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

C••••• W••••• M•••••••••

Former SEC-registered adviserCleveland, OhioCRD 282108SEC 801-107369IAPD
Legal name C••••• W••••• M••••••••• L••
Latest filing Mar 30, 2023
First filing on the tape Feb 26, 2016 · 23 filings
RAUM
$298M
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
66%
$197M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$298M as of Mar 30, 2023
Mar 24, 2017$168M then
HNW client RAUM$149M as of Mar 30, 2023
Mar 8, 2018$72.8M then
State-registered IARs (5.B.3)8 as of Mar 30, 2023
Mar 24, 20174 then
Employees (5.A)12 as of Mar 30, 2023
Mar 24, 20177 then
Private funds: no history
RAUM -17% over the last fiscal year+22% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 30, 2023; every figure names its basis
RAUM per advisor
$37.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
37derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$416,107derivedRAUM over accounts (5.F.2.f)
Discretionary
77%derivedof RAUM
Institutional
27%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.4%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, educational seminarsreportedItem 5.G
Custody
$163M, 182 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$149M50%
  • Pension and profit-sharing plans$78.6M26%
  • Individuals$48.4M16%
  • Corporations and businesses$20.7M6.9%
  • Charitable organizations$1.8M0.6%
Individual clients
227reported
HNW clients
71reported
Pension plan clients
40reported
Charitable clients
3reported
Accounts
717reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$163M for 182 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••••• J•••••• P•••••• · Managing Member / Presidentcontrol
      since 01/2016 · owns 75% or more
    • F•••••• J•••• A•• · Cfo
      since 04/2016 · owns less than 5%
    • H•••••• R•••• S•••• · Member/Vice President
      since 06/2022 · owns 10% to 25%
    • S••••••••• L••••• L••• · Chief Compliance Officer
      since 09/2016 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Clarkston, Mi000
    Cleveland, Oh · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • Akron, OH1 employees
    • North Canton, OH1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 674 to 717
      Jan 27, 2023 to Mar 30, 2023
    • HNW clients · 82 to 71
      Jan 27, 2023 to Mar 30, 2023
    • Individual clients · 198 to 227
      Jan 27, 2023 to Mar 30, 2023
    • Pension plan clients · 44 to 40
      Jan 27, 2023 to Mar 30, 2023
    • Assets in custody · $144M to $163M
      Jan 27, 2023 to Mar 30, 2023
    • Discretionary RAUM · $255M to $229M
      Jan 27, 2023 to Mar 30, 2023
    • HNW RAUM · $173M to $149M
      Jan 27, 2023 to Mar 30, 2023
    • Individual RAUM · $47.1M to $48.4M
      Jan 27, 2023 to Mar 30, 2023
    • Non-discretionary RAUM · $103M to $69.4M
      Jan 27, 2023 to Mar 30, 2023
    • Pension RAUM · $111M to $78.6M
      Jan 27, 2023 to Mar 30, 2023
    • RAUM · $358M to $298M
      Jan 27, 2023 to Mar 30, 2023
    • Accounts · 568 to 674
      Mar 25, 2021 to Mar 29, 2022
    • Charity clients · 2 to 3
      Mar 25, 2021 to Mar 29, 2022
    • Corporate clients · 6 to 8
      Mar 25, 2021 to Mar 29, 2022
    • HNW clients · 71 to 82
      Mar 25, 2021 to Mar 29, 2022
    • Individual clients · 191 to 198
      Mar 25, 2021 to Mar 29, 2022
    • Pension plan clients · 36 to 44
      Mar 25, 2021 to Mar 29, 2022
    • Assets in custody · $126M to $144M
      Mar 25, 2021 to Mar 29, 2022
    • Employees · 11 to 12
      Mar 25, 2021 to Mar 29, 2022
    • Discretionary RAUM · $206M to $255M
      Mar 25, 2021 to Mar 29, 2022
    • HNW RAUM · $131M to $173M
      Mar 25, 2021 to Mar 29, 2022
    • Individual RAUM · $39.4M to $47.1M
      Mar 25, 2021 to Mar 29, 2022
    • Non-discretionary RAUM · $82.9M to $103M
      Mar 25, 2021 to Mar 29, 2022
    • Pension RAUM · $96.7M to $111M
      Mar 25, 2021 to Mar 29, 2022
    • RAUM · $289M to $358M
      Mar 25, 2021 to Mar 29, 2022
    • Accounts · 484 to 568
      Oct 30, 2020 to Mar 25, 2021
    • Advisory employees · 6 to 8
      Oct 30, 2020 to Mar 25, 2021
    • BD registered reps · 7 to 9
      Oct 30, 2020 to Mar 25, 2021
    • Charity clients · 1 to 2
      Oct 30, 2020 to Mar 25, 2021
    • Corporate clients · 5 to 6
      Oct 30, 2020 to Mar 25, 2021
    • HNW clients · 53 to 71
      Oct 30, 2020 to Mar 25, 2021
    • Individual clients · 188 to 191
      Oct 30, 2020 to Mar 25, 2021
    • Pension plan clients · 13 to 36
      Oct 30, 2020 to Mar 25, 2021
    • Assets in custody · $50.1M to $126M
      Oct 30, 2020 to Mar 25, 2021
    • Employees · 9 to 11
      Oct 30, 2020 to Mar 25, 2021
    • State-registered IARs · 6 to 8
      Oct 30, 2020 to Mar 25, 2021
    • Other offices · 3 to 2
      Oct 30, 2020 to Mar 25, 2021
    • Discretionary RAUM · $164M to $206M
      Oct 30, 2020 to Mar 25, 2021
    • HNW RAUM · $91.5M to $131M
      Oct 30, 2020 to Mar 25, 2021
    • Individual RAUM · $39.2M to $39.4M
      Oct 30, 2020 to Mar 25, 2021
    Signals
    7 dated events
    • R••• S•••• H••••• left C••••• W••••• M••••••••• for H• F•••••••• M••••••••• (registered 2018-08-17)
      Oct 20, 2023 · Advisor changed firm · fact
    • C••••••••• R••••• P••• left C••••• W••••• M••••••••• for S•••••• F•••••••• G••••• L••••• (registered 2023-06-16)
      Oct 20, 2023 · Advisor changed firm · fact
    • L•••• S••••••••• left C••••• W••••• M••••••••• for S•••••• F•••••••• G••••• L••••• (registered 2023-06-16)
      Oct 20, 2023 · Advisor changed firm · fact
    • M•••••••• M•••• P•••• left C••••• W••••• M••••••••• for S•••••• F•••••••• G••••• L••••• (registered 2023-06-15)
      Oct 20, 2023 · Advisor changed firm · fact
    • 2 advisors left C••••• W••••• M••••••••• (Cleveland, OH) for S•••••• F•••••••• G••••• L••••• on the same day
      Oct 20, 2023 · Team lift-out · derived
    • C••••• W••••• M••••••••• reported RAUM $288.6M, up 76% from $163.7M (2020-10-30 to 2021-03-25)
      Mar 25, 2021 · RAUM change · derived
    • C••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
      Feb 26, 2016 · 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