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
V••••• F•••••••• M••••••••• L••
Latest filing Jan 8, 2026
First filing on the tape May 21, 2025 · 3 filings
SEC status approved since Jun 24, 2025
RAUM
$166M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$166M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$82.8M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$166M as of Jan 8, 2026
May 21, 2025$120M then
HNW client RAUM$54.7M as of Jan 8, 2026
May 21, 2025$43.0M then
State-registered IARs (5.B.3)2 as of Jan 8, 2026
May 21, 20252 then
Employees (5.A)5 as of Jan 8, 2026
May 21, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 8, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $82.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 225derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $221,770derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $27.9MreportedItem 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$111M67%
- High-net-worth individuals$54.7M33%
- Individual clients
- 401reported
- HNW clients
- 48reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 747reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $137M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• S•••• W••••••Certified Financial Planner | Cuyahoga Falls, Oh | Apr 14, 2014 | 28 y | 1 |
| J•••••• F•••••• B•••••• | Cuyahoga Falls, Oh | Oct 7, 2022 | 13 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•••••• F•••••• B•••••• from H••••••••• F•••••••• A•••••••Oct 7, 2022 · Affiliated broker-dealer or bank to independent RIA
- R••••• S•••• W•••••• from M•• I•••••••• S•••••••• L••Apr 14, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• R•••••• S•••• · Managing Member And Chief Compliance Officercontrolsince 10/2013 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Cuyahoga Falls, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 547 to 747Jul 28, 2025 to Jan 8, 2026
- HNW clients · 36 to 48Jul 28, 2025 to Jan 8, 2026
- Individual clients · 392 to 401Jul 28, 2025 to Jan 8, 2026
- Employees · 4 to 5Jul 28, 2025 to Jan 8, 2026
- Discretionary RAUM · $120M to $166MJul 28, 2025 to Jan 8, 2026
- HNW RAUM · $43.0M to $54.7MJul 28, 2025 to Jan 8, 2026
- Individual RAUM · $77.0M to $111MJul 28, 2025 to Jan 8, 2026
- RAUM · $120M to $166MJul 28, 2025 to Jan 8, 2026
- Wrap assets (manager) · $99.5M to $137MJul 28, 2025 to Jan 8, 2026
- Financial planning clients · 251-500 to 251-500May 21, 2025 to Jul 28, 2025
Signals
No event on the tape.
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 phone
- 330-929-9702reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 330-929-9900reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- V•••••FINANCIALMANAGEMENT.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 330-929-9900reportedpublic record, Form ADV, Jan 8, 2026
- Contact form
- visionfinancialmanagement.net/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- visionfinancialmanagement.net/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $82.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026