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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Former SEC-registered adviser
P••••••••• W••••• A••••••• L••
Latest filing Mar 15, 2024
First filing on the tape Nov 6, 2020 · 14 filings
RAUM
$69.9M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$69.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$69.9M as of Mar 15, 2024
Mar 22, 2021$139M then
HNW client RAUM$63.1M as of Mar 15, 2024
Mar 22, 2021$118M then
State-registered IARs (5.B.3)1 as of Mar 15, 2024
Mar 22, 20212 then
Employees (5.A)3 as of Mar 15, 2024
Mar 22, 20213 then
Private funds: no history
RAUM -47% over the last fiscal year-20% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 15, 2024; every figure names its basis
- RAUM per advisor
- $69.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $495,575derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -47%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminars, 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
- 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
- High-net-worth individuals$63.1M90%
- Individuals$6.4M9.1%
- Charitable organizations$396,5830.6%
- Individual clients
- 19reported
- HNW clients
- 26reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 141reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- J•••••••• L•••••• T••••• to C••• L••Jun 11, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- J•••••••• L•••••• T••••• from A••••• A•• P••••••• S•••••••Oct 22, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••• J••••••••• L•••••• · President, Chief Compliance Officer & Chief Investment Officercontrolsince 01/2016 · 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 |
|---|---|---|---|---|---|
| Mayfield Heights, Oh · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 140 to 141Mar 14, 2023 to Mar 15, 2024
- HNW clients · 28 to 26Mar 14, 2023 to Mar 15, 2024
- Individual clients · 24 to 19Mar 14, 2023 to Mar 15, 2024
- Employees · 2 to 3Mar 14, 2023 to Mar 15, 2024
- Discretionary RAUM · $90.7M to $69.2MMar 14, 2023 to Mar 15, 2024
- HNW RAUM · $126M to $63.1MMar 14, 2023 to Mar 15, 2024
- Individual RAUM · $6.1M to $6.4MMar 14, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $42.1M to $701,701Mar 14, 2023 to Mar 15, 2024
- RAUM · $133M to $69.9MMar 14, 2023 to Mar 15, 2024
- Accounts · 142 to 140Nov 4, 2022 to Mar 14, 2023
- Individual clients · 19 to 24Nov 4, 2022 to Mar 14, 2023
- Pension plan clients · 1 to 0Nov 4, 2022 to Mar 14, 2023
- Discretionary RAUM · $109M to $90.7MNov 4, 2022 to Mar 14, 2023
- HNW RAUM · $135M to $126MNov 4, 2022 to Mar 14, 2023
- Individual RAUM · $4.8M to $6.1MNov 4, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $32.8M to $42.1MNov 4, 2022 to Mar 14, 2023
- Pension RAUM · $1.6M to $0Nov 4, 2022 to Mar 14, 2023
- RAUM · $141M to $133MNov 4, 2022 to Mar 14, 2023
- Accounts · 149 to 142Dec 14, 2021 to Mar 18, 2022
- Advisory employees · 2 to 1Dec 14, 2021 to Mar 18, 2022
- HNW clients · 21 to 28Dec 14, 2021 to Mar 18, 2022
- Individual clients · 42 to 19Dec 14, 2021 to Mar 18, 2022
- Employees · 3 to 2Dec 14, 2021 to Mar 18, 2022
- HQ city · unset to MAYFIELD HEIGHTSDec 14, 2021 to Mar 18, 2022
- HQ state · unset to OHDec 14, 2021 to Mar 18, 2022
- State-registered IARs · 2 to 1Dec 14, 2021 to Mar 18, 2022
- Discretionary RAUM · $97.6M to $109MDec 14, 2021 to Mar 18, 2022
- HNW RAUM · $118M to $135MDec 14, 2021 to Mar 18, 2022
- Individual RAUM · $18.8M to $4.8MDec 14, 2021 to Mar 18, 2022
- Non-discretionary RAUM · $41.1M to $32.8MDec 14, 2021 to Mar 18, 2022
- Pension RAUM · $1.5M to $1.6MDec 14, 2021 to Mar 18, 2022
- RAUM · $139M to $141MDec 14, 2021 to Mar 18, 2022
- HQ city · INDEPENDENCE to unsetJun 19, 2021 to Dec 14, 2021
- HQ state · OH to unsetJun 19, 2021 to Dec 14, 2021
- Accounts · 159 to 149Feb 8, 2021 to Mar 22, 2021
- HNW clients · 39 to 21Feb 8, 2021 to Mar 22, 2021
- Individual clients · 21 to 42Feb 8, 2021 to Mar 22, 2021
- Financial planning clients · 11-25 to 26-50Feb 8, 2021 to Mar 22, 2021
- Discretionary RAUM · $84.7M to $97.6MFeb 8, 2021 to Mar 22, 2021
- HNW RAUM · $97.5M to $118MFeb 8, 2021 to Mar 22, 2021
Signals
5 dated events
- J•••••••• L•••••• T••••• left P••••••••• W••••• A••••••• L•• for C••• L•• (registered 2026-02-04)Jun 11, 2026 · Advisor changed firm · fact
- M••• L•••• Mccandless (Trustee - Mark J. Mccandless Restatement Of Trust Dtd 7/21/2011) no longer on Schedule A of P••••••••• W••••• A••••••• L•• (listed 2021-12-14, absent 2022-03-18)Mar 18, 2022 · Control person left · inference
- M••• L•••• Mccandless (Trustee - Mark J. Mccandless Restatement Of Trust Dtd 7/21/2011) appeared on Schedule A of P••••••••• W••••• A••••••• L••Jun 19, 2021 · Control person joined · fact
- Joseph Mark Mccandless (President And Chief Compliance Officer) no longer on Schedule A of P••••••••• W••••• A••••••• L•• (listed 2021-03-22, absent 2021-06-01)Jun 1, 2021 · Control person left · inference
- P••••••••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)Nov 6, 2020 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026