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F•••••• P•••••••• L••

Former SEC-registered adviserFormer SEC adviser· Cleveland, Ohio

Former SEC-registered adviser, based in Cleveland, Ohio, reporting $2.0B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$2.0B
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+17%
Form ADV, consecutive annual filings
Private clients
0.1% of RAUM, $1.1M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 164863 · SEC 801-76953 · 36 filingsShow
CRD 164863SEC 801-76953First filing on the tape Jul 19, 2012, latest Mar 24, 2025SEC status approved since Dec 10, 2012IAPD
RAUM
$2.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.1%
$1.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$2.0B as of Mar 24, 2025
Feb 20, 2013$1.1B then
HNW client RAUM$1.1M as of Mar 24, 2025
Mar 9, 2018$35.6M then
State-registered IARs (5.B.3)0 as of Mar 24, 2025
Feb 20, 20130 then
Employees (5.A)17 as of Mar 24, 2025
Feb 20, 201321 then
Private funds: no history
RAUM +17% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2025; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$30.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
86%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$1.8B86%
  • Investment companies$282M14%
  • High-net-worth individuals$1.1M0.1%
  • Pooled investment vehicles$1.0M0.1%
Individual clients
n/areported
HNW clients
1reported
Pension plan clients
65reported
Charitable clients
n/areported
Accounts
68reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Left, latest
none on the tape
    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
      • F•••• T••••••• P•••••• · Chief Executive Officer / Managment Committee M•••••control
        since 02/2013 · owns less than 5%
      • H•••••• E•••• J••• · Partner, Portfolio Managercontrol
        since 12/2021 · owns less than 5%
      • M••••• M••• J••• · Partner, Portfolio Managercontrol
        since 12/2021 · owns less than 5%
      • M•••••• S•••••• M•••••• · Management M•••••control
        since 02/2013 · owns less than 5%
      • R••••• M•••• J••••• · Partner, Portfolio Managercontrol
        since 12/2021 · owns less than 5%
      • S•••••••• S•••• J••• · Chief Operating Officer/Chief Financial Officercontrol
        since 02/2013 · owns less than 5%
      • F•••• T••••••• P•••••• · Managing M•••••control
        since 10/2012 · owns F of F•••••• M••••• I• L••
      • F•••• T••••••• P•••••• · M•••••control
        since 10/2012 · owns 25% to 50% of F•••••• M••••••••• P••••••• L••
      • M•••••• S•••••• M•••••• · M•••••control
        since 10/2012 · owns 25% to 50% of F•••••• M••••••••• P••••••• L••
      • M•••••••• I••• D•••••• · Chief Compliance Officer
        since 01/2019 · owns less than 5%
      Entity owners
      • F•••••• M••••••••• P••••••• L•• · M•••••
        direct · owns 75% or more
      • F•••••• M••••• I• L•• · M•••••
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Minneapolis, MN
      What changed
      consecutive filings, newest first
      • Accounts · 65 to 68
        Feb 14, 2024 to Mar 24, 2025
      • Pension plan clients · 60 to 65
        Feb 14, 2024 to Mar 24, 2025
      • Financial planning clients · unset to 0
        Feb 14, 2024 to Mar 24, 2025
      • Discretionary RAUM · $1.8B to $2.0B
        Feb 14, 2024 to Mar 24, 2025
      • HNW RAUM · $3.1M to $1.1M
        Feb 14, 2024 to Mar 24, 2025
      • Pension RAUM · $1.5B to $1.8B
        Feb 14, 2024 to Mar 24, 2025
      • Pooled vehicle RAUM · $489,817 to $1.0M
        Feb 14, 2024 to Mar 24, 2025
      • RAUM · $1.8B to $2.0B
        Feb 14, 2024 to Mar 24, 2025
      • Advisory employees · 11 to 10
        Sep 11, 2023 to Feb 14, 2024
      • Pension plan clients · 62 to 60
        Sep 11, 2023 to Feb 14, 2024
      • Employees · 20 to 17
        Sep 11, 2023 to Feb 14, 2024
      • HQ city · MINNEAPOLIS to CLEVELAND
        Sep 11, 2023 to Feb 14, 2024
      • HQ state · MN to OH
        Sep 11, 2023 to Feb 14, 2024
      • Discretionary RAUM · $1.9B to $1.8B
        Sep 11, 2023 to Feb 14, 2024
      • HNW RAUM · $2.8M to $3.1M
        Sep 11, 2023 to Feb 14, 2024
      • Pension RAUM · $1.6B to $1.5B
        Sep 11, 2023 to Feb 14, 2024
      • Pooled vehicle RAUM · $329,920 to $489,817
        Sep 11, 2023 to Feb 14, 2024
      • RAUM · $1.9B to $1.8B
        Sep 11, 2023 to Feb 14, 2024
      • Accounts · 67 to 65
        Feb 28, 2022 to Feb 24, 2023
      • Advisory employees · 10 to 11
        Feb 28, 2022 to Feb 24, 2023
      • Advisory activities · 4 to 3
        Feb 28, 2022 to Feb 24, 2023
      • Corporate clients · 1.0 to unset
        Feb 28, 2022 to Feb 24, 2023
      • Pension plan clients · 63 to 62
        Feb 28, 2022 to Feb 24, 2023
      • Pooled vehicle clients · unset to 1.0
        Feb 28, 2022 to Feb 24, 2023
      • Employees · 19 to 20
        Feb 28, 2022 to Feb 24, 2023
      • Discretionary RAUM · $2.9B to $1.9B
        Feb 28, 2022 to Feb 24, 2023
      • HNW RAUM · $2.9M to $2.8M
        Feb 28, 2022 to Feb 24, 2023
      • Pension RAUM · $1.9B to $1.6B
        Feb 28, 2022 to Feb 24, 2023
      • Pooled vehicle RAUM · unset to 329920.0
        Feb 28, 2022 to Feb 24, 2023
      • RAUM · $2.9B to $1.9B
        Feb 28, 2022 to Feb 24, 2023
      • Accounts · 78 to 67
        Jan 6, 2022 to Feb 28, 2022
      • Advisory employees · 12 to 10
        Jan 6, 2022 to Feb 28, 2022
      • Charity clients · 1.0 to unset
        Jan 6, 2022 to Feb 28, 2022
      • Corporate clients · 4 to 1
        Jan 6, 2022 to Feb 28, 2022
      • HNW clients · 3 to 1
        Jan 6, 2022 to Feb 28, 2022
      • Pension plan clients · 68 to 63
        Jan 6, 2022 to Feb 28, 2022
      • Employees · 23 to 19
        Jan 6, 2022 to Feb 28, 2022
      • Discretionary RAUM · $2.7B to $2.9B
        Jan 6, 2022 to Feb 28, 2022
      • HNW RAUM · $16.0M to $2.9M
        Jan 6, 2022 to Feb 28, 2022
      • Pension RAUM · $1.6B to $1.9B
        Jan 6, 2022 to Feb 28, 2022
      Signals
      8 dated events
      • ••• Locked
        Jun 2, 2025 · Left the SEC roster · derived
      • ••• Locked
        Feb 24, 2023 · RAUM change · derived
      • ••• Locked
        Feb 28, 2022 · Control person left · inference
      • ••• Locked
        Feb 28, 2022 · Control person joined · fact
      • ••• Locked
        Feb 28, 2022 · Control person joined · fact
      • ••• Locked
        Feb 28, 2022 · Control person joined · fact
      • ••• Locked
        Mar 12, 2020 · Control person left · inference
      • ••• Locked
        Jul 19, 2012 · 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