DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Latest filing Mar 11, 2026
First filing on the tape May 16, 2018 · 15 filings
SEC status approved since Jun 13, 2018
RAUM
$188M
reported, Item 5.F
Discretionary
27%
of RAUM
Private clients
5.5%
$10.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$94.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$188M as of Mar 11, 2026
Mar 8, 2019$146M then
HNW client RAUM$10.3M as of Mar 11, 2026
Mar 8, 2019$5.9M then
State-registered IARs (5.B.3)2 as of Mar 11, 2026
Mar 8, 20192 then
Employees (5.A)2 as of Mar 11, 2026
Mar 8, 20192 then
Private funds: no history
RAUM +3.6% over the last fiscal year+6.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $94.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $794,040derivedHNW RAUM over HNW clients
- Average account
- $8.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 27%derivedof RAUM
- Institutional
- 95%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.3%derived
- 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
- State and municipal entities$178M95%
- High-net-worth individuals$10.3M5.5%
- Individual clients
- 0reported
- HNW clients
- 13reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 23reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.05 fund_share=0.0 institutional_share=0.95 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• J• K••••••••• | Ottawa Hills, Oh | Aug 24, 2018 | 20 y | 0 |
| W•••••• J••••• K••••••••• | Ottawa Hills, Oh | Oct 2, 2018 | 26 y | 0 |
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
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••••• W••••••• J••••• · President And Director Of Sales And Tradingcontrolsince 06/2017 · owns less than 5%
- K••••••••• J•••••••• J• · Chief Compliance Officersince 07/2017 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Ottawa Hills, Oh | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 22 to 23Mar 25, 2025 to Mar 11, 2026
- Corporate clients · 11 to 10Mar 25, 2025 to Mar 11, 2026
- HNW clients · 12 to 13Mar 25, 2025 to Mar 11, 2026
- Discretionary RAUM · $47.2M to $50.3MMar 25, 2025 to Mar 11, 2026
- HNW RAUM · $9.7M to $10.3MMar 25, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $134M to $138MMar 25, 2025 to Mar 11, 2026
- RAUM · $181M to $188MMar 25, 2025 to Mar 11, 2026
- Accounts · 26 to 22Mar 29, 2024 to Mar 25, 2025
- Corporate clients · 15 to 11Mar 29, 2024 to Mar 25, 2025
- HNW clients · 11 to 12Mar 29, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 25, 2025
- HQ city · unset to Mar 29, 2024 to Mar 25, 2025
- HQ state · unset to Mar 29, 2024 to Mar 25, 2025
- Discretionary RAUM · $10.2M to $47.2MMar 29, 2024 to Mar 25, 2025
- HNW RAUM · $9.0M to $9.7MMar 29, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $156M to $134MMar 29, 2024 to Mar 25, 2025
- RAUM · $167M to $181MMar 29, 2024 to Mar 25, 2025
- Accounts · 21 to 26Mar 27, 2023 to Mar 29, 2024
- Corporate clients · 12 to 15Mar 27, 2023 to Mar 29, 2024
- HNW clients · 9 to 11Mar 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $43.5M to $10.2MMar 27, 2023 to Mar 29, 2024
- HNW RAUM · $8.8M to $9.0MMar 27, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $113M to $156MMar 27, 2023 to Mar 29, 2024
- RAUM · $156M to $167MMar 27, 2023 to Mar 29, 2024
- Corporate clients · 14 to 12Feb 10, 2022 to Mar 27, 2023
- HNW clients · 7 to 9Feb 10, 2022 to Mar 27, 2023
- Discretionary RAUM · $61.9M to $43.5MFeb 10, 2022 to Mar 27, 2023
- HNW RAUM · $7.8M to $8.8MFeb 10, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $119M to $113MFeb 10, 2022 to Mar 27, 2023
- RAUM · $181M to $156MFeb 10, 2022 to Mar 27, 2023
- Accounts · 19 to 21Jan 14, 2021 to Feb 10, 2022
- Corporate clients · 13 to 14Jan 14, 2021 to Feb 10, 2022
- HNW clients · 4 to 7Jan 14, 2021 to Feb 10, 2022
- Discretionary RAUM · $57.0M to $61.9MJan 14, 2021 to Feb 10, 2022
- HNW RAUM · $6.3M to $7.8MJan 14, 2021 to Feb 10, 2022
- Non-discretionary RAUM · $113M to $119MJan 14, 2021 to Feb 10, 2022
- RAUM · $169M to $181MJan 14, 2021 to Feb 10, 2022
- Corporate clients · 15 to 13Jan 6, 2021 to Jan 7, 2021
- HNW clients · unset to 4.0Jan 6, 2021 to Jan 7, 2021
- Discretionary RAUM · $53.2M to $57.0MJan 6, 2021 to Jan 7, 2021
Signals
1 dated events
- T•• W••••••••• G••••• L•• filed its initial SEC registration (Form ADV)May 16, 2018 · 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
- Principal office phone
- 419 290 0167reportedpublic record, Form ADV, Mar 11, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $94.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026