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.
SEC-registered adviser
St. Clair Advisors, LLC
Latest filing Mar 23, 2026
First filing on the tape Feb 13, 2012 · 23 filings
SEC status approved since Sep 23, 2010
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.1B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$267M
derived; firm RAUM over IAPD count
Employees
12
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.1B as of Mar 23, 2026
Feb 13, 2012$360M then
HNW client RAUM$1.0B as of Mar 23, 2026
Mar 28, 2018$510M then
State-registered IARs (5.B.3)4 as of Mar 23, 2026
Feb 13, 20120 then
Employees (5.A)12 as of Mar 23, 2026
Mar 27, 20138 then
Private funds: no history
RAUM +7.1% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $267MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.8MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $428M, 118 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$1.0B97%
- Charitable organizations$17.6M1.6%
- Individuals$11.8M1.1%
- Individual clients
- 42reported
- HNW clients
- 88reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 536reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $428M for 118 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ronald Edward BatesCertified Financial Planner, Personal Financial Specialist | Mayfield Heights, Oh | Feb 23, 2012 | 15 y | 1 |
| Craig Andrew Steinbrink | Mayfield Heights, Oh | May 16, 2014 | 17 y | 0 |
| David William Sommer | Mayfield Heights, Oh | Jul 15, 2014 | 15 y | 0 |
| Fred G Botek | Mayfield Heights, Oh | Jul 5, 2018 | 25 y | 4 |
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
- Thomas Valentine David to Rockport Wealth AdvisorsAug 3, 2021 · RIA to RIA
Joined, latest
- Thomas Valentine David from Strategic Value Bank Partners LLCNov 23, 2020 · Other
- Fred G Botek from Cm Wealth Advisors LLCJul 5, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G Fred Botek · Membercontrolsince 07/2019 · owns 10% to 25%
- William David Sommer · Member, Ceo, Cio And Ccocontrolsince 10/2010 · owns 25% to 50%
- Andrew Craig Steinbrink · Member, Coocontrolsince 09/2014 · owns 10% to 25%
- Edward Ronald Bates · Member, Chairman Emeritussince 10/2023 · owns 10% to 25%
Related persons
Schedule D 7.A
- Ronald E. Batesinsurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mayfield Heights, Oh · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 528 to 536Jun 4, 2025 to Mar 23, 2026
- HNW clients · 92 to 88Jun 4, 2025 to Mar 23, 2026
- Assets in custody · $426M to $428MJun 4, 2025 to Mar 23, 2026
- Employees · 13 to 12Jun 4, 2025 to Mar 23, 2026
- Discretionary RAUM · $998M to $1.1BJun 4, 2025 to Mar 23, 2026
- HNW RAUM · $971M to $1.0BJun 4, 2025 to Mar 23, 2026
- Individual RAUM · $11.7M to $11.8MJun 4, 2025 to Mar 23, 2026
- RAUM · $998M to $1.1BJun 4, 2025 to Mar 23, 2026
- Financial planning clients · 51-100 to 51-100Mar 26, 2025 to Jun 4, 2025
- Accounts · 536 to 528Mar 28, 2024 to Mar 26, 2025
- Charity clients · 1 to 3Mar 28, 2024 to Mar 26, 2025
- HNW clients · 94 to 92Mar 28, 2024 to Mar 26, 2025
- Individual clients · 45 to 42Mar 28, 2024 to Mar 26, 2025
- Assets in custody · $70.0M to $426MMar 28, 2024 to Mar 26, 2025
- Employees · 12 to 13Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $872M to $998MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $844M to $971MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $14.2M to $11.7MMar 28, 2024 to Mar 26, 2025
- RAUM · $872M to $998MMar 28, 2024 to Mar 26, 2025
- Accounts · 578 to 536Jul 25, 2023 to Mar 28, 2024
- Advisory employees · 3 to 4Jul 25, 2023 to Mar 28, 2024
- Charity clients · 0 to 1Jul 25, 2023 to Mar 28, 2024
- HNW clients · 88 to 94Jul 25, 2023 to Mar 28, 2024
- Individual clients · 32 to 45Jul 25, 2023 to Mar 28, 2024
- Assets in custody · $94.5M to $70.0MJul 25, 2023 to Mar 28, 2024
- Employees · 11 to 12Jul 25, 2023 to Mar 28, 2024
- Discretionary RAUM · $744M to $872MJul 25, 2023 to Mar 28, 2024
- HNW RAUM · $734M to $844MJul 25, 2023 to Mar 28, 2024
- Individual RAUM · $10.1M to $14.2MJul 25, 2023 to Mar 28, 2024
- RAUM · $744M to $872MJul 25, 2023 to Mar 28, 2024
- Related insurance company · false to trueJul 25, 2023 to Mar 28, 2024
- Accounts · 556 to 578Mar 29, 2022 to Mar 29, 2023
- HNW clients · 84 to 88Mar 29, 2022 to Mar 29, 2023
- Individual clients · 36 to 32Mar 29, 2022 to Mar 29, 2023
- Assets in custody · $84.9M to $94.5MMar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $848M to $744MMar 29, 2022 to Mar 29, 2023
- HNW RAUM · $835M to $734MMar 29, 2022 to Mar 29, 2023
- Individual RAUM · $12.7M to $10.1MMar 29, 2022 to Mar 29, 2023
- RAUM · $848M to $744MMar 29, 2022 to Mar 29, 2023
- Accounts · 514 to 556Mar 29, 2021 to Mar 28, 2022
Signals
1 dated events
- G Fred Botek (Member) appeared on Schedule A of St. Clair Advisors, LlcApr 1, 2020 · Control person joined · 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
- Business phone
- 216-925-5670reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/st-clair-advisors-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SAINTCLAIRLLC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 440-925-5670reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- saintclairllc.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
- $267Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026