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
D•• F•••••••• C••••••• L••
Latest filing Feb 19, 2026
First filing on the tape Jan 28, 2022 · 12 filings
SEC status approved since Feb 28, 2022
RAUM
$199M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
79%
$157M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$66.5M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$199M as of Feb 19, 2026
Feb 2, 2023$117M then
HNW client RAUM$149M as of Feb 19, 2026
Feb 2, 2023$82.4M then
State-registered IARs (5.B.3)3 as of Feb 19, 2026
Feb 2, 20232 then
Employees (5.A)4 as of Feb 19, 2026
Feb 2, 20232 then
Private funds: no history
RAUM +25% over the last fiscal year+20% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 19, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $66.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $878,750derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- +18%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$149M75%
- Corporations and businesses$37.1M19%
- Individuals$7.9M3.9%
- Charitable organizations$5.6M2.8%
- Individual clients
- 23reported
- HNW clients
- 44reported
- Pension plan clients
- 0reported
- Charitable clients
- 5reported
- Accounts
- 227reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.79 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• B••••••• K•••••Personal Financial Specialist | Cuyahoga Falls, Oh | Apr 17, 2014 | 17 y | 1 |
| D••• T•••••• | Cuyahoga Falls, Oh | Sep 26, 2018 | 12 y | 0 |
| J•••• G••••••••• U••••Certified Financial Planner, Chartered Financial Consultant | Cuyahoga Falls, Oh | May 14, 2024 | 16 y | 2 |
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
- B•••••• M•••••• S••••••••• to E•••• F•••••••• G••••• I•••Feb 2, 2023 · RIA to RIA
- C•••••• S•••• J•••••• to S••••• W••••• A•••••••Oct 31, 2019 · RIA to RIA
Joined, latest
- J•••• G••••••••• U•••• from L•• F•••••••• L••May 14, 2024 · Affiliated broker-dealer or bank to independent RIA
- D•••• B••••••• K••••• from W••••• S••••• A•••••••• L••Apr 17, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• D••••• B••••••• · Managing Member ,Chief Compliance Officer & Chief Investment Officercontrolsince 01/2014 · owns 75% or more
Related persons
Schedule D 7.A
- D•• L•••• C••••••• L••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cuyahoga Falls, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 187 to 227Feb 25, 2025 to Feb 19, 2026
- Charity clients · 2 to 5Feb 25, 2025 to Feb 19, 2026
- Corporate clients · 3 to 5Feb 25, 2025 to Feb 19, 2026
- HNW clients · 38 to 44Feb 25, 2025 to Feb 19, 2026
- Individual clients · 19 to 23Feb 25, 2025 to Feb 19, 2026
- Discretionary RAUM · $132M to $168MFeb 25, 2025 to Feb 19, 2026
- HNW RAUM · $116M to $149MFeb 25, 2025 to Feb 19, 2026
- Individual RAUM · $5.4M to $7.9MFeb 25, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $28.0M to $31.7MFeb 25, 2025 to Feb 19, 2026
- RAUM · $159M to $199MFeb 25, 2025 to Feb 19, 2026
- Accounts · 169 to 187Jan 21, 2025 to Feb 25, 2025
- Advisory employees · 2 to 3Jan 21, 2025 to Feb 25, 2025
- HNW clients · 35 to 38Jan 21, 2025 to Feb 25, 2025
- Individual clients · 18 to 19Jan 21, 2025 to Feb 25, 2025
- Employees · 3 to 4Jan 21, 2025 to Feb 25, 2025
- Financial planning clients · 51-100 to 51-100Jan 21, 2025 to Feb 25, 2025
- State-registered IARs · 2 to 3Jan 21, 2025 to Feb 25, 2025
- Discretionary RAUM · $109M to $132MJan 21, 2025 to Feb 25, 2025
- HNW RAUM · $94.7M to $116MJan 21, 2025 to Feb 25, 2025
- Individual RAUM · $5.6M to $5.4MJan 21, 2025 to Feb 25, 2025
- Non-discretionary RAUM · $25.2M to $28.0MJan 21, 2025 to Feb 25, 2025
- RAUM · $134M to $159MJan 21, 2025 to Feb 25, 2025
- Employees · 2 to 3Feb 8, 2024 to Feb 22, 2024
- Accounts · 163 to 169Aug 10, 2023 to Feb 8, 2024
- Individual clients · 19 to 18Aug 10, 2023 to Feb 8, 2024
- Discretionary RAUM · $93.3M to $109MAug 10, 2023 to Feb 8, 2024
- HNW RAUM · $82.4M to $94.7MAug 10, 2023 to Feb 8, 2024
- Individual RAUM · $5.1M to $5.6MAug 10, 2023 to Feb 8, 2024
- Non-discretionary RAUM · $23.3M to $25.2MAug 10, 2023 to Feb 8, 2024
- RAUM · $117M to $134MAug 10, 2023 to Feb 8, 2024
- Accounts · 167 to 163Aug 22, 2022 to Feb 2, 2023
- Advisory employees · 3 to 2Aug 22, 2022 to Feb 2, 2023
- Charity clients · 1 to 2Aug 22, 2022 to Feb 2, 2023
- Corporate clients · 1 to 3Aug 22, 2022 to Feb 2, 2023
- Individual clients · 17 to 19Aug 22, 2022 to Feb 2, 2023
- Employees · 3 to 2Aug 22, 2022 to Feb 2, 2023
- State-registered IARs · 3 to 2Aug 22, 2022 to Feb 2, 2023
- Discretionary RAUM · $83.2M to $93.3MAug 22, 2022 to Feb 2, 2023
- HNW RAUM · $74.7M to $82.4MAug 22, 2022 to Feb 2, 2023
- Individual RAUM · $6.0M to $5.1MAug 22, 2022 to Feb 2, 2023
Signals
2 dated events
- B•••••• M•••••• S••••••••• left D•• F•••••••• C••••••• L•• for E•••• F•••••••• G••••• I••• (registered 2023-02-11)Feb 2, 2023 · Advisor changed firm · fact
- D•• F•••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Jan 28, 2022 · 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
- Principal office phone
- 330-923-3038reportedpublic record, Form ADV, Feb 19, 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
- $66.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026