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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SEC-registered adviser
R••••••• W••••• A•••••••
Legal name R••••••• W•••••• L••
Latest filing May 29, 2026
First filing on the tape Sep 27, 2022 · 24 filings
SEC status approved since Oct 27, 2022
RAUM
$676M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$670M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$84.6M
derived; firm RAUM over IAPD count
Employees
15
8 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$676M as of May 29, 2026
Mar 31, 2023$123M then
HNW client RAUM$384M as of May 29, 2026
Mar 31, 2023$90.3M then
State-registered IARs (5.B.3)8 as of May 29, 2026
Mar 31, 20234 then
Employees (5.A)15 as of May 29, 2026
Mar 31, 20236 then
Private funds: no history
RAUM +19% over the last fiscal year+76% a year over threeIARs 8 to 8offices 5 to 3
Practice profile
derived from the filing of May 29, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $84.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 202derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $225,176derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 2.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +24%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminars, otherreportedItem 5.G
- Wrap fee program
- $453MreportedItem 5.I
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$384M57%
- Individuals$286M42%
- Corporations and businesses$5.7M0.8%
- Charitable organizations$911,6370.1%
- Individual clients
- 1,364reported
- HNW clients
- 248reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 3,004reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• J••• K•••••Certified Financial Planner | Fairview Park, Oh | Jul 10, 2018 | 31 y | 2 |
| A••• R•••••• S•••••••• | Fairview Park, Oh | Jul 10, 2018 | 17 y | 3 |
| M•••••• A•••• C••••• | Cincinnati, Oh | Apr 8, 2022 | 26 y | 6 |
| M•••••• R• G•••• | Fairview Park, Oh | Sep 19, 2023 | 13 y | 0 |
| B•••• P•••••• E•••• | Okatie, Sc | Jan 10, 2024 | 28 y | 1 |
| T••••• V•••••••• D••••Certified Financial Planner, Personal Financial Specialist | Fairview Park, Oh | Jun 26, 2024 | 18 y | 3 |
| A••••• N••••• S•••• | Boardman, Oh | Jan 9, 2026 | 17 y | 0 |
| J••••• D• S•••••Certified Financial Planner | Fairview Park, Oh | Mar 16, 2026 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- C•••••• D•••• D•••••••• to W•••••• M••• • A••••••••• I••May 30, 2025 · RIA to RIA
- Z•••••• W•••••• E•••• to E•••••• F•••••••• E••••••May 28, 2025 · RIA to RIA
Joined, latest
- J••••• D• S••••• from J•• W••••• A•••••••• L••Mar 16, 2026 · RIA to RIA
- T••••• V•••••••• D•••• from S•• C•••• A•••••••• L••Jun 26, 2024 · RIA to RIA
- B•••• P•••••• E•••• from T•• J• A••••• W••••• M••••••••• C••• L••Jan 10, 2024 · RIA to RIA
- M•••••• A•••• C••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Apr 8, 2022 · Affiliated broker-dealer or bank to independent RIA
- A••• R•••••• S•••••••• from C••••• A••••••• L••Jul 10, 2018 · Affiliated broker-dealer or bank to independent RIA
- J••••• J••• K••••• from C••••• A••••••• L••Jul 10, 2018 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••••• A••••••• L••Jan 28, 2021 · Fairview Park, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• J•••••• J••• · Membercontrolsince 05/2018 · owns less than 5%
- S••••••••• A•••• R•••••• · Managing Membercontrolsince 05/2018 · owns less than 5%
- K•••••• J•••••• J••• · Ownercontrolsince 05/2012 · owns 75% or more of J•• F••••••••• I•••
- S••••••••• A•••• R•••••• · Ownercontrolsince 10/2018 · owns 75% or more of A•• C••••••• I•••
- D••••••••• C••••••• D•••• · Chief Compliance Officersince 01/2021 · owns less than 5%
Entity owners
- A•• C••••••• I••• · Ownerdirect · owns 50% to 75%
- J•• F••••••••• I••• · Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- T•• J• A••••• W••••• M••••••••• C••• L••investment advisernRAUM $255M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fairview Park, Oh · principal | 8 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Youngstown, OH1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- office count dropChange between filings · filing Mar 23, 2026offices other than the principal office (Item 1.F.5) moved from 5.0 to 3.0 (-40.0%) between the annual amendments of 2025-03-27 and 2026-03-23; the peer median change was 0.0% (233 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $500M to $1B (233) · 4.3% percentile
What changed
consecutive filings, newest first
- Accounts · 2,748 to 3,004Feb 24, 2026 to Mar 23, 2026
- Charity clients · 3 to 2Feb 24, 2026 to Mar 23, 2026
- HNW clients · 221 to 248Feb 24, 2026 to Mar 23, 2026
- Individual clients · 1,079 to 1,364Feb 24, 2026 to Mar 23, 2026
- Other offices · 4 to 3Feb 24, 2026 to Mar 23, 2026
- Discretionary RAUM · $569M to $676MFeb 24, 2026 to Mar 23, 2026
- HNW RAUM · $316M to $384MFeb 24, 2026 to Mar 23, 2026
- Individual RAUM · $247M to $286MFeb 24, 2026 to Mar 23, 2026
- RAUM · $569M to $676MFeb 24, 2026 to Mar 23, 2026
- Wrap assets (sponsor) · $440M to $0Feb 24, 2026 to Mar 23, 2026
- Other offices · 5 to 4Mar 27, 2025 to Oct 14, 2025
- Related adviser · true to falseMar 27, 2025 to Oct 14, 2025
- Wrap assets (sponsor) · $0 to $440MMar 27, 2025 to Oct 14, 2025
- Accounts · 2,597 to 2,748Sep 6, 2024 to Mar 27, 2025
- Advisory employees · 9 to 8Sep 6, 2024 to Mar 27, 2025
- Charity clients · 4 to 3Sep 6, 2024 to Mar 27, 2025
- Corporate clients · 11 to 9Sep 6, 2024 to Mar 27, 2025
- HNW clients · 222 to 221Sep 6, 2024 to Mar 27, 2025
- Individual clients · 1,077 to 1,079Sep 6, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Sep 6, 2024 to Mar 27, 2025
- State-registered IARs · 9 to 8Sep 6, 2024 to Mar 27, 2025
- Discretionary RAUM · $514M to $569MSep 6, 2024 to Mar 27, 2025
- HNW RAUM · $289M to $316MSep 6, 2024 to Mar 27, 2025
- Individual RAUM · $219M to $247MSep 6, 2024 to Mar 27, 2025
- RAUM · $514M to $569MSep 6, 2024 to Mar 27, 2025
- Employees · 9 to 15Sep 5, 2024 to Sep 6, 2024
- Insurance-licensed employees · 2 to 0Sep 5, 2024 to Sep 6, 2024
- State-registered IARs · 7 to 9Sep 5, 2024 to Sep 6, 2024
- Accounts · 503 to 2,597Sep 4, 2024 to Sep 5, 2024
- Charity clients · unset to 4.0Sep 4, 2024 to Sep 5, 2024
- Corporate clients · unset to 11.0Sep 4, 2024 to Sep 5, 2024
- HNW clients · 86 to 222Sep 4, 2024 to Sep 5, 2024
- Individual clients · 171 to 1,077Sep 4, 2024 to Sep 5, 2024
- Discretionary RAUM · $144M to $514MSep 4, 2024 to Sep 5, 2024
- HNW RAUM · $109M to $289MSep 4, 2024 to Sep 5, 2024
- Individual RAUM · $34.3M to $219MSep 4, 2024 to Sep 5, 2024
- RAUM · $144M to $514MSep 4, 2024 to Sep 5, 2024
- Accounts · 467 to 503Feb 13, 2024 to Mar 29, 2024
- HNW clients · 88 to 86Feb 13, 2024 to Mar 29, 2024
- Individual clients · 165 to 171Feb 13, 2024 to Mar 29, 2024
Signals
4 dated events
- C•••••• D•••• D•••••••• left R••••••• W••••• A••••••• for W•••••• M••• • A••••••••• I•• (registered 2025-01-01)May 30, 2025 · Advisor changed firm · fact
- Z•••••• W•••••• E•••• left R••••••• W••••• A••••••• for E•••••• F•••••••• E•••••• (registered 2025-06-23)May 28, 2025 · Advisor changed firm · fact
- R••••••• W••••• A••••••• reported RAUM $513.7M, up 257% from $143.7M (2024-09-04 to 2024-09-05)Sep 5, 2024 · RAUM change · derived
- R••••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Sep 27, 2022 · 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
- Business phone
- 216-226-4560reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 330-965-9890reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/rockportwealthadvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- jarnoldwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (216) 226-4560reportedpublic record, Form ADV, May 29, 2026
- Contact form
- rockportwealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- rockportwealth.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $84.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026