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
1••• W••••• M••••••••• L••
Latest filing Jan 24, 2025
First filing on the tape Nov 15, 2019 · 11 filings
SEC status approved since Dec 13, 2019
RAUM
$207M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$197M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$207M as of Jan 24, 2025
Mar 14, 2020$102M then
HNW client RAUM$155M as of Jan 24, 2025
Mar 14, 2020$83.1M then
State-registered IARs (5.B.3)2 as of Jan 24, 2025
Mar 14, 20202 then
Employees (5.A)3 as of Jan 24, 2025
Mar 14, 20202 then
Private funds: no history
RAUM +21% over the last fiscal year+2.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 24, 2025; every figure names its basis
- RAUM per advisor
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $530,330derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $129M, 74 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$155M75%
- Individuals$42.0M20%
- Pension and profit-sharing plans$8.3M4.0%
- Charitable organizations$1.7M0.8%
- Individual clients
- 140reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 391reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $129M for 74 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- S••• M•••••• H•••••• to C••••••••• I••••••••• A•••••••• L••Dec 31, 2025 · RIA to RIA
- J••••• P••• D••••••••• to C••••••••• I••••••••• A•••••••• L••Dec 31, 2025 · RIA to RIA
Joined, latest
- S••• M•••••• H•••••• from W•••• F•••• A•••••••Jan 3, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••••• P••• D••••••••• from W•••• F•••• A•••••••Jan 3, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••••••• I••••••••• A•••••••• L••Dec 31, 2025 · Akron, Oh
- 2 joined from W•••• F•••• A•••••••Jan 9, 2020 · Akron, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• J•••••• P••• · Managing Member, Partner And Chief Compliance Officercontrolsince 11/2019 · owns 50% to 75%
- H••••••• S•••• M•••••• · Managing Member, Partnercontrolsince 11/2019 · owns 50% to 75%
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 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 376 to 391Feb 5, 2024 to Jan 24, 2025
- HNW clients · 31 to 56Feb 5, 2024 to Jan 24, 2025
- Individual clients · 162 to 140Feb 5, 2024 to Jan 24, 2025
- Assets in custody · $67.5M to $129MFeb 5, 2024 to Jan 24, 2025
- Financial planning clients · 26-50 to 26-50Feb 5, 2024 to Jan 24, 2025
- Discretionary RAUM · $172M to $207MFeb 5, 2024 to Jan 24, 2025
- HNW RAUM · $135M to $155MFeb 5, 2024 to Jan 24, 2025
- Individual RAUM · $28.7M to $42.0MFeb 5, 2024 to Jan 24, 2025
- Pension RAUM · $6.9M to $8.3MFeb 5, 2024 to Jan 24, 2025
- RAUM · $172M to $207MFeb 5, 2024 to Jan 24, 2025
- Accounts · 392 to 376Feb 3, 2023 to Feb 5, 2024
- HNW clients · 17 to 31Feb 3, 2023 to Feb 5, 2024
- Individual clients · 110 to 162Feb 3, 2023 to Feb 5, 2024
- Assets in custody · unset to 67500000.0Feb 3, 2023 to Feb 5, 2024
- Custody of client assets · false to trueFeb 3, 2023 to Feb 5, 2024
- Discretionary RAUM · $151M to $172MFeb 3, 2023 to Feb 5, 2024
- HNW RAUM · $100M to $135MFeb 3, 2023 to Feb 5, 2024
- Individual RAUM · $44.2M to $28.7MFeb 3, 2023 to Feb 5, 2024
- Pension RAUM · $7.0M to $6.9MFeb 3, 2023 to Feb 5, 2024
- RAUM · $151M to $172MFeb 3, 2023 to Feb 5, 2024
- Accounts · 377 to 392Jan 28, 2022 to Feb 3, 2023
- HNW clients · 12 to 17Jan 28, 2022 to Feb 3, 2023
- Individual clients · 191 to 110Jan 28, 2022 to Feb 3, 2023
- Financial planning clients · 51-100 to 26-50Jan 28, 2022 to Feb 3, 2023
- Discretionary RAUM · $192M to $151MJan 28, 2022 to Feb 3, 2023
- HNW RAUM · $110M to $100MJan 28, 2022 to Feb 3, 2023
- Individual RAUM · $79.0M to $44.2MJan 28, 2022 to Feb 3, 2023
- Pension RAUM · $3.0M to $7.0MJan 28, 2022 to Feb 3, 2023
- RAUM · $192M to $151MJan 28, 2022 to Feb 3, 2023
- Accounts · 320 to 377Feb 18, 2021 to Jan 28, 2022
- HNW clients · 34 to 12Feb 18, 2021 to Jan 28, 2022
- Individual clients · 114 to 191Feb 18, 2021 to Jan 28, 2022
- Discretionary RAUM · $125M to $192MFeb 18, 2021 to Jan 28, 2022
- HNW RAUM · $91.0M to $110MFeb 18, 2021 to Jan 28, 2022
- Individual RAUM · $24.4M to $79.0MFeb 18, 2021 to Jan 28, 2022
- Non-discretionary RAUM · $6.3M to $0Feb 18, 2021 to Jan 28, 2022
- Pension RAUM · $6.3M to $3.0MFeb 18, 2021 to Jan 28, 2022
- RAUM · $131M to $192MFeb 18, 2021 to Jan 28, 2022
- Accounts · 256 to 320Jun 24, 2020 to Feb 18, 2021
- HNW clients · 15 to 34Jun 24, 2020 to Feb 18, 2021
Signals
5 dated events
- 1••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $207.4M)Jan 2, 2026 · Left the SEC roster · derived
- J••••• P••• D••••••••• left 1••• W••••• M••••••••• L•• for C••••••••• I••••••••• A•••••••• L•• (registered 2025-12-04)Dec 31, 2025 · Advisor changed firm · fact
- S••• M•••••• H•••••• left 1••• W••••• M••••••••• L•• for C••••••••• I••••••••• A•••••••• L•• (registered 2025-12-04)Dec 31, 2025 · Advisor changed firm · fact
- 2 advisors left 1••• W••••• M••••••••• L•• (Akron, OH) for C••••••••• I••••••••• A•••••••• L•• on the same dayDec 31, 2025 · Team lift-out · derived
- 1••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 15, 2019 · 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