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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Former SEC-registered adviser

T•• J• A••••• W••••• M••••••••• C••• L••

Former SEC-registered adviserYoungstown, OhioCRD 159710SEC 801-118114IAPD
Latest filing Nov 14, 2023
First filing on the tape Jan 23, 2020 · 15 filings
RAUM
$255M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$252M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$255M as of Mar 10, 2023
Mar 6, 2021$223M then
HNW client RAUM$26.1M as of Mar 10, 2023
Mar 6, 2021$74.4M then
State-registered IARs (5.B.3)2 as of Mar 10, 2023
Mar 6, 20213 then
Employees (5.A)7 as of Mar 10, 2023
Mar 6, 20218 then
Private funds: no history
RAUM +4.4% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Nov 14, 2023; every figure names its basis
RAUM per advisor
$128MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
560derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$145,874derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+4.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+54%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$255MreportedItem 5.I
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)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$226M88%
  • High-net-worth individuals$26.1M10%
  • Corporations and businesses$2.4M0.9%
  • Charitable organizations$809,8240.3%
  • Other investment advisers$218,2730.1%
  • Pension and profit-sharing plans$102,4550.0%
Individual clients
1,105reported
HNW clients
14reported
Pension plan clients
2reported
Charitable clients
4reported
Accounts
1,750reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A•••••• J••• P••• · Managing Member/Ccocontrol
      since 01/2011 · owns 75% or more
    Related persons
    Schedule D 7.A
    • J• A••••• R••• E••••• A•••••••• L••
      investment companyn
    Advisers that list T•• J• A••••• W••••• M••••••••• C••• L•• as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Youngstown, Oh · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • Hobe Sound, FL1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,787 to 1,750
      Mar 10, 2022 to Mar 10, 2023
    • Charity clients · 3 to 4
      Mar 10, 2022 to Mar 10, 2023
    • Corporate clients · 4 to 7
      Mar 10, 2022 to Mar 10, 2023
    • HNW clients · 50 to 14
      Mar 10, 2022 to Mar 10, 2023
    • Individual clients · 676 to 1,105
      Mar 10, 2022 to Mar 10, 2023
    • Pension plan clients · 0 to 2
      Mar 10, 2022 to Mar 10, 2023
    • Discretionary RAUM · $245M to $255M
      Mar 10, 2022 to Mar 10, 2023
    • HNW RAUM · $84.7M to $26.1M
      Mar 10, 2022 to Mar 10, 2023
    • Individual RAUM · $157M to $226M
      Mar 10, 2022 to Mar 10, 2023
    • Pension RAUM · $0 to $102,455
      Mar 10, 2022 to Mar 10, 2023
    • RAUM · $245M to $255M
      Mar 10, 2022 to Mar 10, 2023
    • Accounts · 1,319 to 1,787
      Dec 3, 2021 to Mar 10, 2022
    • Advisory employees · 3 to 2
      Dec 3, 2021 to Mar 10, 2022
    • BD registered reps · 1 to 0
      Dec 3, 2021 to Mar 10, 2022
    • Charity clients · 1 to 3
      Dec 3, 2021 to Mar 10, 2022
    • Corporate clients · unset to 4.0
      Dec 3, 2021 to Mar 10, 2022
    • HNW clients · 62 to 50
      Dec 3, 2021 to Mar 10, 2022
    • Individual clients · 1,257 to 676
      Dec 3, 2021 to Mar 10, 2022
    • Pension plan clients · unset to 0.0
      Dec 3, 2021 to Mar 10, 2022
    • Pooled vehicle clients · unset to 0.0
      Dec 3, 2021 to Mar 10, 2022
    • Employees · 8 to 7
      Dec 3, 2021 to Mar 10, 2022
    • Financial planning clients · 1-10 to 0
      Dec 3, 2021 to Mar 10, 2022
    • HQ city · CANFIELD to YOUNGSTOWN
      Dec 3, 2021 to Mar 10, 2022
    • State-registered IARs · 3 to 2
      Dec 3, 2021 to Mar 10, 2022
    • Discretionary RAUM · $223M to $245M
      Dec 3, 2021 to Mar 10, 2022
    • HNW RAUM · $74.4M to $84.7M
      Dec 3, 2021 to Mar 10, 2022
    • Individual RAUM · $148M to $157M
      Dec 3, 2021 to Mar 10, 2022
    • Pension RAUM · unset to 0.0
      Dec 3, 2021 to Mar 10, 2022
    • Pooled vehicle RAUM · unset to 0.0
      Dec 3, 2021 to Mar 10, 2022
    • RAUM · $223M to $245M
      Dec 3, 2021 to Mar 10, 2022
    • Wrap assets (manager) · unset to 0.0
      Dec 3, 2021 to Mar 10, 2022
    • Wrap assets (sponsor) · unset to 0.0
      Dec 3, 2021 to Mar 10, 2022
    • Accounts · 552 to 1,319
      Feb 1, 2021 to Mar 6, 2021
    • Advisory employees · 2 to 3
      Feb 1, 2021 to Mar 6, 2021
    • Charity clients · unset to 1.0
      Feb 1, 2021 to Mar 6, 2021
    • HNW clients · 43 to 62
      Feb 1, 2021 to Mar 6, 2021
    • Individual clients · 509 to 1,257
      Feb 1, 2021 to Mar 6, 2021
    • Employees · 3 to 8
      Feb 1, 2021 to Mar 6, 2021
    • Financial planning clients · 251-500 to 1-10
      Feb 1, 2021 to Mar 6, 2021
    • State-registered IARs · 2 to 3
      Feb 1, 2021 to Mar 6, 2021
    Signals
    5 dated events
    • B•••• P•••••• E•••• left T•• J• A••••• W••••• M••••••••• C••• L•• for R••••••• W••••• A••••••• (registered 2024-01-10)
      Apr 4, 2024 · Advisor changed firm · fact
    • M•••••• D••••• K••• (Chief Compliance Officer) no longer on Schedule A of T•• J• A••••• W••••• M••••••••• C••• L•• (listed 2023-03-10, absent 2023-11-14)
      Nov 14, 2023 · Control person left · inference
    • M•••••• D••••• K••• (Chief Compliance Officer) appeared on Schedule A of T•• J• A••••• W••••• M••••••••• C••• L••
      Dec 3, 2021 · Control person joined · fact
    • T•• J• A••••• W••••• M••••••••• C••• L•• reported RAUM $222.9M, up 98% from $112.8M (2021-02-01 to 2021-03-06)
      Mar 6, 2021 · RAUM change · derived
    • T•• J• A••••• W••••• M••••••••• C••• L•• filed its initial SEC registration (Form ADV)
      Jan 23, 2020 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026