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•••••••• R•••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Nov 12, 2013 · 20 filings
SEC status approved since Nov 26, 2013
RAUM
$991M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
29%
$288M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$991M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$991M as of Mar 6, 2026
Mar 21, 2014$134M then
HNW client RAUM$288M as of Mar 6, 2026
Mar 29, 2018$185M then
State-registered IARs (5.B.3)1 as of Mar 6, 2026
Mar 21, 20141 then
Employees (5.A)3 as of Mar 6, 2026
Mar 21, 20141 then
Private funds: no history
RAUM +14% over the last fiscal year+7.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $991MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.3MderivedHNW RAUM over HNW clients
- Average account
- $6.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $53.7M, 9 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$563M57%
- High-net-worth individuals$288M29%
- Pension and profit-sharing plans$124M12%
- Charitable organizations$16.1M1.6%
- Individual clients
- n/areported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 165reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $53.7M for 9 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.29 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• A••••• Y••••••• | Independence, Oh | May 15, 2012 | 27 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
- S••• P•••••• W••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 5, 2013 · Other
Joined, latest
- S••• P•••••• W••••••• from K•••••• C•••••• M•••••• I•••Mar 18, 2013 · Other
- S•••••• A••••• Y••••••• from I••••••••• F•••••••• P•••••••May 15, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Y•••••••• S••••••• A••••• · President, Managing Member And Chief Compliance Officercontrolsince 04/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 160 to 165Mar 21, 2025 to Mar 6, 2026
- Charity clients · 5 to 6Mar 21, 2025 to Mar 6, 2026
- HNW clients · 24 to 28Mar 21, 2025 to Mar 6, 2026
- Pension plan clients · 5.0 to unsetMar 21, 2025 to Mar 6, 2026
- Assets in custody · $47.2M to $53.7MMar 21, 2025 to Mar 6, 2026
- Discretionary RAUM · $770M to $898MMar 21, 2025 to Mar 6, 2026
- HNW RAUM · $253M to $288MMar 21, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $96.4M to $92.5MMar 21, 2025 to Mar 6, 2026
- Pension RAUM · $131M to $124MMar 21, 2025 to Mar 6, 2026
- RAUM · $866M to $991MMar 21, 2025 to Mar 6, 2026
- Accounts · 135 to 160Mar 26, 2024 to Mar 21, 2025
- Charity clients · 6 to 5Mar 26, 2024 to Mar 21, 2025
- HNW clients · 15 to 24Mar 26, 2024 to Mar 21, 2025
- Pension plan clients · 7 to 5Mar 26, 2024 to Mar 21, 2025
- Assets in custody · $35.4M to $47.2MMar 26, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 21, 2025
- Discretionary RAUM · $755M to $770MMar 26, 2024 to Mar 21, 2025
- HNW RAUM · $240M to $253MMar 26, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $94.2M to $96.4MMar 26, 2024 to Mar 21, 2025
- Pension RAUM · $138M to $131MMar 26, 2024 to Mar 21, 2025
- RAUM · $849M to $866MMar 26, 2024 to Mar 21, 2025
- Assets in custody · $225M to $35.4MMar 15, 2023 to Mar 26, 2024
- HQ city · CLEVELAND to INDEPENDENCEMar 15, 2023 to Mar 26, 2024
- Other offices · 1 to 0Mar 15, 2023 to Mar 26, 2024
- Discretionary RAUM · $734M to $755MMar 15, 2023 to Mar 26, 2024
- HNW RAUM · $233M to $240MMar 15, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $60.1M to $94.2MMar 15, 2023 to Mar 26, 2024
- Pension RAUM · $133M to $138MMar 15, 2023 to Mar 26, 2024
- RAUM · $794M to $849MMar 15, 2023 to Mar 26, 2024
- Accounts · 143 to 135May 23, 2022 to Mar 15, 2023
- Advisory employees · 2 to 1May 23, 2022 to Mar 15, 2023
- HNW clients · 12 to 15May 23, 2022 to Mar 15, 2023
- Assets in custody · $182M to $225MMay 23, 2022 to Mar 15, 2023
- Other offices · 0 to 1May 23, 2022 to Mar 15, 2023
- Discretionary RAUM · $604M to $734MMay 23, 2022 to Mar 15, 2023
- HNW RAUM · $211M to $233MMay 23, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $182M to $60.1MMay 23, 2022 to Mar 15, 2023
- Pension RAUM · $150M to $133MMay 23, 2022 to Mar 15, 2023
- RAUM · $786M to $794MMay 23, 2022 to Mar 15, 2023
- HQ city · INDEPENDENCE to CLEVELANDMar 30, 2022 to May 23, 2022
Signals
1 dated events
- R•••••••• R•••••••• L•• filed its initial SEC registration (Form ADV)Nov 12, 2013 · 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
- r•@r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 216-573-0420reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- R••••••••R•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (216) 573-0420reportedpublic record, Form ADV, Mar 6, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $991Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026