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.
Former SEC-registered adviser
Cedar Capital, LLC
Latest filing Oct 10, 2022
First filing on the tape Jan 2, 2015 · 29 filings
RAUM
$30.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$30.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$15.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$37.4M as of Mar 17, 2022
Feb 23, 2016$1.1M then
HNW client RAUM$12.8M as of Mar 17, 2022
Mar 13, 2018$0 then
State-registered IARs (5.B.3)2 as of Mar 17, 2022
Feb 23, 201618 then
Employees (5.A)5 as of Mar 17, 2022
Feb 23, 201658 then
Private funds: no history
RAUM -7.8% over the last fiscal year+24% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Oct 10, 2022; every figure names its basis
- RAUM per advisor
- $15.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $645,133derivedHNW RAUM over HNW clients
- Average account
- $241,639derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +25%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$24.5M79%
- Individuals$6.4M21%
- Individual clients
- 29reported
- HNW clients
- 38reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 128reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Thomas George KoleskiCertified Financial Planner | Glen Ellyn, Il | Jul 27, 2017 | 20 y | 2 |
| Brian Patrick Tumpane | Glen Ellyn, Il | Apr 15, 2026 | 12 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 headcount0 left over 36 months
Left, latest
- Neil Ray Peplinski to Kingsview Wealth Management, LLCSep 30, 2022 · RIA to RIA
- Matthew Alan Roma to Cibc Private Wealth Advisors, Inc.May 7, 2018 · RIA to affiliated broker-dealer or bank
- Michael Balch to Ipi Wealth Management, Inc.Dec 31, 2017 · Other
- Brian James Glynn to William Blair & Company L.L.C.Dec 11, 2017 · Other
- Thomas Lee Petric to Bmo Asset Management Corp.Jul 26, 2016 · Other
- David Stephen Ulm to Frontier Asset Management, LLCJul 26, 2016 · Other
- Dennis G O'Malley to Northern Trust Investments, IncorporatedJan 25, 2016 · Other
- Margaret Mary Oleary to Sterling Capital Management LLCJan 14, 2016 · Other
- James Joseph Duddey to Elysian CapitalJan 4, 2016 · Other
- Lacey Blair Zavelovich to Envestnet PmcDec 2, 2015 · Other
- Michael Justin Salemy to Usaa Financial Planning ServicesOct 30, 2015 · Other
- Kevin William Reilly to Hilltop Securities Inc.Sep 30, 2015 · Other
- Brandon Balazi to Astor Investment Management LLCApr 15, 2015 · Other
- Jason Scott Swedo to Astor Investment Management LLCMar 18, 2015 · Other
Joined, latest
- Thomas George Koleski from Guggenheim InvestmentsJul 27, 2017 · Other
- Neil Ray Peplinski from Good Harbor FinancialNov 25, 2015 · Other
- Lacey Blair Zavelovich from Bmo Harris Financial Advisors, IncApr 30, 2015 · Other
- Brian James Glynn from David A. Noyes & CompanyApr 14, 2015 · Other
- Jason Scott Swedo from Astor Investment Management LLCFeb 25, 2015 · Other
- Brandon Balazi from Astor Investment Management LLCFeb 25, 2015 · Other
- Michael Justin Salemy from Good Harbor FinancialFeb 24, 2015 · Other
- Margaret Mary Oleary from Good Harbor FinancialFeb 10, 2015 · Other
- James Joseph Duddey from Good Harbor FinancialFeb 10, 2015 · Other
- Dennis G O'Malley from Good Harbor FinancialFeb 10, 2015 · Other
- Matthew Alan Roma from Good Harbor FinancialFeb 10, 2015 · Other
- Thomas Lee Petric from Good Harbor FinancialFeb 10, 2015 · Other
- David Stephen Ulm from Good Harbor FinancialFeb 10, 2015 · Other
- Kevin William Reilly from Good Harbor FinancialFeb 10, 2015 · Other
- Michael Balch from Good Harbor FinancialFeb 5, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 7 joined from Good Harbor FinancialJan 2, 2015 · Barrington, Il · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- George Thomas Koleski · Head Of Financial Planning & Ccocontrolsince 07/2022 · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Glen Ellyn, Il | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 140 to 128Mar 17, 2022 to Jul 6, 2022
- Advisory employees · 4 to 3Mar 17, 2022 to Jul 6, 2022
- Advisory activities · 3 to 2Mar 17, 2022 to Jul 6, 2022
- Corporate clients · unset to 0.0Mar 17, 2022 to Jul 6, 2022
- HNW clients · 24 to 38Mar 17, 2022 to Jul 6, 2022
- Individual clients · 87 to 29Mar 17, 2022 to Jul 6, 2022
- Employees · 5 to 3Mar 17, 2022 to Jul 6, 2022
- Insurance-licensed employees · 2 to 0Mar 17, 2022 to Jul 6, 2022
- Financial planning clients · 0 to 1-10Mar 17, 2022 to Jul 6, 2022
- State-registered IARs · 2 to 1Mar 17, 2022 to Jul 6, 2022
- Discretionary RAUM · $37.4M to $30.9MMar 17, 2022 to Jul 6, 2022
- HNW RAUM · $12.8M to $24.5MMar 17, 2022 to Jul 6, 2022
- Individual RAUM · $15.5M to $6.4MMar 17, 2022 to Jul 6, 2022
- RAUM · $37.4M to $30.9MMar 17, 2022 to Jul 6, 2022
- Related adviser · true to falseMar 17, 2022 to Jul 6, 2022
- Accounts · 134 to 140Dec 8, 2021 to Mar 17, 2022
- HNW clients · 22 to 24Dec 8, 2021 to Mar 17, 2022
- Individual clients · 67 to 87Dec 8, 2021 to Mar 17, 2022
- Employees · 6 to 5Dec 8, 2021 to Mar 17, 2022
- Discretionary RAUM · $33.5M to $37.4MDec 8, 2021 to Mar 17, 2022
- HNW RAUM · $11.0M to $12.8MDec 8, 2021 to Mar 17, 2022
- Individual RAUM · $11.1M to $15.5MDec 8, 2021 to Mar 17, 2022
- RAUM · $33.5M to $37.4MDec 8, 2021 to Mar 17, 2022
- Accounts · 138 to 134Dec 15, 2020 to Mar 22, 2021
- Advisory employees · 5 to 4Dec 15, 2020 to Mar 22, 2021
- BD registered reps · 2 to 0Dec 15, 2020 to Mar 22, 2021
- HNW clients · 23 to 22Dec 15, 2020 to Mar 22, 2021
- Individual clients · 41 to 67Dec 15, 2020 to Mar 22, 2021
- Employees · 8 to 6Dec 15, 2020 to Mar 22, 2021
- Insurance-licensed employees · 3 to 2Dec 15, 2020 to Mar 22, 2021
- State-registered IARs · 3 to 2Dec 15, 2020 to Mar 22, 2021
- Discretionary RAUM · $31.0M to $33.5MDec 15, 2020 to Mar 22, 2021
- HNW RAUM · $10.5M to $11.0MDec 15, 2020 to Mar 22, 2021
- Individual RAUM · $6.7M to $11.1MDec 15, 2020 to Mar 22, 2021
- RAUM · $31.0M to $33.5MDec 15, 2020 to Mar 22, 2021
- HQ city · BARRINGTON to unsetJun 24, 2020 to Dec 15, 2020
- HQ state · IL to unsetJun 24, 2020 to Dec 15, 2020
- Related bank · true to falseJun 24, 2020 to Dec 15, 2020
- Accounts · 81 to 138Jun 27, 2019 to Mar 5, 2020
- Corporate clients · 2.0 to unsetJun 27, 2019 to Mar 5, 2020
Signals
10 dated events
- Neil Ray Peplinski left Cedar Capital, Llc for Kingsview Wealth Management, Llc (registered 2021-10-01)Sep 30, 2022 · Advisor changed firm · fact
- Ray Neil Peplinski (Chief Investment Officer) no longer on Schedule A of Cedar Capital, Llc (listed 2022-03-17, absent 2022-07-06)Jul 6, 2022 · Control person left · inference
- Russell Paul Ingersoll (Chief Executive Officer) no longer on Schedule A of Cedar Capital, Llc (listed 2022-03-17, absent 2022-07-06)Jul 6, 2022 · Control person left · inference
- Kamlesh Yashesh Patel (Chief Operating Officer) no longer on Schedule A of Cedar Capital, Llc (listed 2022-03-17, absent 2022-07-06)Jul 6, 2022 · Control person left · inference
- John Christopher Mcgowan (Manager) no longer on Schedule A of Cedar Capital, Llc (listed 2022-03-17, absent 2022-07-06)Jul 6, 2022 · Control person left · inference
- W Kevin Swanson (Chief Compliance Officer) no longer on Schedule A of Cedar Capital, Llc (listed 2022-03-17, absent 2022-07-06)Jul 6, 2022 · Control person left · inference
- George Thomas Koleski (Head Of Financial Planning & Cco) appeared on Schedule A of Cedar Capital, LlcJul 6, 2022 · Control person joined · fact
- Burriss David Boon (Chief Financial Officer) no longer on Schedule A of Cedar Capital, Llc (listed 2018-03-13, absent 2019-03-14)Mar 14, 2019 · Control person left · inference
- N Richard Garman (Manager) no longer on Schedule A of Cedar Capital, Llc (listed 2018-03-13, absent 2019-03-14)Mar 14, 2019 · Control person left · inference
- Cedar Capital, Llc filed its initial SEC registration (Form ADV)Jan 2, 2015 · 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
- Firm profile
- linkedin.com/company/cedar-capital-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- CEDARCAPITALADVISORS.COMreportedpublic record, Form ADV, Sep 17, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $15.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026