

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A••••••••• N••••• E••••• · Chief Financial Officer, Non-Membercontrol
since 10/2008 · owns less than 5%
B••••• E•••• A••••• · Director Of A••••••Y Compensation, Non- Membercontrol
since 01/2023 · owns less than 5%
C••••••• J•••••••• K•••••• · Director Of A••••••Y Compliance, Non-Membercontrol
since 03/2022 · owns less than 5%
C••••••••• J••••••• A••• · Chief Executive Officer, Managercontrol
since 03/2021 · owns less than 5%
J••••• C•••••• I•••• · Chief Operating Officer, Non-Membercontrol
since 10/2025 · owns less than 5%
L••••••• K••••••• H••• · Chief Compliance Officer, Non-Membercontrol
since 03/2022 · owns less than 5%
N••••••• P••••••• S••••• · Chief Operating Officer, Non-Membercontrol
since 07/2023 · owns less than 5%
S•••••• B••••••• J••• D••• · Director Of Brokerage Compliancecontrol
since 10/2014 · owns less than 5%
C••••••••• J••••••• A••• · Managing Membercontrol
since 01/2016 · owns 75% or more of S•••••• W••••• H••••••• L••
A••••• D•••• · Supervisory Principal/Non-Member Principal/Non-Member
since 04/2025 · owns less than 5%
A••••• M••••• K••••••• · Office Of Supervision Member
since 03/2026 · owns less than 5%
B••••• D••••••• A••• · Director, Non-Member Compliance/Non-Member
since 02/2022 · owns less than 5%
C•••••• T•••••• M•••••• · Supervisory Principal, Non-Member
since 04/2022 · owns less than 5%
H•••••• M••••• L••• · Senior Supervisory
since 05/2026 · owns less than 5%
S••••• S••••••• L• · Director Of A••••••Y Compliance
since 09/2025 · owns less than 5%

Entity owners

S•••••• I••••••••• H••••• L•• · Member
direct · owns 75% or more
S•••••• I••••••••• H••••• I• L•• · Member
indirect · owns 75% or more of S•••••• I••••••••• H••••• L••
S•••••• W••••• H••••••• L•• · Member
indirect · owns 75% or more of S•••••• I••••••••• H••••• I• L••

Related persons

Schedule D 7.A

R••••••••• I••••••••• G••••• L••
investment advisernRAUM $726M
S•••••• I••••••••• M••••••••• L••
investment advisernRAUM $3.3B
S•••••• W••••• A••••••• L••
investment advisernRAUM $5.6B
S•••••• W••••• S••••••••• L••
broker-dealern

Advisers that list S•••••• W••••• P•••••••• L•• as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left
Beachwood, Oh · principal	55	10	0
San D••••, Ca	28	9	2
Sewickley, Pa	22	5	0
S••••Sdale, Az	21	1	1
Redwood City, Ca	13	4	0
Gulfport, Ms	13	1	0
Baton Rouge, La	12	0	1
Irvine, Ca	12	1	0
Columbus, Oh	11	0	0
Akron, Oh	11	4	0
Chagrin Falls, Oh	11	0	0
Metairie, La	11	1	1
Pres••••, Az	10	1	0
Holladay, Ut	10	3	0
Hudson, Oh	9	0	1
New Orleans, La	7	0	0
Mandeville, La	7	0	0
Slidell, La	7	0	0
Clinton, Ia	7	1	0
Covington, La	7	0	0

Offices

Schedule D 1.F, the 25 largest

S••••Sdale, AZ12 employees
Akron, OH11 employees
Metairie, LA11 employees
Columbus, OH10 employees
San D••••, CA9 employees
San D••••, CA8 employees
Hudson, OH8 employees
Clinton, IA8 employees
Redwood City, CA7 employees
Gulfport, MS7 employees
Darien, CT7 employees
Irvine, CA6 employees
Baton Rouge, LA5 employees
Hilliard, OH5 employees
Clifton Park, NY5 employees
Sewickley, PA5 employees
Dalton, GA4 employees
, 4 employees
Fostoria, OH4 employees
Chagrin Falls, OH4 employees
Norfolk, VA4 employees
Irvine, CA3 employees
Broadview Heights, OH3 employees
Holladay, UT3 employees
Salt Lake City, UT3 employees

ADV anomalies

8 against comparable advisers; where to look, not conclusions

control person changedChange between filings · filing Aug 31, 2026
J••••• C•••••• I•••• (CHIEF OPERATING OFFICER, NON-MEMBER) appeared on Schedule A between the filings of 2023-08-04 and 2026-08-31
peers: affiliated wealth managers, $5B to $20B (53)
control person changedChange between filings · filing Aug 31, 2026
S•••••• B••••••• J••• D••• (DIRECTOR OF BROKERAGE COMPLIANCE) left Schedule A between the filings of 2023-08-04 and 2026-08-31
peers: affiliated wealth managers, $5B to $20B (53)
control person changedChange between filings · filing Aug 31, 2026
C••••••••• J••••••• A••• (CHIEF EXECUTIVE OFFICER, MANAGER) left Schedule A between the filings of 2023-08-04 and 2026-08-31
peers: affiliated wealth managers, $5B to $20B (53)
control person changedChange between filings · filing Aug 31, 2026
C••••••• J•••••••• K•••••• (DIRECTOR OF A••••••Y COMPLIANCE, NON-MEMBER) left Schedule A between the filings of 2023-08-04 and 2026-08-31
peers: affiliated wealth managers, $5B to $20B (53)
control person changedChange between filings · filing Aug 31, 2026
A••••••••• N••••• E••••• (CHIEF FINANCIAL OFFICER, NON-MEMBER) left Schedule A between the filings of 2023-08-04 and 2026-08-31
peers: affiliated wealth managers, $5B to $20B (53)
control person changedChange between filings · filing Aug 31, 2026
N••••••• P••••••• S••••• (CHIEF OPERATING OFFICER, NON-MEMBER) left Schedule A between the filings of 2023-08-04 and 2026-08-31
peers: affiliated wealth managers, $5B to $20B (53)
HNW s•••• shiftChange between filings · filing Apr 21, 2026
HNW share of RAUM moved from 34.0% to 64.0% between the annual amendments of 2025-02-21 and 2026-04-21
peers: affiliated wealth managers, $5B to $20B (53)
office count surgeChange between filings · filing Apr 21, 2026
offices other than the principal office (Item 1.F.5) moved from 101.0 to 170.0 (+68.0%) between the annual amendments of 2025-02-21 and 2026-04-21; the peer median change was 0.0% (51 comparable advisers, 98.0th percentile of changes)
peers: affiliated wealth managers, $5B to $20B (51) · 98% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Financial planning clients · More than 500 to More than 500
Aug 31, 2026 to Sep 16, 2026
Succession · false to unset
Aug 31, 2026 to Sep 16, 2026
Accounts · 39,538 to 47,696
Feb 5, 2026 to Mar 31, 2026
Advisory employees · 325 to 352
Feb 5, 2026 to Mar 31, 2026
BD registered reps · 306 to 340
Feb 5, 2026 to Mar 31, 2026
Charity clients · 70 to 121
Feb 5, 2026 to Mar 31, 2026
Corporate clients · 257 to 315
Feb 5, 2026 to Mar 31, 2026
HNW clients · 3,253 to 4,159
Feb 5, 2026 to Mar 31, 2026
Individual clients · 18,103 to 20,685
Feb 5, 2026 to Mar 31, 2026
Pension plan clients · 16 to 106
Feb 5, 2026 to Mar 31, 2026
Assets in custody · $565M to $1.2B
Feb 5, 2026 to Mar 31, 2026
Employees · 555 to 618
Feb 5, 2026 to Mar 31, 2026
Insurance-licensed employees · 25 to 31
Feb 5, 2026 to Mar 31, 2026
State-registered IARs · 325 to 352
Feb 5, 2026 to Mar 31, 2026
Other offices · 101 to 170
Feb 5, 2026 to Mar 31, 2026
Discretionary RAUM · $14B to $18B
Feb 5, 2026 to Mar 31, 2026
HNW RAUM · $9.1B to $12B
Feb 5, 2026 to Mar 31, 2026
Individual RAUM · $4.8B to $5.7B
Feb 5, 2026 to Mar 31, 2026
Non-discretionary RAUM · $659M to $798M
Feb 5, 2026 to Mar 31, 2026
Pension RAUM · $21.1M to $75.9M
Feb 5, 2026 to Mar 31, 2026
RAUM · $14B to $19B
Feb 5, 2026 to Mar 31, 2026
Wrap assets (sponsor) · $1.0B to $1.5B
Feb 5, 2026 to Mar 31, 2026
Related insurance company · false to true
Nov 24, 2025 to Dec 22, 2025
Financial planning clients · More than 500 to More than 500
Jun 30, 2025 to Jul 24, 2025
Accounts · 37,396 to 39,538
Feb 21, 2025 to May 1, 2025
Advisory employees · 315 to 325
Feb 21, 2025 to May 1, 2025
BD registered reps · 315 to 306
Feb 21, 2025 to May 1, 2025
Charity clients · 75 to 70
Feb 21, 2025 to May 1, 2025
Corporate clients · 959 to 257
Feb 21, 2025 to May 1, 2025
HNW clients · 1,207 to 3,253
Feb 21, 2025 to May 1, 2025
Individual clients · 18,408 to 18,103
Feb 21, 2025 to May 1, 2025
Pension plan clients · 11 to 16
Feb 21, 2025 to May 1, 2025
Assets in custody · $576M to $565M
Feb 21, 2025 to May 1, 2025
Employees · 562 to 555
Feb 21, 2025 to May 1, 2025
Insurance-licensed employees · 23 to 25
Feb 21, 2025 to May 1, 2025
State-registered IARs · 315 to 325
Feb 21, 2025 to May 1, 2025
Discretionary RAUM · $12B to $14B
Feb 21, 2025 to May 1, 2025
HNW RAUM · $4.3B to $9.1B
Feb 21, 2025 to May 1, 2025
Individual RAUM · $7.5B to $4.8B
Feb 21, 2025 to May 1, 2025
Non-discretionary RAUM · $725M to $659M
Feb 21, 2025 to May 1, 2025

Signals

60 dated events

J•••••• W•••••• F••• no longer holds an investment adviser registration (last listed at S•••••• W••••• P•••••••• L•• on the 2026-09-17 feed)
Sep 17, 2026 · a•••••• registration ended · derived
S••••• L•• B••••••• registered as an investment adviser representative at S•••••• W••••• P•••••••• L••
Sep 17, 2026 · a•••••• registered · fact
Cooper Grady added a MN registration at S•••••• W••••• P•••••••• L••
Sep 17, 2026 · a•••••• state registration added · fact
J••••• R••••• V•••• left S•••••• W••••• P•••••••• L•• for T••••• F••• W••••• (registered 2026-08-31)
Sep 3, 2026 · a•••••• firm change · fact
R••• J•••• H••••• left S•••••• W••••• P•••••••• L•• for T••••• F••• W••••• (registered 2026-08-31)
Sep 3, 2026 · a•••••• firm change · fact
C•••••• K•••••••• left S•••••• W••••• P•••••••• L•• for T••••• F••• W••••• (registered 2026-08-31)
Sep 3, 2026 · a•••••• firm change · fact
J••••• W••••••• left S•••••• W••••• P•••••••• L•• for T••••• F••• W••••• (registered 2026-08-31)
Sep 3, 2026 · a•••••• firm change · fact
M•••• A• B••••••• left S•••••• W••••• P•••••••• L•• for T••••• F••• W••••• (registered 2026-08-31)
Sep 3, 2026 · a•••••• firm change · fact
M•••••• L•• left S•••••• W••••• P•••••••• L•• for T••••• F••• W••••• (registered 2026-08-31)
Sep 3, 2026 · a•••••• firm change · fact
C••••••••• Z••••• left S•••••• W••••• P•••••••• L•• for T••••• F••• W••••• (registered 2026-08-31)
Sep 3, 2026 · a•••••• firm change · fact
J•••• E•••• C••• left S•••••• W••••• P•••••••• L•• for T••••• F••• W••••• (registered 2026-08-31)
Sep 3, 2026 · a•••••• firm change · fact
M•••••• J• C•••••• left S•••••• W••••• P•••••••• L•• for T••••• F••• W••••• (registered 2026-08-31)
Sep 3, 2026 · a•••••• firm change · fact
J••••• D• P••• left S•••••• W••••• P•••••••• L•• for T••••• F••• W••••• (registered 2026-08-31)
Sep 3, 2026 · a•••••• firm change · fact
J••• T••••• D•••••••• left S•••••• W••••• P•••••••• L•• for T••••• F••• W••••• (registered 2026-08-31)
Sep 3, 2026 · a•••••• firm change · fact
9 advisors left S•••••• W••••• P•••••••• L•• (Darien, CT) for T••••• F••• W••••• on the same day
Sep 3, 2026 · Team lift-out · derived
A•••••• J••••• T••••• left S•••••• W••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2025-04-29)
Sep 2, 2026 · a•••••• firm change · fact
2 advisors left S•••••• W••••• P•••••••• L•• (Bedford, NH) for L•• F•••••••• L•• a day apart
Sep 2, 2026 · Team lift-out · derived
K•••• P•••••• N•• left S•••••• W••••• P•••••••• L•• for S•••••• W••••• A••••••• L•• (registered 2026-09-09)
Sep 1, 2026 · a•••••• firm change · fact
Cooper Grady added a SC registration at S•••••• W••••• P•••••••• L••
Aug 12, 2026 · a•••••• state registration added · fact
Cooper Grady added a CA registration at S•••••• W••••• P•••••••• L••
Aug 12, 2026 · a•••••• state registration added · fact
B••••••• M•••••• F••••• left S•••••• W••••• P•••••••• L•• for C••••••••• I••••••••• A•••••••• L•• (registered 2026-07-06)
Jul 7, 2026 · a•••••• firm change · fact
2 advisors left O•••• W•••••• I••• (Naperville, IL) for S•••••• W••••• P•••••••• L•• on the same day
Jul 6, 2026 · Team lift-out · derived
C•••••••• N••••••• G••••••••• left S•••••• W••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2026-01-08)
Jun 29, 2026 · a•••••• firm change · fact
M•••••• B•••• S•••• left S•••••• W••••• P•••••••• L•• for Dunham (registered 2026-09-02)
Jun 12, 2026 · a•••••• firm change · fact
L•••• W••••• S•••• left S•••••• W••••• P•••••••• L•• for S•••••• W••••• A••••••• L•• (registered 2026-03-31)
Jun 1, 2026 · a•••••• firm change · fact
N•••• B•••• B••••••••• left S•••••• W••••• P•••••••• L•• for P••••••••• • A• E••••••••• C•••••• (registered 2026-07-27)
May 27, 2026 · a•••••• firm change · fact
G••••••• S•••••••• A•••••• G••••••• left S•••••• W••••• P•••••••• L•• for V••••••• A•••••••• I••• (registered 2026-05-26)
May 7, 2026 · a•••••• firm change · fact
A••••• T••• G•••• left S•••••• W••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2026-06-25)
Apr 23, 2026 · a•••••• firm change · fact
M••••• M•••••• left S•••••• W••••• P•••••••• L•• for I••••••••• F•••••••• G••••• L•• (registered 2026-03-27)
Apr 8, 2026 · a•••••• firm change · fact
J••••• G••• S•••• left S•••••• W••••• P•••••••• L•• for K••••••• F•••••••• G••••• L•• (registered 2026-04-02)
Mar 31, 2026 · a•••••• firm change · fact

Across DFX

shared identifiers only, never a name match

S•••••• W••••• P•••••••• L•• · Private Equity
shared crd · intermediary

How to reach

public business contact points only, each with its source

Firm profile: LINKEDIN.COM/COMPANY/S••••••-WEALTH-PARTNERSreportedpublic record, Form ADV, Sep 18, 2026
Website: stratosobx.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 440-519-2500reportedpublic record, Form ADV, Sep 16, 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: Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $48.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026