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
B••• S•••••• W••••• M•••••••••
Legal name B••• S•••••• W••••• M••••••••• I•••
Latest filing Mar 11, 2026
First filing on the tape Mar 17, 2023 · 12 filings
SEC status approved since Apr 17, 2023
RAUM
$282M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$282M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$56.3M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$282M as of Mar 11, 2026
Mar 15, 2024$162M then
HNW client RAUM$138M as of Mar 11, 2026
Mar 15, 2024$73.8M then
State-registered IARs (5.B.3)5 as of Mar 11, 2026
Mar 15, 20245 then
Employees (5.A)6 as of Mar 11, 2026
Mar 15, 20246 then
Private funds: no history
RAUM +40% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Mar 11, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $56.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 141derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $204,491derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $282MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$144M51%
- High-net-worth individuals$138M49%
- Individual clients
- 617reported
- HNW clients
- 89reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,377reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• E••••• L••••••• | Wadsworth, Oh | Oct 9, 2019 | 24 y | 2 |
| B••••••• A••••• S•••••• | Wadsworth, Oh | Oct 9, 2019 | 14 y | 1 |
| C•••••• G•••••••••Certified Financial Planner | Wadsworth, Oh | Oct 9, 2019 | 12 y | 2 |
| D••••• J••• O•••••• | Wadsworth, Oh | Jul 21, 2020 | 10 y | 1 |
| J••••• A••••• R•••••• | Wadsworth, Oh | Aug 2, 2022 | 15 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
- D••••• J••• O•••••• from E•••••••• A•••••••• L••Jul 21, 2020 · Affiliated broker-dealer or bank to independent RIA
- K•••• E••••• L••••••• from A• W••••• M••••••••• L••Oct 9, 2019 · RIA to RIA
- B••••••• A••••• S•••••• from A• W••••• M••••••••• L••Oct 9, 2019 · RIA to RIA
- C•••••• G••••••••• from A• W••••• M••••••••• L••Oct 9, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from A• W••••• M••••••••• L••Feb 2, 2021 · Wadsworth, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• B•••••••• A••••• · President And Chief Compliance Officercontrolsince 06/2019 · owns 75% or more
Related persons
Schedule D 7.A
- B••• S•••••• F•••••••• G••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wadsworth, Oh · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 11, 2026RAUM (Item 5.F) moved from $200,762,016 to $281,583,977 (+40.0%) between the annual amendments of 2025-01-30 and 2026-03-11; the peer median change was +15.0% (4550 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 1,149 to 1,377Aug 20, 2025 to Mar 11, 2026
- HNW clients · 66 to 89Aug 20, 2025 to Mar 11, 2026
- Individual clients · 567 to 617Aug 20, 2025 to Mar 11, 2026
- Discretionary RAUM · $201M to $282MAug 20, 2025 to Mar 11, 2026
- HNW RAUM · $98.8M to $138MAug 20, 2025 to Mar 11, 2026
- Individual RAUM · $102M to $144MAug 20, 2025 to Mar 11, 2026
- RAUM · $201M to $282MAug 20, 2025 to Mar 11, 2026
- Financial planning clients · 0 to 0Jun 23, 2025 to Aug 20, 2025
- Accounts · 1,027 to 1,149Oct 9, 2024 to Jan 30, 2025
- HNW clients · 53 to 66Oct 9, 2024 to Jan 30, 2025
- Individual clients · 468 to 567Oct 9, 2024 to Jan 30, 2025
- Discretionary RAUM · $162M to $201MOct 9, 2024 to Jan 30, 2025
- HNW RAUM · $73.8M to $98.8MOct 9, 2024 to Jan 30, 2025
- Individual RAUM · $88.2M to $102MOct 9, 2024 to Jan 30, 2025
- RAUM · $162M to $201MOct 9, 2024 to Jan 30, 2025
- Accounts · 801 to 1,027Sep 29, 2023 to Mar 15, 2024
- HNW clients · 41 to 53Sep 29, 2023 to Mar 15, 2024
- Individual clients · 420 to 468Sep 29, 2023 to Mar 15, 2024
- Discretionary RAUM · $115M to $162MSep 29, 2023 to Mar 15, 2024
- HNW RAUM · $47.6M to $73.8MSep 29, 2023 to Mar 15, 2024
- Individual RAUM · $67.0M to $88.2MSep 29, 2023 to Mar 15, 2024
- RAUM · $115M to $162MSep 29, 2023 to Mar 15, 2024
Signals
1 dated events
- B••• S•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 17, 2023 · 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
- 330-334-0808reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 330-473-1060reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/b-a-schrock-financial-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- baschrock-fg.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 330-473-1060reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- baschrock-fg.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
- $56.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026