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
A••••••• F•••••••• C••••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Mar 6, 2019 · 20 filings
SEC status approved since Apr 4, 2019
RAUM
$547M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
51%
$280M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$91.2M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$547M as of Mar 5, 2026
Feb 5, 2020$139M then
HNW client RAUM$231M as of Mar 5, 2026
Feb 5, 2020$93.6M then
State-registered IARs (5.B.3)6 as of Mar 5, 2026
Feb 5, 20206 then
Employees (5.A)8 as of Mar 5, 2026
Feb 5, 20208 then
Private funds: no history
RAUM +7.6% over the last fiscal year+18% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $91.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $956,468derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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)
- 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 securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$267M49%
- High-net-worth individuals$231M42%
- Individuals$48.6M8.9%
- Individual clients
- 93reported
- HNW clients
- 83reported
- Pension plan clients
- 85reported
- Charitable clients
- 0reported
- Accounts
- 572reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.51 fund_share=0.0 institutional_share=0.49 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 |
|---|---|---|---|---|
| J••••• B•••••• T•••••••Certified Financial Planner | Beachwood, Oh | Jul 26, 2017 | 24 y | 2 |
| T••••• R••• Y••••• | Beachwood, Oh | Aug 3, 2017 | 10 y | 1 |
| J••••••• I•• G•••••••Chartered Financial Analyst | San Diego, Ca | Aug 7, 2017 | 14 y | 1 |
| R••••••• R•••• K•••••Certified Financial Planner | Beachwood, Oh | May 31, 2018 | 26 y | 3 |
| L••• T•••••• P•••••Chartered Financial Consultant | Mount Pleasant, Sc | Nov 8, 2018 | 10 y | 0 |
| M•••••• C••••••••• K•••••• | Beachwood, Oh | Sep 28, 2019 | 23 y | 5 |
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
- S••••••••• P••• D•••••• to L•• E••••••••• L••Feb 20, 2024 · RIA to a newly registered adviser
Joined, latest
- S••••••••• P••• D•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Mar 3, 2023 · Affiliated broker-dealer or bank to independent RIA
- M•••••• C••••••••• K•••••• from S•••••• W••••• A••••••• L••Sep 28, 2019 · RIA to RIA
- R••••••• R•••• K••••• from S•••••• W••••• P•••••••• L••May 31, 2018 · Other
- J••••••• I•• G••••••• from S•••••• W••••• P•••••••• L••Aug 7, 2017 · Other
- T••••• R••• Y••••• from S•••••• W••••• P•••••••• L••Aug 3, 2017 · Other
- J••••• B•••••• T••••••• from S•••••• W••••• P•••••••• L••Jul 26, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•••••• W••••• P•••••••• L••Jul 28, 2017 · Beachwood, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••••• J•••••• B•••••• · Managing Member & Chief Compliance Officercontrolsince 05/2013 · owns 75% or more
- G•••••••• J•••••••• I•• · Chief Investment Officersince 08/2017 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Beachwood, Oh · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 556 to 572Mar 7, 2025 to Mar 5, 2026
- HNW clients · 80 to 83Mar 7, 2025 to Mar 5, 2026
- Individual clients · 82 to 93Mar 7, 2025 to Mar 5, 2026
- Pension plan clients · 87 to 85Mar 7, 2025 to Mar 5, 2026
- Assets in custody · unset to 83656308.0Mar 7, 2025 to Mar 5, 2026
- Discretionary RAUM · $473M to $517MMar 7, 2025 to Mar 5, 2026
- HNW RAUM · $230M to $231MMar 7, 2025 to Mar 5, 2026
- Individual RAUM · $38.1M to $48.6MMar 7, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $35.1M to $30.3MMar 7, 2025 to Mar 5, 2026
- Pension RAUM · $241M to $267MMar 7, 2025 to Mar 5, 2026
- RAUM · $509M to $547MMar 7, 2025 to Mar 5, 2026
- Accounts · 512 to 556Mar 8, 2024 to Mar 7, 2025
- Advisory employees · 7 to 6Mar 8, 2024 to Mar 7, 2025
- HNW clients · 70 to 80Mar 8, 2024 to Mar 7, 2025
- Individual clients · 85 to 82Mar 8, 2024 to Mar 7, 2025
- Pension plan clients · 76 to 87Mar 8, 2024 to Mar 7, 2025
- Employees · 9 to 8Mar 8, 2024 to Mar 7, 2025
- Financial planning clients · 1-10 to 1-10Mar 8, 2024 to Mar 7, 2025
- State-registered IARs · 7 to 6Mar 8, 2024 to Mar 7, 2025
- Discretionary RAUM · $363M to $473MMar 8, 2024 to Mar 7, 2025
- HNW RAUM · $188M to $230MMar 8, 2024 to Mar 7, 2025
- Individual RAUM · $26.2M to $38.1MMar 8, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $40.7M to $35.1MMar 8, 2024 to Mar 7, 2025
- Pension RAUM · $190M to $241MMar 8, 2024 to Mar 7, 2025
- RAUM · $404M to $509MMar 8, 2024 to Mar 7, 2025
- Accounts · 458 to 512Mar 2, 2023 to Mar 8, 2024
- Advisory employees · 6 to 7Mar 2, 2023 to Mar 8, 2024
- HNW clients · 64 to 70Mar 2, 2023 to Mar 8, 2024
- Individual clients · 79 to 85Mar 2, 2023 to Mar 8, 2024
- Pension plan clients · 77 to 76Mar 2, 2023 to Mar 8, 2024
- Employees · 8 to 9Mar 2, 2023 to Mar 8, 2024
- Financial planning clients · 11-25 to 1-10Mar 2, 2023 to Mar 8, 2024
- State-registered IARs · 6 to 7Mar 2, 2023 to Mar 8, 2024
- Discretionary RAUM · $318M to $363MMar 2, 2023 to Mar 8, 2024
- HNW RAUM · $161M to $188MMar 2, 2023 to Mar 8, 2024
- Individual RAUM · $21.9M to $26.2MMar 2, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $18.9M to $40.7MMar 2, 2023 to Mar 8, 2024
- Pension RAUM · $154M to $190MMar 2, 2023 to Mar 8, 2024
- RAUM · $337M to $404MMar 2, 2023 to Mar 8, 2024
- Accounts · 432 to 458Mar 4, 2022 to Mar 2, 2023
Signals
4 dated events
- A••••••• F•••••••• C••••••••• L•• reported RAUM $508.5M, up 26% from $403.7M (2024-03-08 to 2025-03-07)Mar 7, 2025 · RAUM change · derived
- S••••••••• P••• D•••••• left A••••••• F•••••••• C••••••••• L•• for L•• E••••••••• L•• (registered 2025-03-03)Feb 20, 2024 · Advisor changed firm · fact
- A••••••• F•••••••• C••••••••• L•• reported RAUM $285.1M, up 105% from $139.4M (2021-01-19 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- A••••••• F•••••••• C••••••••• L•• filed its initial SEC registration (Form ADV)Mar 6, 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
- 440-359-3455reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 440-359-3466reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- A•••••••FC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 440-359-3468reportedpublic record, Form ADV, Mar 5, 2026
- Team page
- a•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $91.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026