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SEC-registered adviser

S•••• A•••• M••••••••• L••

Independent wealth managerPepper Pike, OhioCRD 288889SEC 801-136990websiteIAPD
Latest filing Sep 10, 2026
First filing on the tape Jul 1, 2026 · 2 filings
SEC status approved since Aug 5, 2026
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$113M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$127M as of Sep 10, 2026
Jul 1, 2026$127M then
HNW client RAUM$82.8M as of Sep 10, 2026
Jul 1, 2026$82.8M then
State-registered IARs (5.B.3)1 as of Sep 10, 2026
Jul 1, 20261 then
Employees (5.A)2 as of Sep 10, 2026
Jul 1, 20262 then
Private funds: no history
Practice profile
derived from the filing of Sep 10, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$127MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
143derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$338,668derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 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)
  • 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$82.8M65%
  • Individuals$30.6M24%
  • Charitable organizations$14.0M11%
Individual clients
111reported
HNW clients
32reported
Pension plan clients
n/areported
Charitable clients
4reported
Accounts
376reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M•••••• J••• W•••••Pepper Pike, OhJun 15, 201729 y4
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W•••••• M••••••• J••• · Managing Membercontrol
      since 04/2017 · owns 75% or more
    • H•••••••• C•••••• M•••• · Chief Compliance Officer
      since 03/2023 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · to unset
      Jul 1, 2026 to Sep 10, 2026
    • Related adviser · false to unset
      Jul 1, 2026 to Sep 10, 2026
    • Related bank · false to unset
      Jul 1, 2026 to Sep 10, 2026
    • Related broker-dealer · false to unset
      Jul 1, 2026 to Sep 10, 2026
    • Related insurance company · false to unset
      Jul 1, 2026 to Sep 10, 2026
    • Succession · false to unset
      Jul 1, 2026 to Sep 10, 2026
    Signals
    No event on the tape.
    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
    216-245-6620reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    216-245-6622reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    216-245-6627reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
    Principal office phone
    216-245-6622reportedpublic record, Form ADV, Sep 10, 2026
    Contact form
    s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
    $127Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026