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
N••••••••• L••
Latest filing Jul 9, 2026
First filing on the tape Apr 27, 2022 · 16 filings
SEC status approved since May 27, 2022
RAUM
$205M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$205M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$68.3M
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$205M as of Jul 9, 2026
Mar 20, 2023$119M then
HNW client RAUM$189M as of Jul 9, 2026
Mar 20, 2023$94.5M then
State-registered IARs (5.B.3)3 as of Jul 9, 2026
Mar 20, 20233 then
Employees (5.A)9 as of Jul 9, 2026
Mar 20, 20236 then
Private funds: no history
RAUM +24% over the last fiscal year+20% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $68.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $321,077derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $101M, 96 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$189M92%
- Individuals$15.6M7.6%
- Individual clients
- 68reported
- HNW clients
- 70reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 638reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $101M for 96 clientsreported
- Compensation
- fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• M•••• P••••• | Columbus, Oh | Dec 13, 2022 | 10 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 headcount1 left over 36 months
Left, latest
- J•••• P••••• M••••• to K••••• • N••••• F••••• W•••••May 22, 2025 · RIA to RIA
- B••••• A••• K•••• to T••••••• P••• F•••••••• P•••••••Jul 22, 2022 · RIA to a state-registered adviser
- C••••••• E•••••••• F••••••••• to T••••• I•••Oct 14, 2021 · RIA to a state-registered adviser
- J•••• C••••••• M••••••• to M••••••• F•••••••• P••••••• L••Sep 2, 2021 · Other
- T•••••• J••••• B•••••• to K••••• • N••••• F••••• W•••••Aug 19, 2020 · RIA to RIA
Joined, latest
- J•••• P••••• M••••• from T•• J••••• G•••• C•••••• M•••••••••Apr 18, 2025 · RIA to RIA
- B••••• A••• K•••• from P•••••••• F•••••••• P•••••••• I•••Jan 19, 2022 · Other
- J•••• C••••••• M••••••• from R••••••••• W•••••Sep 30, 2020 · RIA to RIA
- T•••••• J••••• B•••••• from P••••••••• F••••••••• L••Feb 4, 2019 · Other
- K•••••• E•••••••• M••••••••• from P••••••••• F••••••••• L••Dec 3, 2018 · Other
- C••••••• E•••••••• F••••••••• from P••••••••• F••••••••• L••Nov 29, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from P••••••••• F••••••••• L••Jan 2, 2019 · Columbus, Oh · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• M••••••••• E•••••••• · Managing Member And Chief Compliance Officercontrolsince 04/2018 · 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 |
|---|---|---|---|---|---|
| Columbus, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 585 to 638Jun 13, 2025 to Mar 17, 2026
- HNW clients · 67 to 70Jun 13, 2025 to Mar 17, 2026
- Individual clients · 72 to 68Jun 13, 2025 to Mar 17, 2026
- Assets in custody · $76.1M to $101MJun 13, 2025 to Mar 17, 2026
- Employees · 6 to 9Jun 13, 2025 to Mar 17, 2026
- Discretionary RAUM · $165M to $205MJun 13, 2025 to Mar 17, 2026
- HNW RAUM · $149M to $189MJun 13, 2025 to Mar 17, 2026
- Individual RAUM · $16.3M to $15.6MJun 13, 2025 to Mar 17, 2026
- RAUM · $165M to $205MJun 13, 2025 to Mar 17, 2026
- Employees · 7 to 6May 14, 2025 to Jun 13, 2025
- Financial planning clients · 101-250 to 101-250May 14, 2025 to Jun 13, 2025
- State-registered IARs · 4 to 3May 14, 2025 to Jun 13, 2025
- Advisory employees · 2 to 3Mar 18, 2025 to May 14, 2025
- Employees · 6 to 7Mar 18, 2025 to May 14, 2025
- State-registered IARs · 3 to 4Mar 18, 2025 to May 14, 2025
- Accounts · 516 to 585Jan 23, 2025 to Mar 18, 2025
- Advisory employees · 3 to 2Jan 23, 2025 to Mar 18, 2025
- HNW clients · 58 to 67Jan 23, 2025 to Mar 18, 2025
- Individual clients · 60 to 72Jan 23, 2025 to Mar 18, 2025
- Assets in custody · $71.0M to $76.1MJan 23, 2025 to Mar 18, 2025
- Employees · 7 to 6Jan 23, 2025 to Mar 18, 2025
- Discretionary RAUM · $141M to $165MJan 23, 2025 to Mar 18, 2025
- HNW RAUM · $123M to $149MJan 23, 2025 to Mar 18, 2025
- Individual RAUM · $17.6M to $16.3MJan 23, 2025 to Mar 18, 2025
- RAUM · $141M to $165MJan 23, 2025 to Mar 18, 2025
- Accounts · 521 to 516Jan 5, 2024 to Mar 4, 2024
- HNW clients · 44 to 58Jan 5, 2024 to Mar 4, 2024
- Individual clients · 69 to 60Jan 5, 2024 to Mar 4, 2024
- Assets in custody · $47.6M to $71.0MJan 5, 2024 to Mar 4, 2024
- Employees · 6 to 7Jan 5, 2024 to Mar 4, 2024
- Discretionary RAUM · $119M to $141MJan 5, 2024 to Mar 4, 2024
- HNW RAUM · $94.5M to $123MJan 5, 2024 to Mar 4, 2024
- Individual RAUM · $24.9M to $17.6MJan 5, 2024 to Mar 4, 2024
- RAUM · $119M to $141MJan 5, 2024 to Mar 4, 2024
- Employees · 3 to 6Dec 21, 2022 to Mar 20, 2023
- Accounts · 437 to 521Dec 21, 2022 to Mar 20, 2023
- HNW clients · 49 to 44Dec 21, 2022 to Mar 20, 2023
- Individual clients · 32 to 69Dec 21, 2022 to Mar 20, 2023
- Assets in custody · $90.9M to $47.6MDec 21, 2022 to Mar 20, 2023
- Discretionary RAUM · $119M to $119MDec 21, 2022 to Mar 20, 2023
Signals
3 dated events
- J•••• P••••• M••••• left N••••••••• L•• for K••••• • N••••• F••••• W••••• (registered 2025-07-02)May 22, 2025 · Advisor changed firm · fact
- B••••• A••• K•••• left N••••••••• L•• for T••••••• P••• F•••••••• P••••••• (registered 2022-07-06)Jul 22, 2022 · Advisor changed firm · fact
- N••••••••• L•• filed its initial SEC registration (Form ADV)Apr 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 email
- info@northavenuefa.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-210-3948reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-798-1523reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/northavenue-llc/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- northavenuefa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 614-210-3948reportedpublic record, Form ADV, Jul 9, 2026
- Contact form
- northavenuefa.com/contactreportedpublished 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
- $68.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026