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
O•••••••• C•••••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Oct 23, 2018 · 27 filings
SEC status approved since Nov 21, 2018
RAUM
$214M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
100%
$213M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$53.5M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$214M as of Mar 23, 2026
Feb 28, 2019$112M then
HNW client RAUM$200M as of Mar 23, 2026
Feb 28, 2019$107M then
State-registered IARs (5.B.3)4 as of Mar 23, 2026
Feb 28, 20195 then
Employees (5.A)4 as of Mar 23, 2026
Feb 28, 20195 then
Private funds: no history
RAUM -30% over the last fiscal year-9.9% a year over threeIARs 8 to 4offices 4 to 1
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
- RAUM per advisor
- $53.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $711,518derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -30%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -59%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$200M94%
- Individuals$13.1M6.1%
- Corporations and businesses$679,0290.3%
- Individual clients
- 38reported
- HNW clients
- 72reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 301reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• R••••• L•••• | Juno Beach, Fl | Jan 20, 2011 | 22 y | 4 |
| C••••••••• M•••••• D•••••• | Fairlawn, Oh | Jan 20, 2011 | 22 y | 4 |
| W•••••• K••••••••• | Fairlawn, Oh | Oct 26, 2015 | 12 y | 0 |
| A••• S••••• V••••• | Fairlawn, Oh | Nov 18, 2016 | 32 y | 3 |
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 75% of current headcount3 left over 36 months
Left, latest
- M••••••• L••••••• S•••• to A•••• P•••••• W•••••Dec 31, 2025 · Other
- R••• S••••• W••• to A•••• P•••••• W•••••Dec 31, 2025 · Other
- J•••• A• T••• to A•••• P•••••• W•••••Dec 31, 2025 · Other
Joined, latest
- R••• S••••• W••• from F•••• T•••• S••••••••• I•••May 5, 2021 · Affiliated broker-dealer or bank to independent RIA
- J•••• A• T••• from F•••• T•••• S••••••••• I•••May 5, 2021 · Affiliated broker-dealer or bank to independent RIA
- M••••••• L••••••• S•••• from F•••• T•••• S••••••••• I•••Mar 1, 2019 · Affiliated broker-dealer or bank to independent RIA
- A••• S••••• V••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 18, 2016 · Wirehouse to independent RIA
- T•••••• R••••• L•••• from M••••• S••••••Jan 20, 2011 · Wirehouse to independent RIA
- C••••••••• M•••••• D•••••• from M••••• S••••••Jan 20, 2011 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for A•••• P•••••• W•••••Dec 31, 2025 · Fairlawn, Oh
- 2 joined from F•••• T•••• S••••••••• I•••May 6, 2021 · Chicago, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• C••••••••• M•••••• · Managing Member/Chief Compliance Officercontrolsince 12/2010 · owns 50% to 75%
- L••••• T••••••• R••••• · Managing Membercontrolsince 12/2010 · owns 50% to 75%
Related persons
Schedule D 7.A
- W•••••• K•••••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fairlawn, Oh · principal | 4 | 0 | 2 | 1 | |
| Chicago, Il | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Naples, FL4 employees
- Chicago, IL1 employees
- Fairlawn, OH1 employees
- Palm Beach Gardens, FL1 employees
ADV anomalies
7 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 23, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $304,740,162 to $214,166,775, advisors 8 to 4, private clients 269 to 110, offices 4 to 1 (2025-03-21 to 2026-03-23)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Mar 23, 2026individual and HNW clients (Item 5.D) moved from 269.0 to 110.0 (-59.0%) between the annual amendments of 2025-03-21 and 2026-03-23; the peer median change was +3.0% (3309 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 1.0% percentile
- account count collapseChange between filings · filing Mar 23, 2026accounts (Item 5.F.2.f) moved from 603.0 to 301.0 (-50.0%) between the annual amendments of 2025-03-21 and 2026-03-23; the peer median change was +5.0% (3687 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 3.0% percentile
- HNW share shiftChange between filings · filing Mar 23, 2026HNW share of RAUM moved from 74.0% to 94.0% between the annual amendments of 2025-03-21 and 2026-03-23peers: independent wealth managers, $100M to $500M (5,676)
- advisor count dropChange between filings · filing Mar 23, 2026advisory representatives (Item 5.B.3) moved from 8.0 to 4.0 (-50.0%) between the annual amendments of 2025-03-21 and 2026-03-23; the peer median change was 0.0% (965 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 1.7% percentile
- office count dropChange between filings · filing Mar 23, 2026offices other than the principal office (Item 1.F.5) moved from 4.0 to 1.0 (-75.0%) between the annual amendments of 2025-03-21 and 2026-03-23; the peer median change was 0.0% (450 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (450) · 1.1% percentile
- RAUM down 25 %Change between filings · filing Mar 23, 2026RAUM (Item 5.F) moved from $304,740,162 to $214,166,775 (-30.0%) between the annual amendments of 2025-03-21 and 2026-03-23; the peer median change was +15.0% (4550 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 1.3% percentile
What changed
consecutive filings, newest first
- Accounts · 603 to 301Dec 18, 2025 to Mar 23, 2026
- BD registered reps · 3 to 0Dec 18, 2025 to Mar 23, 2026
- Corporate clients · 2 to 5Dec 18, 2025 to Mar 23, 2026
- HNW clients · 98 to 72Dec 18, 2025 to Mar 23, 2026
- Individual clients · 171 to 38Dec 18, 2025 to Mar 23, 2026
- Financial planning clients · 101-250 to 51-100Dec 18, 2025 to Mar 23, 2026
- Discretionary RAUM · $289M to $187MDec 18, 2025 to Mar 23, 2026
- HNW RAUM · $226M to $200MDec 18, 2025 to Mar 23, 2026
- Individual RAUM · $76.8M to $13.1MDec 18, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $16.2M to $27.3MDec 18, 2025 to Mar 23, 2026
- RAUM · $305M to $214MDec 18, 2025 to Mar 23, 2026
- Advisory employees · 8 to 4Mar 21, 2025 to Dec 18, 2025
- Employees · 8 to 4Mar 21, 2025 to Dec 18, 2025
- HQ city · PEPPER PIKE to FAIRLAWNMar 21, 2025 to Dec 18, 2025
- State-registered IARs · 8 to 4Mar 21, 2025 to Dec 18, 2025
- Other offices · 4 to 1Mar 21, 2025 to Dec 18, 2025
- Accounts · 1,000 to 603Mar 27, 2024 to Mar 21, 2025
- Corporate clients · 0 to 2Mar 27, 2024 to Mar 21, 2025
- HNW clients · 143 to 98Mar 27, 2024 to Mar 21, 2025
- Individual clients · 159 to 171Mar 27, 2024 to Mar 21, 2025
- Financial planning clients · 251-500 to 101-250Mar 27, 2024 to Mar 21, 2025
- Discretionary RAUM · $362M to $289MMar 27, 2024 to Mar 21, 2025
- HNW RAUM · $301M to $226MMar 27, 2024 to Mar 21, 2025
- Individual RAUM · $80.4M to $76.8MMar 27, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $19.9M to $16.2MMar 27, 2024 to Mar 21, 2025
- RAUM · $382M to $305MMar 27, 2024 to Mar 21, 2025
- Accounts · 722 to 1,000Feb 16, 2024 to Mar 27, 2024
- HNW clients · 105 to 143Feb 16, 2024 to Mar 27, 2024
- Individual clients · 106 to 159Feb 16, 2024 to Mar 27, 2024
- Financial planning clients · 101-250 to 251-500Feb 16, 2024 to Mar 27, 2024
- Discretionary RAUM · $277M to $362MFeb 16, 2024 to Mar 27, 2024
- HNW RAUM · $195M to $301MFeb 16, 2024 to Mar 27, 2024
- Individual RAUM · $97.8M to $80.4MFeb 16, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $16.4M to $19.9MFeb 16, 2024 to Mar 27, 2024
- RAUM · $293M to $382MFeb 16, 2024 to Mar 27, 2024
- Other offices · 3 to 4May 18, 2023 to Oct 13, 2023
- Accounts · 251 to 722Mar 29, 2022 to Mar 24, 2023
- HNW clients · 111 to 105Mar 29, 2022 to Mar 24, 2023
- Individual clients · 140 to 106Mar 29, 2022 to Mar 24, 2023
- Other offices · 2 to 3Mar 29, 2022 to Mar 24, 2023
Signals
6 dated events
- M••••••• L••••••• S•••• left O•••••••• C•••••• M••••••••• L•• for A•••• P•••••• W••••• (registered 2024-10-24)Dec 31, 2025 · Advisor changed firm · fact
- R••• S••••• W••• left O•••••••• C•••••• M••••••••• L•• for A•••• P•••••• W••••• (registered 2024-10-25)Dec 31, 2025 · Advisor changed firm · fact
- J•••• A• T••• left O•••••••• C•••••• M••••••••• L•• for A•••• P•••••• W••••• (registered 2024-10-24)Dec 31, 2025 · Advisor changed firm · fact
- 2 advisors left O•••••••• C•••••• M••••••••• L•• (Fairlawn, OH) for A•••• P•••••• W••••• on the same dayDec 31, 2025 · Team lift-out · derived
- O•••••••• C•••••• M••••••••• L•• reported RAUM $320.3M, up 54% from $207.4M (2022-02-03 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- O•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 23, 2018 · First SEC registration · 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 email
- o••@o••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 216-586-6388reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.o••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 216-468-1231reportedpublic record, Form ADV, Mar 23, 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
- $53.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026