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
R•••••• F•••••••• N••••••
Legal name R•••••• F•••••••• N•••••• C••••
Latest filing Mar 31, 2026
First filing on the tape Apr 9, 2014 · 37 filings
SEC status approved since Apr 28, 2014
RAUM
$263M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$259M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$32.9M
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$263M as of Mar 31, 2026
Mar 25, 2015$117M then
HNW client RAUM$183M as of Mar 31, 2026
Mar 30, 2018$41.4M then
State-registered IARs (5.B.3)8 as of Mar 31, 2026
Mar 25, 20157 then
Employees (5.A)11 as of Mar 31, 2026
Mar 25, 201512 then
Private funds: no history
RAUM +16% over the last fiscal year+17% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 31, 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
- RAUM per advisor
- $32.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 127derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $472,727derivedHNW RAUM over HNW clients
- Average account
- $257,931derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%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 advisersreportedItem 5.G
- Wrap fee program
- $92.5MreportedItem 5.I
- Custody
- $32.1M, 71 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$183M70%
- Individuals$75.7M29%
- Pension and profit-sharing plans$4.1M1.6%
- Corporations and businesses$107,2450.0%
- Individual clients
- 625reported
- HNW clients
- 387reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 1,019reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $32.1M for 71 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=9.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• J••• G••••• | Chagrin Falls, Oh | Sep 6, 2005 | 31 y | 1 |
| S•••••• J••Certified Financial Planner | Durham, Nc | May 7, 2010 | 24 y | 2 |
| N••••• A••• M••••••••• | Sarasota, Fl | Jun 25, 2014 | 14 y | 2 |
| H•••• W••••• H•••••• | Solon, Oh | Dec 19, 2014 | 19 y | 2 |
| W•••••• W••• H••• | Solon, Oh | Oct 19, 2017 | 19 y | 1 |
| D•• J••• K••••• | Solon, Oh | Apr 6, 2018 | 11 y | 0 |
| R••• B••••• | Solon, Oh | Jan 7, 2022 | 22 y | 3 |
| A••••••••• V••••••• | Central Point, Or | Aug 5, 2026 | 21 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M•••••• W•••••• B••••• to W•••••• R•••••• W••••• M••••••••• L••Jul 31, 2023 · RIA to a state-registered adviser
- M•••••• E• M••••• to M•• I•••••••• S•••••••• L••May 22, 2017 · Other
- G•••••• P••• B••••• to H•••••••• A•••••• G••••• L••Dec 15, 2016 · Other
Joined, latest
- A••••••••• V••••••• from V•••• F•••••••• A•••••••• I•••Aug 5, 2026 · Affiliated broker-dealer or bank to independent RIA
- R••• B••••• from J••• M••••• S••••••••• L••Jan 7, 2022 · Wirehouse to independent RIA
- W•••••• W••• H••• from S••••• I••••••••• A•••••••• L••Oct 19, 2017 · Other
- M•••••• E• M••••• from C••••••• S••••••••• I•••Apr 28, 2015 · Other
- H•••• W••••• H•••••• from P•• W••••• M•••••••••Dec 19, 2014 · Other
- N••••• A••• M••••••••• from M••• W••••• M••••••••• L••Jun 25, 2014 · Other
- M•••••• W•••••• B••••• from U••• B•••••• I••••••••• I•••May 6, 2013 · Other
- G•••••• P••• B••••• from L•• F•••••••• L••Feb 28, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• W••••••• J••• · Managing Director/Chief Compliance Officercontrolsince 06/2011 · owns 50% to 75%
- J••• S•••••• · Managing Directorcontrolsince 06/2011 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Solon, Oh · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
- Durham, NC1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 968 to 1,019Jul 3, 2025 to Mar 31, 2026
- HNW clients · 363 to 387Jul 3, 2025 to Mar 31, 2026
- Individual clients · 599 to 625Jul 3, 2025 to Mar 31, 2026
- Pension plan clients · 5 to 6Jul 3, 2025 to Mar 31, 2026
- Assets in custody · $20.6M to $32.1MJul 3, 2025 to Mar 31, 2026
- Discretionary RAUM · $224M to $261MJul 3, 2025 to Mar 31, 2026
- HNW RAUM · $157M to $183MJul 3, 2025 to Mar 31, 2026
- Individual RAUM · $65.5M to $75.7MJul 3, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.7M to $1.8MJul 3, 2025 to Mar 31, 2026
- Pension RAUM · $3.6M to $4.1MJul 3, 2025 to Mar 31, 2026
- RAUM · $226M to $263MJul 3, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 1-10Mar 28, 2025 to Jul 3, 2025
- Accounts · 856 to 968Mar 15, 2024 to Mar 28, 2025
- Advisory activities · 4 to 5Mar 15, 2024 to Mar 28, 2025
- HNW clients · 314 to 363Mar 15, 2024 to Mar 28, 2025
- Individual clients · 536 to 599Mar 15, 2024 to Mar 28, 2025
- Assets in custody · $119M to $20.6MMar 15, 2024 to Mar 28, 2025
- Employees · 10 to 11Mar 15, 2024 to Mar 28, 2025
- Discretionary RAUM · $186M to $224MMar 15, 2024 to Mar 28, 2025
- HNW RAUM · $127M to $157MMar 15, 2024 to Mar 28, 2025
- Individual RAUM · $56.8M to $65.5MMar 15, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $1.7M to $1.7MMar 15, 2024 to Mar 28, 2025
- Pension RAUM · $3.4M to $3.6MMar 15, 2024 to Mar 28, 2025
- RAUM · $187M to $226MMar 15, 2024 to Mar 28, 2025
- Accounts · 848 to 856Mar 31, 2023 to Mar 15, 2024
- Advisory employees · 9 to 8Mar 31, 2023 to Mar 15, 2024
- BD registered reps · 10 to 9Mar 31, 2023 to Mar 15, 2024
- Corporate clients · 0 to 1Mar 31, 2023 to Mar 15, 2024
- HNW clients · 176 to 314Mar 31, 2023 to Mar 15, 2024
- Individual clients · 338 to 536Mar 31, 2023 to Mar 15, 2024
- Assets in custody · $84.7M to $119MMar 31, 2023 to Mar 15, 2024
- Employees · 11 to 10Mar 31, 2023 to Mar 15, 2024
- State-registered IARs · 9 to 8Mar 31, 2023 to Mar 15, 2024
- Discretionary RAUM · $164M to $186MMar 31, 2023 to Mar 15, 2024
- HNW RAUM · $114M to $127MMar 31, 2023 to Mar 15, 2024
- Individual RAUM · $48.0M to $56.8MMar 31, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $1.6M to $1.7MMar 31, 2023 to Mar 15, 2024
- Pension RAUM · $2.9M to $3.4MMar 31, 2023 to Mar 15, 2024
- RAUM · $165M to $187MMar 31, 2023 to Mar 15, 2024
- Accounts · 765 to 848Dec 8, 2022 to Mar 31, 2023
Signals
2 dated events
- M•••••• W•••••• B••••• left R•••••• F•••••••• N•••••• for W•••••• R•••••• W••••• M••••••••• L•• (registered 2023-07-31)Jul 31, 2023 · a•••••• firm change · fact
- R•••••• F•••••••• N•••••• filed its initial SEC registration (Form ADV)Apr 9, 2014 · 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 phone
- 408-713-3016reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 440-287-5020reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 919-290-7800reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/1156545reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 440-287-5020reportedpublic record, Form ADV, Mar 31, 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
- $32.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026