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
C•••••••• W•••••• L••
Latest filing Jul 2, 2026
First filing on the tape Nov 12, 2019 · 28 filings
SEC status approved since Dec 13, 2019
RAUM
$507M
reported, Item 5.F
Discretionary
0.7%
of RAUM
Private clients
100%
$507M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$169M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$507M as of Jul 2, 2026
Feb 13, 2020$307M then
HNW client RAUM$339M as of Jul 2, 2026
Feb 13, 2020$131M then
State-registered IARs (5.B.3)3 as of Jul 2, 2026
Feb 13, 20206 then
Employees (5.A)7 as of Jul 2, 2026
Feb 13, 20206 then
Private funds: no history
RAUM -50% over the last fiscal year-4.9% a year over threeIARs 6 to 3
Practice profile
derived from the filing of Jul 2, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $169MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 132derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $483,838derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.7%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -50%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -69%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $461M, 357 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$339M67%
- Individuals$167M33%
- Individual clients
- 265reported
- HNW clients
- 131reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,047reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $461M for 357 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| T••••• W••••••• S••••••• | C••••••••, Oh | Apr 26, 2016 | 20 y | 1 |
| D•••••• W•••••• S••••••Certified Financial Planner, Chartered Financial Consultant | C••••••••, Oh | Apr 26, 2016 | 23 y | 2 |
| A••••• N••••• A•••••Certified Financial Planner | C••••••••, Oh | Mar 11, 2026 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount4 left over 36 months
Left, latest
- T•••••• C•••••• F••••• to T•••• W•••••May 19, 2025 · RIA to a newly registered adviser
- C••••• J••• B•••••••• to T•••• W•••••May 19, 2025 · RIA to a newly registered adviser
- B•••••• T••••• G••••• to T•••• W•••••May 19, 2025 · RIA to a newly registered adviser
- J••• B•••••• B•••• to T•••• W•••••May 19, 2025 · RIA to RIA
Joined, latest
- A••••• N••••• A••••• from S••••• I•••••••••Mar 11, 2026 · RIA to RIA
- B•••••• T••••• G••••• from M•• I•••••••• S•••••••• L••May 4, 2019 · Affiliated broker-dealer or bank to independent RIA
- T•••••• C•••••• F••••• from M•• I•••••••• S•••••••• L••May 2, 2019 · Affiliated broker-dealer or bank to independent RIA
- C••••• J••• B•••••••• from M•• I•••••••• S•••••••• L••May 2, 2019 · Affiliated broker-dealer or bank to independent RIA
- J••• B•••••• B•••• from M•• I•••••••• S•••••••• L••May 2, 2019 · Affiliated broker-dealer or bank to independent RIA
- T••••• W••••••• S••••••• from I•••••••• A•••••••• L••Apr 26, 2016 · Other
- D•••••• W•••••• S•••••• from S••••••• F•••••••• S••••••• L••Apr 26, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for T•••• W•••••May 19, 2025 · C••••••••, Oh · Firm absorbed
- 4 joined from M•• I•••••••• S•••••••• L••May 1, 2019 · C••••••••, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• D••••••• W•••••• · Principal/Chief Compliance Officercontrolsince 10/2015 · owns 50% to 75%
- S•••••••• T•••••• W••••••• · Principalcontrolsince 10/2015 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| C••••••••, Oh · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 13, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $1,012,082,624 to $506,578,765, advisors 6 to 3, private clients 1267 to 396, offices 0 to 0 (2025-04-30 to 2026-03-13)peers: independent wealth managers, $500M to $1B (1,482)
- HNW share shift · filing Mar 13, 2026HNW share of RAUM moved from 28.0% to 67.0% between the annual amendments of 2025-04-30 and 2026-03-13peers: independent wealth managers, $500M to $1B (1,482)
- RAUM down 25 % · filing Mar 13, 2026RAUM (Item 5.F) moved from $1,012,082,624 to $506,578,765 (-50.0%) between the annual amendments of 2025-04-30 and 2026-03-13; the peer median change was +16.0% (1385 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 0.1% percentile
- account count collapse · filing Mar 13, 2026accounts (Item 5.F.2.f) moved from 3,284.0 to 1,047.0 (-68.0%) between the annual amendments of 2025-04-30 and 2026-03-13; the peer median change was +6.0% (1256 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 0.5% percentile
- advisor count drop · filing Mar 13, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 3.0 (-50.0%) between the annual amendments of 2025-04-30 and 2026-03-13; the peer median change was 0.0% (795 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $500M to $1B (795) · 0.9% percentile
- client count collapse · filing Mar 13, 2026individual and HNW clients (Item 5.D) moved from 1,267.0 to 396.0 (-69.0%) between the annual amendments of 2025-04-30 and 2026-03-13; the peer median change was +5.0% (1216 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 0.5% percentile
What changed
consecutive filings, newest first
- Employees · 6 to 7Mar 13, 2026 to Jul 2, 2026
- Advisory employees · 2 to 3Feb 26, 2026 to Mar 13, 2026
- Employees · 5 to 6Feb 26, 2026 to Mar 13, 2026
- State-registered IARs · 2 to 3Feb 26, 2026 to Mar 13, 2026
- Accounts · 3,284 to 1,047Nov 13, 2025 to Feb 26, 2026
- HNW clients · 328 to 131Nov 13, 2025 to Feb 26, 2026
- Individual clients · 939 to 265Nov 13, 2025 to Feb 26, 2026
- Assets in custody · $844M to $461MNov 13, 2025 to Feb 26, 2026
- Employees · 2 to 5Nov 13, 2025 to Feb 26, 2026
- Financial planning clients · More than 500 to 51-100Nov 13, 2025 to Feb 26, 2026
- Discretionary RAUM · $3.1M to $3.3MNov 13, 2025 to Feb 26, 2026
- HNW RAUM · $283M to $339MNov 13, 2025 to Feb 26, 2026
- Individual RAUM · $729M to $167MNov 13, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $1.0B to $503MNov 13, 2025 to Feb 26, 2026
- RAUM · $1.0B to $507MNov 13, 2025 to Feb 26, 2026
- Advisory employees · 6 to 2Apr 30, 2025 to May 19, 2025
- Employees · 6 to 2Apr 30, 2025 to May 19, 2025
- Financial planning clients · More than 500 to More than 500Apr 30, 2025 to May 19, 2025
- State-registered IARs · 6 to 2Apr 30, 2025 to May 19, 2025
- Employees · 15 to 6Feb 13, 2025 to Apr 30, 2025
- Accounts · 2,999 to 3,284Feb 8, 2024 to Feb 13, 2025
- HNW clients · 331 to 328Feb 8, 2024 to Feb 13, 2025
- Individual clients · 851 to 939Feb 8, 2024 to Feb 13, 2025
- Assets in custody · $691M to $844MFeb 8, 2024 to Feb 13, 2025
- Employees · 6 to 15Feb 8, 2024 to Feb 13, 2025
- Discretionary RAUM · $2.7M to $3.1MFeb 8, 2024 to Feb 13, 2025
- HNW RAUM · $292M to $283MFeb 8, 2024 to Feb 13, 2025
- Individual RAUM · $476M to $729MFeb 8, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $765M to $1.0BFeb 8, 2024 to Feb 13, 2025
- RAUM · $768M to $1.0BFeb 8, 2024 to Feb 13, 2025
- Accounts · 2,819 to 2,999Sep 22, 2023 to Feb 8, 2024
- HNW clients · 316 to 331Sep 22, 2023 to Feb 8, 2024
- Individual clients · 813 to 851Sep 22, 2023 to Feb 8, 2024
- Assets in custody · $514M to $691MSep 22, 2023 to Feb 8, 2024
- Discretionary RAUM · $2.6M to $2.7MSep 22, 2023 to Feb 8, 2024
- HNW RAUM · $224M to $292MSep 22, 2023 to Feb 8, 2024
- Individual RAUM · $365M to $476MSep 22, 2023 to Feb 8, 2024
- Non-discretionary RAUM · $586M to $765MSep 22, 2023 to Feb 8, 2024
- RAUM · $588M to $768MSep 22, 2023 to Feb 8, 2024
- Accounts · 2,602 to 2,819Feb 27, 2023 to Mar 20, 2023
Signals
12 dated events
- C•••••••• W•••••• L•• reported RAUM $506.6M, down 50% from $1.0B (2025-11-13 to 2026-02-26)Feb 26, 2026 · RAUM change · derived
- J••• B•••••• B•••• left C•••••••• W•••••• L•• for T•••• W••••• (registered 2025-06-17)May 19, 2025 · Advisor changed firm · fact
- T•••••• C•••••• F••••• left C•••••••• W•••••• L•• for T•••• W••••• (registered 2025-05-30)May 19, 2025 · Advisor changed firm · fact
- C••••• J••• B•••••••• left C•••••••• W•••••• L•• for T•••• W••••• (registered 2025-06-04)May 19, 2025 · Advisor changed firm · fact
- C•••••••• W•••••• L••'s advisors moved to T•••• W••••• (C••••••••, OH): 4 of 6 registered, on the same dayMay 19, 2025 · Firm absorbed (people side) · derived
- B•••••• T••••• G••••• left C•••••••• W•••••• L•• for T•••• W••••• (registered 2025-05-30)May 19, 2025 · Advisor changed firm · fact
- C•••••••• W•••••• L•• reported RAUM $1.0B, up 32% from $767.8M (2024-02-08 to 2025-02-13)Feb 13, 2025 · RAUM change · derived
- C•••••••• W•••••• L•• reported RAUM $767.8M, up 30% from $588.5M (2023-09-22 to 2024-02-08)Feb 8, 2024 · RAUM change · derived
- C•••••••• W•••••• L•• reported RAUM $625.1M, up 39% from $448.2M (2021-10-21 to 2022-01-19)Jan 19, 2022 · RAUM change · derived
- C•••••••• W•••••• L•• reported RAUM $448.2M, up 46% from $307.5M (2020-07-09 to 2021-02-02)Feb 2, 2021 · RAUM change · derived
- C•••••••• W•••••• L•• reported RAUM $307.5M, up 78% from $172.7M (2019-12-24 to 2020-02-13)Feb 13, 2020 · RAUM change · derived
- C•••••••• W•••••• L•• filed its initial SEC registration (Form ADV)Nov 12, 2019 · 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
- 216-810-5900reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/cleveland-wealth-llc./?viewAsMember=trureportedpublic record, Form ADV, Sep 18, 2026
- Website
- C••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (216) 810-5900reportedpublic record, Form ADV, Jul 2, 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
- $169Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026