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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
F••••• D•••••••• W•••••• L••
Latest filing Jun 4, 2026
First filing on the tape Mar 31, 2023 · 11 filings
SEC status approved since May 1, 2023
RAUM
$356M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$343M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$35.6M
derived; firm RAUM over IAPD count
Employees
16
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$356M as of Jun 4, 2026
Mar 28, 2024$219M then
HNW client RAUM$252M as of Jun 4, 2026
Mar 28, 2024$145M then
State-registered IARs (5.B.3)9 as of Jun 4, 2026
Mar 28, 20244 then
Employees (5.A)16 as of Jun 4, 2026
Mar 28, 20248 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 8 to 9offices 3 to 2
Practice profile
derived from the filing of Jun 4, 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
- RAUM per advisor
- $35.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $314,323derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 5.G
- Custody
- $191M, 433 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$252M71%
- Individuals$91.8M26%
- Corporations and businesses$12.2M3.4%
- Charitable organizations$864,6620.2%
- Pension and profit-sharing plans$4,6980.0%
- Individual clients
- 410reported
- HNW clients
- 214reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 1,134reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $191M for 433 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• S••••• D•••••• | Strongsville, Oh | Feb 25, 2020 | 28 y | 3 |
| D•••••• R••• M••••• | Middleburg Heights, Oh | Mar 18, 2020 | 26 y | 3 |
| J•••• F••••••• C•••••• | Middleburg Heights, Oh | Aug 29, 2022 | 10 y | 1 |
| Q••• R••••• S•••••• | Middleburg Heights, Oh | Feb 15, 2024 | 12 y | 0 |
| S•••••••• J••• D•••••• | Middleburg Heights, Oh | Apr 30, 2024 | 28 y | 9 |
| J••••• J••• R••••••• | Middleburg Heights, Oh | Aug 17, 2024 | 12 y | 3 |
| T••••• R• C•••••••••Chartered Financial Analyst | Middleburg Heights, Oh | Dec 10, 2024 | 15 y | 0 |
| A••••• P•••• U•••••Certified Financial Planner | Middleburg Heights, Oh | Feb 26, 2025 | 12 y | 0 |
| C••••••••• L•••• N•••••• | Middleburg Heights, Oh | Dec 17, 2025 | 10 y | 0 |
| M•••••• J••• F••• | Middleburg Heights, Oh | May 29, 2026 | 12 y | 2 |
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 headcount1 left over 36 months
Left, latest
- P••••• O•••••• to B••••• F•••••••• A••••••• L••Nov 16, 2023 · RIA to RIA
Joined, latest
- M•••••• J••• F••• from R•••••• J•••• • A••••••••• I•••May 29, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••••• J••• R••••••• from S•••••••• W••••• P•••••••• L•••Aug 17, 2024 · RIA to RIA
- S•••••••• J••• D•••••• from C••••• I••••••••• A••••••• L••Apr 30, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•••• F••••••• C•••••• from E••••• J••••Aug 29, 2022 · Affiliated broker-dealer or bank to independent RIA
- P••••• O•••••• from A••••• A•••• M••••••••• U•• I•••Jun 13, 2022 · Other
- D•••••• R••• M••••• from S•••••• W••••• P•••••••• L••Mar 18, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• D••••••• R••• · Ceo/Ccocontrolsince 11/2019 · 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 |
|---|---|---|---|---|---|
| Middleburg Heights, Oh · principal | 10 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Millersburg, OH2 employees
- Brunswick, OH1 employees
- Mentor, OH1 employees
What changed
consecutive filings, newest first
- Advisory employees · 10 to 11Mar 31, 2026 to Jun 4, 2026
- BD registered reps · 5 to 6Mar 31, 2026 to Jun 4, 2026
- Employees · 15 to 16Mar 31, 2026 to Jun 4, 2026
- State-registered IARs · 8 to 9Mar 31, 2026 to Jun 4, 2026
- Accounts · 1,055 to 1,134Jul 30, 2025 to Mar 31, 2026
- HNW clients · 181 to 214Jul 30, 2025 to Mar 31, 2026
- Individual clients · 403 to 410Jul 30, 2025 to Mar 31, 2026
- Assets in custody · $140M to $191MJul 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $284M to $356MJul 30, 2025 to Mar 31, 2026
- HNW RAUM · $197M to $252MJul 30, 2025 to Mar 31, 2026
- Individual RAUM · $75.0M to $91.8MJul 30, 2025 to Mar 31, 2026
- Pension RAUM · $4,494 to $4,698Jul 30, 2025 to Mar 31, 2026
- RAUM · $284M to $356MJul 30, 2025 to Mar 31, 2026
- Commission compensation · true to falseApr 30, 2025 to Jul 30, 2025
- Financial planning clients · 11-25 to 11-25Apr 30, 2025 to Jul 30, 2025
- Other offices · 3 to 2Apr 30, 2025 to Jul 30, 2025
- Accounts · 727 to 1,055Dec 16, 2024 to Apr 30, 2025
- Advisory employees · 8 to 10Dec 16, 2024 to Apr 30, 2025
- Advisory activities · 2 to 4Dec 16, 2024 to Apr 30, 2025
- BD registered reps · 7 to 5Dec 16, 2024 to Apr 30, 2025
- Charity clients · unset to 2.0Dec 16, 2024 to Apr 30, 2025
- HNW clients · 145 to 181Dec 16, 2024 to Apr 30, 2025
- Individual clients · 269 to 403Dec 16, 2024 to Apr 30, 2025
- Pension plan clients · unset to 1.0Dec 16, 2024 to Apr 30, 2025
- Commission compensation · false to trueDec 16, 2024 to Apr 30, 2025
- Assets in custody · unset to 139528990.0Dec 16, 2024 to Apr 30, 2025
- Custody of client assets · false to trueDec 16, 2024 to Apr 30, 2025
- Employees · 9 to 15Dec 16, 2024 to Apr 30, 2025
- State-registered IARs · 5 to 8Dec 16, 2024 to Apr 30, 2025
- Discretionary RAUM · $219M to $284MDec 16, 2024 to Apr 30, 2025
- HNW RAUM · $145M to $197MDec 16, 2024 to Apr 30, 2025
- Individual RAUM · $50.0M to $75.0MDec 16, 2024 to Apr 30, 2025
- Pension RAUM · unset to 4494.0Dec 16, 2024 to Apr 30, 2025
- RAUM · $219M to $284MDec 16, 2024 to Apr 30, 2025
- Related insurance company · false to trueDec 16, 2024 to Apr 30, 2025
- Advisory employees · 7 to 8Jul 26, 2024 to Dec 16, 2024
- Employees · 8 to 9Jul 26, 2024 to Dec 16, 2024
- State-registered IARs · 4 to 5Jul 26, 2024 to Dec 16, 2024
- Other offices · 1 to 3Mar 28, 2024 to Apr 30, 2024
- Accounts · 673 to 727Jun 30, 2023 to Mar 28, 2024
Signals
2 dated events
- P••••• O•••••• left F••••• D•••••••• W•••••• L•• for B••••• F•••••••• A••••••• L•• (registered 2023-11-09)Nov 16, 2023 · Advisor changed firm · fact
- F••••• D•••••••• W•••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 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 email
- info@4d-wealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 440-664-4045reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/fourth-dimension-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- 4d-wealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 440-664-4045reportedpublic record, Form ADV, Jun 4, 2026
- Contact form
- 4d-wealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- 4d-wealth.com/team-memberreportedpublished 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
- $35.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026