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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Former SEC-registered adviser
W•••• T•••••• F•••••••• G••••• L••
Latest filing Mar 17, 2025
First filing on the tape Nov 9, 2017 · 18 filings
SEC status approved since Dec 8, 2017
RAUM
$533M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$484M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$533M as of Mar 17, 2025
Mar 28, 2018$306M then
HNW client RAUM$414M as of Mar 17, 2025
Mar 28, 2018$218M then
State-registered IARs (5.B.3)4 as of Mar 17, 2025
Mar 28, 20183 then
Employees (5.A)6 as of Mar 17, 2025
Mar 28, 20185 then
Private funds: no history
RAUM +10% over the last fiscal year+3.7% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 17, 2025; every figure names its basis
- RAUM per advisor
- $133MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $428,727derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $6.4M, 8 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)
- 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$414M78%
- Individuals$69.7M13%
- Charitable organizations$47.2M8.8%
- Pension and profit-sharing plans$1.9M0.4%
- Individual clients
- 179reported
- HNW clients
- 119reported
- Pension plan clients
- n/areported
- Charitable clients
- 12reported
- Accounts
- 1,244reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.4M for 8 clientsreported
- 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 days5 left over 36 months
Left, latest
- S••••• J••••• T•••••• to C••• L••Dec 31, 2025 · RIA to affiliated broker-dealer or bank
- D•••••• E•••••• W•••• to C••• L••Dec 31, 2025 · RIA to affiliated broker-dealer or bank
- R•••• E••••• T•••••• to C••• L••Dec 31, 2025 · RIA to affiliated broker-dealer or bank
- C••••••••• C• W•••••• to C••• L••Dec 31, 2025 · RIA to affiliated broker-dealer or bank
- A•••••••• L• N••• to M••••• S••••••Oct 31, 2023 · RIA to wirehouse
Joined, latest
- A•••••••• L• N••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 29, 2021 · Wirehouse to independent RIA
- D•••••• E•••••• W•••• from S• A•••••••• L••Jan 4, 2019 · Affiliated broker-dealer or bank to independent RIA
- R•••• E••••• T•••••• from S• A•••••••• L••Dec 22, 2017 · Other
- C••••••••• C• W•••••• from S• A•••••••• L••Dec 22, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••• R••••• E••••• · Membercontrolsince 11/2017 · owns 25% to 50%
- W••••••• C••••••••• C• · Member And Chief Compliance Officercontrolsince 11/2017 · owns 10% to 25%
- W••••• D••••••• E•••••• · Membercontrolsince 11/2017 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Akron, Oh · principal | 0 | 0 | 4 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,189 to 1,244Mar 21, 2024 to Mar 17, 2025
- Charity clients · 14 to 12Mar 21, 2024 to Mar 17, 2025
- HNW clients · 112 to 119Mar 21, 2024 to Mar 17, 2025
- Individual clients · 187 to 179Mar 21, 2024 to Mar 17, 2025
- Assets in custody · $3.6M to $6.4MMar 21, 2024 to Mar 17, 2025
- Financial planning clients · 26-50 to 26-50Mar 21, 2024 to Mar 17, 2025
- Discretionary RAUM · $483M to $533MMar 21, 2024 to Mar 17, 2025
- HNW RAUM · $365M to $414MMar 21, 2024 to Mar 17, 2025
- Individual RAUM · $73.8M to $69.7MMar 21, 2024 to Mar 17, 2025
- Pension RAUM · $1.6M to $1.9MMar 21, 2024 to Mar 17, 2025
- RAUM · $483M to $533MMar 21, 2024 to Mar 17, 2025
- Accounts · 1,165 to 1,189Oct 31, 2023 to Mar 21, 2024
- BD registered reps · 6 to 5Oct 31, 2023 to Mar 21, 2024
- Charity clients · 15 to 14Oct 31, 2023 to Mar 21, 2024
- HNW clients · 98 to 112Oct 31, 2023 to Mar 21, 2024
- Individual clients · 188 to 187Oct 31, 2023 to Mar 21, 2024
- Assets in custody · $5.8M to $3.6MOct 31, 2023 to Mar 21, 2024
- Employees · 7 to 6Oct 31, 2023 to Mar 21, 2024
- Financial planning clients · 51-100 to 26-50Oct 31, 2023 to Mar 21, 2024
- Other offices · 0 to 1Oct 31, 2023 to Mar 21, 2024
- Discretionary RAUM · $425M to $483MOct 31, 2023 to Mar 21, 2024
- HNW RAUM · $311M to $365MOct 31, 2023 to Mar 21, 2024
- Individual RAUM · $75.0M to $73.8MOct 31, 2023 to Mar 21, 2024
- Pension RAUM · $1.2M to $1.6MOct 31, 2023 to Mar 21, 2024
- RAUM · $425M to $483MOct 31, 2023 to Mar 21, 2024
- Accounts · 1,099 to 1,165Jan 6, 2023 to Mar 7, 2023
- Advisory activities · 4 to 5Jan 6, 2023 to Mar 7, 2023
- Charity clients · 13 to 15Jan 6, 2023 to Mar 7, 2023
- HNW clients · 114 to 98Jan 6, 2023 to Mar 7, 2023
- Individual clients · 163 to 188Jan 6, 2023 to Mar 7, 2023
- Assets in custody · $5.3M to $5.8MJan 6, 2023 to Mar 7, 2023
- Financial planning clients · 26-50 to 51-100Jan 6, 2023 to Mar 7, 2023
- Discretionary RAUM · $478M to $425MJan 6, 2023 to Mar 7, 2023
- HNW RAUM · $391M to $311MJan 6, 2023 to Mar 7, 2023
- Individual RAUM · $63.0M to $75.0MJan 6, 2023 to Mar 7, 2023
- Pension RAUM · $1.3M to $1.2MJan 6, 2023 to Mar 7, 2023
- RAUM · $478M to $425MJan 6, 2023 to Mar 7, 2023
- Accounts · 1,046 to 1,099May 28, 2021 to Mar 22, 2022
- Advisory employees · 3 to 4May 28, 2021 to Mar 22, 2022
- BD registered reps · 5 to 6May 28, 2021 to Mar 22, 2022
Signals
8 dated events
- W•••• T•••••• F•••••••• G••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $533.3M)Jan 2, 2026 · Left the SEC roster · derived
- S••••• J••••• T•••••• left W•••• T•••••• F•••••••• G••••• L•• for C••• L•• (registered 2025-09-17)Dec 31, 2025 · Advisor changed firm · fact
- C••••••••• C• W•••••• left W•••• T•••••• F•••••••• G••••• L•• for C••• L•• (registered 2025-09-17)Dec 31, 2025 · Advisor changed firm · fact
- D•••••• E•••••• W•••• left W•••• T•••••• F•••••••• G••••• L•• for C••• L•• (registered 2025-09-17)Dec 31, 2025 · Advisor changed firm · fact
- R•••• E••••• T•••••• left W•••• T•••••• F•••••••• G••••• L•• for C••• L•• (registered 2025-09-17)Dec 31, 2025 · Advisor changed firm · fact
- W•••• T•••••• F•••••••• G••••• L••'s advisors moved to C••• L•• (Akron, OH): 4 of 4 registered, on the same dayDec 31, 2025 · Firm absorbed (people side) · derived
- A•••••••• L• N••• left W•••• T•••••• F•••••••• G••••• L•• for M••••• S•••••• (registered 2023-11-17)Oct 31, 2023 · Advisor changed firm · fact
- S•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 9, 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