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
J•• F••••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Nov 7, 2013 · 35 filings
SEC status approved since Jan 6, 2014
RAUM
$377M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$374M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$94.3M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$377M as of Mar 5, 2026
Feb 26, 2015$130M then
HNW client RAUM$319M as of Mar 5, 2026
Mar 9, 2018$138M then
State-registered IARs (5.B.3)4 as of Mar 5, 2026
Feb 26, 20154 then
Employees (5.A)4 as of Mar 5, 2026
Feb 26, 20155 then
Private funds: no history
RAUM +25% over the last fiscal year+17% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 5, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $94.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $492,232derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Custody
- $117M, 119 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$319M85%
- Individuals$54.4M14%
- Corporations and businesses$2.8M0.7%
- Charitable organizations$452,0110.1%
- Individual clients
- 158reported
- HNW clients
- 116reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 766reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $117M for 119 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• W•••••• P•••••Chartered Financial Consultant | Westlake, Oh | Jan 7, 2014 | 34 y | 1 |
| G•••••• M• P•••••Certified Financial Planner, Chartered Financial Analyst | Westlake, Oh | Jan 7, 2014 | 22 y | 1 |
| N•••• L• O•••••• | Westlake, Oh | Jan 7, 2014 | 13 y | 0 |
| S•••••• J• P••••• | Westlake, Oh | Jan 7, 2014 | 20 y | 1 |
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
none on the tape
Joined, latest
- J••• W•••••• P••••• from P•••••••• S••••••••• I•••Jan 7, 2014 · Other
- G•••••• M• P••••• from P•••••••• S••••••••• I•••Jan 7, 2014 · Other
- S•••••• J• P••••• from P•••••••• S••••••••• I•••Jan 7, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• G••••••• M• · Member/Chief Compliance Officercontrolsince 01/2014 · owns 10% to 25%
- P•••••• J•••• W•••••• · Managing Membercontrolsince 07/2003 · owns 50% to 75%
- P•••••• S••••••• J• · Membercontrolsince 01/2014 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Westlake, Oh · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 742 to 766Feb 20, 2025 to Mar 5, 2026
- Advisory employees · 3 to 4Feb 20, 2025 to Mar 5, 2026
- Corporate clients · 3 to 4Feb 20, 2025 to Mar 5, 2026
- HNW clients · 97 to 116Feb 20, 2025 to Mar 5, 2026
- Individual clients · 174 to 158Feb 20, 2025 to Mar 5, 2026
- Assets in custody · $84.1M to $117MFeb 20, 2025 to Mar 5, 2026
- Financial planning clients · 1-10 to 0Feb 20, 2025 to Mar 5, 2026
- Discretionary RAUM · $287M to $359MFeb 20, 2025 to Mar 5, 2026
- HNW RAUM · $227M to $319MFeb 20, 2025 to Mar 5, 2026
- Individual RAUM · $58.5M to $54.4MFeb 20, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $14.7M to $18.4MFeb 20, 2025 to Mar 5, 2026
- RAUM · $302M to $377MFeb 20, 2025 to Mar 5, 2026
- Accounts · 726 to 742Jul 16, 2024 to Feb 20, 2025
- Corporate clients · 2 to 3Jul 16, 2024 to Feb 20, 2025
- HNW clients · 80 to 97Jul 16, 2024 to Feb 20, 2025
- Individual clients · 194 to 174Jul 16, 2024 to Feb 20, 2025
- Assets in custody · $76.0M to $84.1MJul 16, 2024 to Feb 20, 2025
- Financial planning clients · 0 to 1-10Jul 16, 2024 to Feb 20, 2025
- Discretionary RAUM · $273M to $287MJul 16, 2024 to Feb 20, 2025
- HNW RAUM · $198M to $227MJul 16, 2024 to Feb 20, 2025
- Individual RAUM · $67.1M to $58.5MJul 16, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $12.8M to $14.7MJul 16, 2024 to Feb 20, 2025
- RAUM · $286M to $302MJul 16, 2024 to Feb 20, 2025
- Accounts · 702 to 726Mar 16, 2023 to Mar 13, 2024
- HNW clients · 71 to 80Mar 16, 2023 to Mar 13, 2024
- Individual clients · 199 to 194Mar 16, 2023 to Mar 13, 2024
- Assets in custody · $64.1M to $76.0MMar 16, 2023 to Mar 13, 2024
- Discretionary RAUM · $221M to $273MMar 16, 2023 to Mar 13, 2024
- HNW RAUM · $159M to $198MMar 16, 2023 to Mar 13, 2024
- Individual RAUM · $71.2M to $67.1MMar 16, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $11.9M to $12.8MMar 16, 2023 to Mar 13, 2024
- RAUM · $233M to $286MMar 16, 2023 to Mar 13, 2024
- Accounts · 661 to 702May 23, 2022 to Mar 16, 2023
- Charity clients · unset to 1.0May 23, 2022 to Mar 16, 2023
- Corporate clients · unset to 2.0May 23, 2022 to Mar 16, 2023
- HNW clients · 64 to 71May 23, 2022 to Mar 16, 2023
- Individual clients · 197 to 199May 23, 2022 to Mar 16, 2023
- Assets in custody · $70.0M to $64.1MMay 23, 2022 to Mar 16, 2023
- Employees · 5 to 4May 23, 2022 to Mar 16, 2023
- Financial planning clients · 1-10 to 0May 23, 2022 to Mar 16, 2023
Signals
1 dated events
- J•• F••••••••• L•• filed its initial SEC registration (Form ADV)Nov 7, 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
- g•••••••@j•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 440-899-6350reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.j•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 440-899-6350reportedpublic 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $94.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026