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
N•••• S••• A••••••• G••••• L••
Latest filing Mar 19, 2026
First filing on the tape Dec 26, 2021 · 12 filings
SEC status approved since Jan 25, 2022
RAUM
$289M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
88%
$253M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$48.2M
derived; firm RAUM over IAPD count
Employees
7
5 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$289M as of Mar 19, 2026
Mar 29, 2022$151M then
HNW client RAUM$172M as of Mar 19, 2026
Mar 29, 2022$80.8M then
State-registered IARs (5.B.3)5 as of Mar 19, 2026
Mar 29, 20222 then
Employees (5.A)7 as of Mar 19, 2026
Mar 29, 20225 then
Private funds: no history
RAUM +28% over the last fiscal year+24% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 19, 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
- Retirement plan 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
- $48.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $593,638derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 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 an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$172M59%
- Individuals$81.7M28%
- Pension and profit-sharing plans$34.9M12%
- Corporations and businesses$560,8500.2%
- Charitable organizations$357,0750.1%
- Individual clients
- 372reported
- HNW clients
- 67reported
- Pension plan clients
- 43reported
- Charitable clients
- 1reported
- Accounts
- 487reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• K•••••Certified Financial Planner | Beachwood, Oh | Aug 4, 2014 | 24 y | 4 |
| E••• S•••••• K•••••• | Beachwood, Oh | Jul 21, 2015 | 22 y | 2 |
| B•••• M••••••• D••••••• | Beachwood, Oh | Oct 21, 2022 | 10 y | 0 |
| F•••••• D••••• K••••••• | Beachwood, Oh | May 18, 2023 | 11 y | 0 |
| R••••• M• S••••• | Beachwood, Oh | Aug 22, 2025 | 10 y | 0 |
| N••••••• I•••• S•••• | Beachwood, Oh | Jan 29, 2026 | 11 y | 0 |
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 headcount1 left over 36 months
Left, latest
- G••• C•••• P••• to W•••••• R•••••• C•••••• M••••••••• L••Mar 12, 2024 · RIA to RIA
Joined, latest
- G••• C•••• P••• from S•••••••• E••••• P•••••••• L•••Jan 19, 2023 · RIA to RIA
- E••• S•••••• K•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 21, 2015 · Other
- M••• K••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 4, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 7, 2016 · Beachwood, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• M••• · Managing Member And Chief Compliance Officercontrolsince 02/2013 · owns 75% or more
Related persons
Schedule D 7.A
- E••• K••••••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Beachwood, Oh · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 448 to 487Mar 4, 2025 to Mar 19, 2026
- Advisory employees · 4 to 5Mar 4, 2025 to Mar 19, 2026
- HNW clients · 45 to 67Mar 4, 2025 to Mar 19, 2026
- Individual clients · 363 to 372Mar 4, 2025 to Mar 19, 2026
- Pension plan clients · 40 to 43Mar 4, 2025 to Mar 19, 2026
- Employees · 6 to 7Mar 4, 2025 to Mar 19, 2026
- State-registered IARs · 4 to 5Mar 4, 2025 to Mar 19, 2026
- Discretionary RAUM · $197M to $254MMar 4, 2025 to Mar 19, 2026
- HNW RAUM · $120M to $172MMar 4, 2025 to Mar 19, 2026
- Individual RAUM · $76.8M to $81.7MMar 4, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $29.2M to $34.9MMar 4, 2025 to Mar 19, 2026
- Pension RAUM · $29.2M to $34.9MMar 4, 2025 to Mar 19, 2026
- RAUM · $227M to $289MMar 4, 2025 to Mar 19, 2026
- Accounts · 422 to 448Mar 14, 2024 to Mar 4, 2025
- Advisory employees · 5 to 4Mar 14, 2024 to Mar 4, 2025
- HNW clients · 36 to 45Mar 14, 2024 to Mar 4, 2025
- Individual clients · 344 to 363Mar 14, 2024 to Mar 4, 2025
- Financial planning clients · 101-250 to 101-250Mar 14, 2024 to Mar 4, 2025
- State-registered IARs · 5 to 4Mar 14, 2024 to Mar 4, 2025
- Discretionary RAUM · $161M to $197MMar 14, 2024 to Mar 4, 2025
- HNW RAUM · $89.3M to $120MMar 14, 2024 to Mar 4, 2025
- Individual RAUM · $70.9M to $76.8MMar 14, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $21.8M to $29.2MMar 14, 2024 to Mar 4, 2025
- Pension RAUM · $21.8M to $29.2MMar 14, 2024 to Mar 4, 2025
- RAUM · $183M to $227MMar 14, 2024 to Mar 4, 2025
- Accounts · 390 to 422Mar 22, 2023 to Mar 14, 2024
- Advisory employees · 4 to 5Mar 22, 2023 to Mar 14, 2024
- HNW clients · 30 to 36Mar 22, 2023 to Mar 14, 2024
- Individual clients · 320 to 344Mar 22, 2023 to Mar 14, 2024
- Pension plan clients · 38 to 40Mar 22, 2023 to Mar 14, 2024
- State-registered IARs · 4 to 5Mar 22, 2023 to Mar 14, 2024
- Discretionary RAUM · $135M to $161MMar 22, 2023 to Mar 14, 2024
- HNW RAUM · $72.2M to $89.3MMar 22, 2023 to Mar 14, 2024
- Individual RAUM · $61.8M to $70.9MMar 22, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $17.0M to $21.8MMar 22, 2023 to Mar 14, 2024
- Pension RAUM · $17.0M to $21.8MMar 22, 2023 to Mar 14, 2024
- RAUM · $152M to $183MMar 22, 2023 to Mar 14, 2024
- Accounts · 341 to 390Dec 14, 2022 to Mar 22, 2023
- Advisory employees · 2 to 4Dec 14, 2022 to Mar 22, 2023
- BD registered reps · 2 to 0Dec 14, 2022 to Mar 22, 2023
Signals
2 dated events
- G••• C•••• P••• left N•••• S••• A••••••• G••••• L•• for W•••••• R•••••• C•••••• M••••••••• L•• (registered 2024-03-11)Mar 12, 2024 · Advisor changed firm · fact
- N•••• S••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)Dec 26, 2021 · 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 phone
- 216-202-0202reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/nsagreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 216-202-0202reportedpublic record, Form ADV, Mar 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
- $48.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026