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
A••• W••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 31, 2026 · 1 filings
RAUM
$58.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$53.5M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $19.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 182derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $104,951derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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 assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- yesreportedItem 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
- Individuals$40.7M69%
- High-net-worth individuals$12.8M22%
- Pension and profit-sharing plans$3.8M6.5%
- Corporations and businesses$1.4M2.4%
- Individual clients
- 536reported
- HNW clients
- 11reported
- Pension plan clients
- 11reported
- Charitable clients
- 0reported
- Accounts
- 559reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• J•••• F•••••• | Westlake, Oh | Mar 19, 2018 | 37 y | 5 |
| Z•••••••• J• S••••• | Westlake, Oh | Jun 24, 2020 | 13 y | 2 |
| W•••••• J••••• D•••••• | Westlake, Oh | Jan 31, 2023 | 17 y | 6 |
| J•••• E••••• E•••••••Certified Financial Planner | Westlake, Oh | Apr 16, 2026 | 39 y | 8 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- S••••• J• M•••••• to C••••• I••••••••• A••••••• L••Apr 21, 2026 · Other
- J•••• R••••• T•••••• to G•••• I••••••••• L••Mar 21, 2021 · Other
- R•••••• S•••• L••••• to W•••••••• W••••• M••••••••• L••Nov 3, 2020 · Other
- T••••••• J••• H••• to W•••••••• W••••• M••••••••• L••Nov 3, 2020 · Other
- M•••••• D• H••• to W•••••••• W••••• M••••••••• L••Nov 3, 2020 · Other
- J••••• F• R••••• to W•••••••• W••••• M••••••••• L••Nov 3, 2020 · Other
- C••••• W••••• L•••••• to W•••••••• W••••• M••••••••• L••Sep 10, 2020 · Other
- F•••••••• J••••• K•••••••• to W•••••••• W••••• M••••••••• L••Aug 18, 2020 · Other
- D•••• E••• H•••••••• to W•••••••• W••••• M••••••••• L••Aug 17, 2020 · Other
- H••••• J••••• G•••• to G•••• I••••••••• L••Jul 31, 2020 · Other
Joined, latest
- J•••• E••••• E••••••• from G••••••• A•••••••• L••Apr 16, 2026 · RIA to a state-registered adviser
- S••••• J• M•••••• from E•• F•••••••• A•••••••Nov 19, 2024 · RIA to a state-registered adviser
- W•••••• J••••• D•••••• from O•• P•••••••Jan 31, 2023 · RIA to a state-registered adviser
- Z•••••••• J• S••••• from O••••••••• S••••••••• I•••Jun 24, 2020 · Affiliated broker-dealer or bank to a state-registered adviser
- R•••••• S•••• L••••• from M•• I•••••••• S•••••••• L••Jan 10, 2020 · Affiliated broker-dealer or bank to a state-registered adviser
- T••••••• J••• H••• from C••••• A•••••• N••••••• L••Sep 13, 2019 · Affiliated broker-dealer or bank to a state-registered adviser
- M•••••• D• H••• from C••••• A•••••• N••••••• L••Sep 12, 2019 · Affiliated broker-dealer or bank to a state-registered adviser
- D•••• E••• H•••••••• from C••••• A•••••• N••••••• L••Sep 11, 2019 · Affiliated broker-dealer or bank to a state-registered adviser
- C••••• W••••• L•••••• from C••••• A•••••• N••••••• L••Sep 11, 2019 · Affiliated broker-dealer or bank to a state-registered adviser
- J••••• F• R••••• from C••••• A•••••• N••••••• L••Sep 11, 2019 · Affiliated broker-dealer or bank to a state-registered adviser
- A••••• J•••• F•••••• from S•••••••• W••••• M••••••••• I•••Mar 19, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for W•••••••• W••••• M••••••••• L••Nov 3, 2020 · Westlake, Oh · Firm absorbed
- 2 left for W•••••••• W••••• M••••••••• L••Aug 17, 2020 · Berea, Oh
- 4 joined from C••••• A•••••• N••••••• L••Sep 13, 2019 · Berea, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Westlake, Oh · principal | 4 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- S••••• J• M•••••• left A••• W••••• M••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2026-08-11)Apr 21, 2026 · a•••••• firm change · 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
- Firm profile
- linkedin.com/company/a-&-m-financial-group-inc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- amfinancialgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (440) 249-0397reportedpublic record, Form ADV, Mar 31, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026