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
Logix Investments LLC
Latest filing Aug 12, 2025
First filing on the tape Apr 19, 2017 · 29 filings
SEC status approved since May 8, 2017
RAUM
$100M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$100M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$100M as of Aug 12, 2025
Mar 14, 2018$137M then
HNW client RAUM$100M as of Aug 12, 2025
Mar 13, 2019$1.2M then
State-registered IARs (5.B.3)4 as of Aug 12, 2025
Mar 14, 20184 then
Employees (5.A)5 as of Aug 12, 2025
Mar 14, 20184 then
Private funds: no history
RAUM -73% over the last fiscal year+18% a year over threeIARs 0 to 4
Practice profile
derived from the filing of Aug 12, 2025; every figure names its basis
- RAUM per advisor
- $25.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $611,946derivedHNW RAUM over HNW clients
- Average account
- $631,190derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -73%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$100M100%
- Individual clients
- n/areported
- HNW clients
- 164reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 159reported
- Financial planning clients
- 0reported
- 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- Kenneth Ross Brodkowitz to Arax Advisory PartnersApr 29, 2026 · RIA to RIA
- Robert Joseph Herman to Arax Advisory PartnersApr 29, 2026 · RIA to RIA
- Steven Bennett Goode to Arax Advisory PartnersFeb 6, 2026 · RIA to RIA
- Brian Joseph Durkin to Arax Advisory PartnersFeb 6, 2026 · RIA to RIA
Joined, latest
- Brian Joseph Durkin from Gfp Private WealthJul 29, 2024 · RIA to RIA
- Steven Bennett Goode from Gfp Private WealthJul 18, 2024 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Brian Durkin · Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- Joseph Robert Herman · Chief Investment Officercontrolsince 08/2023 · owns less than 5%
- Hamilton Jeffrey Palmer · Directorcontrolsince 08/2023 · owns less than 5%
Entity owners
- Gries Financial LLC · Memberdirect · owns 75% or more
- Delta Dental Of Michigan · Managing Memberindirect · owns 75% or more of The 4100 Group
- Delta Dental Of Ohio · Managing Memberindirect · owns 25% to 50% of The 4100 Group
- The 4100 Group · Managing Memberindirect · owns 75% or more of Gries Financial LLC
Related persons
Schedule D 7.A
- Bull Harbor Capital LLC.investment advisernRAUM $355M
- Gfp Private Wealthinvestment adviseryRAUM $1.3B
- Red Cedar Investment Managementinvestment advisernRAUM $3.3B
Advisers that list Logix Investments LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mamoroneck, Ny | 0 | 0 | 1 | ||
| Sarasota, Fl | 0 | 0 | 1 | ||
| Marshfield, Ma | 0 | 0 | 1 | ||
| Cleveland Heights, Oh | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Cincinnati, OH1 employees
- Cleveland, OH1 employees
What changed
consecutive filings, newest first
- Accounts · 164 to 159Jul 28, 2025 to Aug 12, 2025
- Advisory employees · 4 to 3Jul 28, 2025 to Aug 12, 2025
- Employees · 6 to 5Jul 28, 2025 to Aug 12, 2025
- Insurance-licensed employees · 5 to 4Jul 28, 2025 to Aug 12, 2025
- Financial planning clients · 0 to 0Jul 28, 2025 to Aug 12, 2025
- State-registered IARs · 5 to 4Jul 28, 2025 to Aug 12, 2025
- Discretionary RAUM · $102M to $100MJul 28, 2025 to Aug 12, 2025
- HNW RAUM · $102M to $100MJul 28, 2025 to Aug 12, 2025
- RAUM · $102M to $100MJul 28, 2025 to Aug 12, 2025
- Advisory employees · 5 to 4Mar 28, 2025 to Jul 28, 2025
- Employees · 7 to 6Mar 28, 2025 to Jul 28, 2025
- Insurance-licensed employees · 6 to 5Mar 28, 2025 to Jul 28, 2025
- State-registered IARs · 6 to 5Mar 28, 2025 to Jul 28, 2025
- Accounts · 165 to 164Oct 31, 2024 to Mar 28, 2025
- HNW clients · 165 to 164Oct 31, 2024 to Mar 28, 2025
- Discretionary RAUM · $119M to $102MOct 31, 2024 to Mar 28, 2025
- HNW RAUM · $119M to $102MOct 31, 2024 to Mar 28, 2025
- RAUM · $119M to $102MOct 31, 2024 to Mar 28, 2025
- Accounts · 132 to 165Jul 31, 2024 to Oct 31, 2024
- HNW clients · 125 to 165Jul 31, 2024 to Oct 31, 2024
- Discretionary RAUM · $206M to $119MJul 31, 2024 to Oct 31, 2024
- HNW RAUM · $101M to $119MJul 31, 2024 to Oct 31, 2024
- RAUM · $206M to $119MJul 31, 2024 to Oct 31, 2024
- Advisory employees · 4 to 5Jul 11, 2024 to Jul 31, 2024
- Employees · 5 to 7Jul 11, 2024 to Jul 31, 2024
- Insurance-licensed employees · 0 to 6Jul 11, 2024 to Jul 31, 2024
- State-registered IARs · 0 to 6Jul 11, 2024 to Jul 31, 2024
- Non-discretionary RAUM · $170M to $0Jul 11, 2024 to Jul 31, 2024
- RAUM · $376M to $206MJul 11, 2024 to Jul 31, 2024
- Accounts · 50 to 132Oct 3, 2023 to Mar 25, 2024
- Advisory employees · 2 to 4Oct 3, 2023 to Mar 25, 2024
- HNW clients · 49 to 125Oct 3, 2023 to Mar 25, 2024
- Employees · 2 to 5Oct 3, 2023 to Mar 25, 2024
- Discretionary RAUM · $128M to $206MOct 3, 2023 to Mar 25, 2024
- HNW RAUM · $27.9M to $101MOct 3, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $174M to $170MOct 3, 2023 to Mar 25, 2024
- RAUM · $302M to $376MOct 3, 2023 to Mar 25, 2024
- Advisory activities · 3 to 2Mar 30, 2023 to Mar 31, 2023
- Accounts · 64 to 50Mar 24, 2023 to Mar 30, 2023
- Business name · DH LOGIX, LLC to LOGIX INVESTMENTS LLCMar 24, 2023 to Mar 30, 2023
Signals
21 dated events
- Logix Investments Llc no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $100.4M)May 1, 2026 · Left the SEC roster · derived
- Robert Joseph Herman left Logix Investments Llc for Arax Advisory Partners (registered 2026-05-03)Apr 29, 2026 · Advisor changed firm · fact
- Kenneth Ross Brodkowitz left Logix Investments Llc for Arax Advisory Partners (registered 2026-05-07)Apr 29, 2026 · Advisor changed firm · fact
- Steven Bennett Goode left Logix Investments Llc for Arax Advisory Partners (registered 2026-02-05)Feb 6, 2026 · Advisor changed firm · fact
- Brian Joseph Durkin left Logix Investments Llc for Arax Advisory Partners (registered 2026-02-04)Feb 6, 2026 · Advisor changed firm · fact
- Logix Investments Llc reported RAUM $205.9M, down 45% from $376.3M (2024-07-11 to 2024-07-31)Jul 31, 2024 · RAUM change · derived
- Andrew Constantine Pelos (Chief Compliance Officer) no longer on Schedule A of Logix Investments Llc (listed 2024-05-09, absent 2024-07-11)Jul 11, 2024 · Control person left · inference
- Joseph Brian Durkin (Chief Compliance Officer) appeared on Schedule A of Logix Investments LlcJul 11, 2024 · Control person joined · fact
- Joseph Robert Herman (Chief Investment Officer) appeared on Schedule A of Logix Investments LlcOct 3, 2023 · Control person joined · fact
- Hamilton Jeffrey Palmer (President And Ceo) appeared on Schedule A of Logix Investments LlcOct 3, 2023 · Control person joined · fact
- Logix Investments Llc reported RAUM $302.0M, up 399% from $60.5M (2023-03-24 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Roseann Higgins (Chief Compliance Officer) no longer on Schedule A of Logix Investments Llc (listed 2022-02-22, absent 2022-04-04)Apr 4, 2022 · Control person left · inference
- Dh Logix, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 4, 2021 · Succession (Item 4) · fact
- Roseann Higgins (Chief Compliance Officer) appeared on Schedule A of Logix Investments LlcOct 29, 2021 · Control person joined · fact
- Lewis Donald Hagan (Member) no longer on Schedule A of Logix Investments Llc (listed 2021-03-30, absent 2021-10-29)Oct 29, 2021 · Control person left · inference
- Stuart Arthur Day (Member) no longer on Schedule A of Logix Investments Llc (listed 2021-03-30, absent 2021-10-29)Oct 29, 2021 · Control person left · inference
- Susan Linda Brown (Chief Compliance Officer) no longer on Schedule A of Logix Investments Llc (listed 2021-03-30, absent 2021-10-29)Oct 29, 2021 · Control person left · inference
- Hamilton Jeffrey Palmer (Member) no longer on Schedule A of Logix Investments Llc (listed 2020-03-19, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Joseph Edward Bell (Member) no longer on Schedule A of Logix Investments Llc (listed 2020-03-19, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Joseph Robert Herman (Member) no longer on Schedule A of Logix Investments Llc (listed 2020-03-19, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Dh Logix, Llc filed its initial SEC registration (Form ADV)Apr 19, 2017 · 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