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
C••• R••••••••• P••• A••••••• S•••••••
Legal name C••• F•••••••• S••••••••• I•••
Latest filing Mar 5, 2026
First filing on the tape Mar 30, 2012 · 34 filings
SEC status approved since Mar 18, 1999
RAUM
$8.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$591,539
derived; firm RAUM over IAPD count
Employees
19
16 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$8.9M as of Mar 5, 2026
Mar 30, 2012$5.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)16 as of Mar 5, 2026
Mar 28, 201339 then
Employees (5.A)19 as of Mar 5, 2026
Mar 28, 201377 then
Private funds: no history
RAUM -63% over the last fiscal year-46% a year over threeIARs 17 to 16
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- ocio institutional a••••••y · selection of other advisers (5.G.7) and institutional share at least 50 percent
- retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $591,539derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $806,644derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.1derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- -63%derivedbetween the last two annual amendments
- Advisor growth, one year
- -5.9%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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 a broker-dealer (6.A.1)
- 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
- Pension and profit-sharing plans$8.9M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 11reported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=14.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••• S••••••Chartered Financial Analyst | Cleveland, Oh | Aug 29, 2000 | 26 y | 2 |
| B•••• E••••• D•••Chartered Financial Analyst | Cleveland, Oh | Aug 29, 2000 | 27 y | 3 |
| R•••••• L•• H••••••• | Cumberland, Md | Jan 29, 2001 | 29 y | 0 |
| B•••• J••••• B•••• | San Jose, Ca | Jul 18, 2002 | 30 y | 1 |
| E••• M•••••• E••••••Chartered Financial Analyst | Independence, Oh | Jul 12, 2006 | 21 y | 1 |
| J••• R•••••• S••••Certified Financial Planner, Personal Financial Specialist | Cleveland, Oh | Dec 11, 2006 | 50 y | 0 |
| T••• C•••••• P••••Certified Financial Planner | Cleveland, Oh | Dec 12, 2006 | 35 y | 0 |
| E••••• H•••• H•••••• | Cleveland, Oh | Jan 3, 2007 | 38 y | 1 |
| M•••••• J••••• F••••• | Cleveland, Oh | May 5, 2008 | 23 y | 2 |
| G•••••• J•••••• K••••• | Kansas City, Mo | Jan 30, 2012 | 18 y | 0 |
| S• J•••••• F••••• | Cumberland, Md | Nov 1, 2013 | 17 y | 0 |
| M•••••• P••• Z••••••• | Independence, Oh | Jun 29, 2016 | 26 y | 4 |
| R••••• J•••• A••••• | Phoenix, Az | Oct 13, 2017 | 44 y | 0 |
| C••••••••• R••• B•••• | Cleveland, Oh | Dec 22, 2017 | 25 y | 0 |
| C••••••••• M••• B•••• | Cleveland, Oh | Sep 20, 2018 | 14 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 6.7% of current headcount3 left over 36 months
Left, latest
- M••••• B••••••• B•• to C••• I••••••••• A••••••• S•••••••• L••Apr 9, 2026 · Other
- J••••••• A••• G••• to C••• I••••••••• A••••••• S•••••••• L••Mar 14, 2025 · Other
- T•••• J•••• B•••• to O•••••••••Jul 2, 2024 · Other
- A••••• C•••••• V••••••• to C••• W••••• M••••••••• L••Dec 31, 2021 · Other
- T•••••• M•••••• S••••••• to C••• W••••• M••••••••• L••Mar 3, 2020 · Other
- M•••••• G••••• J• P•••••• to G••••• R••••••••• P••••••• L••Feb 25, 2019 · Other
- L••• F• B••• to C••• W••••• M••••••••• L••Dec 7, 2017 · Other
- J•• M•••••• B••••••••• to E•• F•••••••• A•••••••Jan 15, 2016 · Other
- K•••• E••• B••••• to E•••••• F••••••••Jul 25, 2014 · Other
- J••••• M•••••• M••••• to P•••••• P••••••• S••••••••• I•••Jun 25, 2014 · Other
- J•••• L• B••••••••• to W•••• F•••• A•••••••Apr 19, 2013 · Other
- G••• A••• C•••• to L•••••• I•••••••••Nov 5, 2012 · Other
- C•••• J••• E••• to M•• F•••••••• S•••••••• I•••Aug 20, 2012 · Other
- J•••••• R• S•••••• to C••• W••••• M••••••••• L••Dec 9, 2011 · Other
- J•••• D••••• H•••• to C••• W••••• M••••••••• L••Dec 9, 2011 · Other
Joined, latest
- R•••••• D•••• L•••• from E•••••• F•••••••• E••••••Mar 26, 2020 · Other
- J••••••• A••• G••• from K••••• A••••••• S•••••••• L••Mar 25, 2020 · Other
- C•••• M•••••• R••••• from G••••• R••••••••• P••••••• L••Aug 12, 2019 · Other
- R••• M•••••• W•••••• from E••••• J••••May 13, 2019 · Other
- C••••••••• M••• B•••• from P•• W••••• M•••••••••Sep 20, 2018 · Other
- P•••••• G• D••••••• from F•••• T•••• S••••••••• I•••May 8, 2017 · Other
- M•••••• P••• Z••••••• from M••••••••• I••••••••• A•• R••••••••• A•••••••• L••Jun 29, 2016 · Other
- K••••• D•••• M••••••• from G••••• R••••••••• P••••••• L••Apr 18, 2016 · Other
- S•••• B•••• R•••••• from S•• I••••••••• I•••Aug 19, 2013 · Other
- J•••• L• B••••••••• from M••••• S••••••Feb 14, 2012 · Other
- K••• F•••••• Q•••• from T•••• S••••• S••••••••• I•••Jun 4, 2009 · Other
- M•••••• J••••• F••••• from M••••• S•••••• • C•• L••May 5, 2008 · Other
- E••••• H•••• H•••••• from M•• S••••••••• L••Jan 3, 2007 · Other
- G•••••• B•••• R•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jul 31, 2006 · Other
- G•••••• A•••• B••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jul 31, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• E••••• H••••• · Principal Financial And O••••••••• Officercontrolsince 06/2006 · owns less than 5%
- B••••• C••••••••• M••• · Chief Compliance Officer And Executive Representativecontrolsince 11/2021 · owns less than 5%
- M••••••• N•••• M•••• · Directorcontrolsince 01/2024 · owns less than 5%
Entity owners
- C••• O••••••••• I••• · Parent Companydirect · owns 75% or more · public reporting company
- C•••• I•• · Parent Companyindirect · owns 75% or more of C••• O•••••••••, Inc. · public reporting company
Related persons
Schedule D 7.A
- C••• I••insuranceinvestment companyLP sponsorreal estatey
- C••• I••••••••• A••••••• S•••••••• L••investment advisernRAUM $13B
Advisers that list C••• R••••••••• P••• A••••••• S••••••• as a related person
- 286002 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cleveland, Oh · principal | 7 | 0 | 0 | ||
| Cumberland, Md | 6 | 0 | 0 | ||
| Independence, Oh | 2 | 0 | 0 | ||
| Maitland, Fl | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Cumberland, MD6 employees
- San Jose, CA2 employees
- Kansas City, MO2 employees
- St Louis, MO1 employees
- Phoenix, AZ1 employees
- Maitland, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 23 to 11Mar 27, 2025 to Mar 5, 2026
- Advisory employees · 17 to 16Mar 27, 2025 to Mar 5, 2026
- BD registered reps · 15 to 14Mar 27, 2025 to Mar 5, 2026
- Pension plan clients · 23 to 11Mar 27, 2025 to Mar 5, 2026
- Employees · 21 to 19Mar 27, 2025 to Mar 5, 2026
- Insurance-licensed employees · 17 to 16Mar 27, 2025 to Mar 5, 2026
- State-registered IARs · 17 to 16Mar 27, 2025 to Mar 5, 2026
- Discretionary RAUM · $23.9M to $8.9MMar 27, 2025 to Mar 5, 2026
- Pension RAUM · $23.9M to $8.9MMar 27, 2025 to Mar 5, 2026
- RAUM · $23.9M to $8.9MMar 27, 2025 to Mar 5, 2026
- Accounts · 32 to 23Mar 22, 2024 to Mar 27, 2025
- Advisory employees · 21 to 17Mar 22, 2024 to Mar 27, 2025
- BD registered reps · 16 to 15Mar 22, 2024 to Mar 27, 2025
- Pension plan clients · 32 to 23Mar 22, 2024 to Mar 27, 2025
- Employees · 24 to 21Mar 22, 2024 to Mar 27, 2025
- Insurance-licensed employees · 21 to 17Mar 22, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 22, 2024 to Mar 27, 2025
- State-registered IARs · 21 to 17Mar 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $41.1M to $23.9MMar 22, 2024 to Mar 27, 2025
- Pension RAUM · $41.1M to $23.9MMar 22, 2024 to Mar 27, 2025
- RAUM · $41.1M to $23.9MMar 22, 2024 to Mar 27, 2025
- Accounts · 42 to 32Nov 2, 2023 to Mar 22, 2024
- Advisory employees · 24 to 21Nov 2, 2023 to Mar 22, 2024
- BD registered reps · 15 to 16Nov 2, 2023 to Mar 22, 2024
- Pension plan clients · 42 to 32Nov 2, 2023 to Mar 22, 2024
- Employees · 27 to 24Nov 2, 2023 to Mar 22, 2024
- Insurance-licensed employees · 24 to 21Nov 2, 2023 to Mar 22, 2024
- State-registered IARs · 24 to 21Nov 2, 2023 to Mar 22, 2024
- Other offices · 7 to 6Nov 2, 2023 to Mar 22, 2024
- Discretionary RAUM · $57.9M to $41.1MNov 2, 2023 to Mar 22, 2024
- Pension RAUM · $57.9M to $41.1MNov 2, 2023 to Mar 22, 2024
- RAUM · $57.9M to $41.1MNov 2, 2023 to Mar 22, 2024
- HQ city · INDEPENDENCE to CLEVELANDMar 28, 2023 to Nov 2, 2023
- Accounts · 62 to 42Mar 25, 2022 to Mar 28, 2023
- Advisory employees · 25 to 24Mar 25, 2022 to Mar 28, 2023
- BD registered reps · 17 to 15Mar 25, 2022 to Mar 28, 2023
- Pension plan clients · 62 to 42Mar 25, 2022 to Mar 28, 2023
- Employees · 28 to 27Mar 25, 2022 to Mar 28, 2023
- Insurance-licensed employees · 25 to 24Mar 25, 2022 to Mar 28, 2023
- State-registered IARs · 25 to 24Mar 25, 2022 to Mar 28, 2023
Signals
14 dated events
- M••••• B••••••• B•• left C••• R••••••••• P••• A••••••• S••••••• for C••• I••••••••• A••••••• S•••••••• L•• (registered 2019-01-28)Apr 9, 2026 · a•••••• firm change · fact
- J••••••• A••• G••• left C••• R••••••••• P••• A••••••• S••••••• for C••• I••••••••• A••••••• S•••••••• L•• (registered 2020-03-25)Mar 14, 2025 · a•••••• firm change · fact
- T•••• J•••• B•••• left C••• R••••••••• P••• A••••••• S••••••• for Onedigital (registered 2025-03-26)Jul 2, 2024 · a•••••• firm change · fact
- Nancy Marie Mellard (Director) appeared on Schedule A of C••• R••••••••• P••• A••••••• S•••••••Mar 22, 2024 · Control person joined · fact
- John Joseph Geffert (Director) no longer on Schedule A of C••• R••••••••• P••• A••••••• S••••••• (listed 2023-11-02, absent 2024-03-22)Mar 22, 2024 · Control person left · inference
- C••• R••••••••• P••• A••••••• S••••••• reported RAUM $57.9M, down 66% from $172.4M (2022-03-25 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- C••• R••••••••• P••• A••••••• S••••••• reported 25 state-registered advisory representatives, down from 47 (2021-11-30 to 2022-03-25)Mar 25, 2022 · ria a•••••• headcount change · derived
- C••••••••• M••• B•••• (Chief Compliance Officer And Executive Representative) appeared on Schedule A of C••• R••••••••• P••• A••••••• S•••••••Nov 30, 2021 · Control person joined · fact
- Kathryn Hale Louttit (Executive Representative And Chief Compliance Officer) no longer on Schedule A of C••• R••••••••• P••• A••••••• S••••••• (listed 2021-04-30, absent 2021-09-14)Sep 14, 2021 · Control person left · inference
- M•••••• Joseph Morelli (Director) no longer on Schedule A of C••• R••••••••• P••• A••••••• S••••••• (listed 2020-11-27, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- C••• R••••••••• P••• A••••••• S••••••• reported RAUM $129.4M, down 66% from $381.4M (2020-11-27 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- John Joseph Geffert (Director) appeared on Schedule A of C••• R••••••••• P••• A••••••• S•••••••Mar 30, 2021 · Control person joined · fact
- C••• R••••••••• P••• A••••••• S••••••• reported RAUM $381.4M, down 98% from $17.8B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- C••• R••••••••• P••• A••••••• S••••••• reported 12 offices beyond its principal office, up from 5 (2017-12-07 to 2018-03-29)Mar 29, 2018 · Office count change · derived
Across DFX
shared identifiers only, never a name match
- C••• R••••••••• P••• S••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Principal office phone
- 216-447-9000reportedpublic record, Form ADV, Mar 5, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $591,539derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026