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••• I••••••••• C••••••••• G••••
Latest filing Jun 3, 2026
First filing on the tape Jul 27, 2021 · 11 filings
SEC status approved since Aug 30, 2021
RAUM
$147M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
89%
$131M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$73.7M
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$147M as of Jun 3, 2026
Mar 18, 2022$123M then
HNW client RAUM$99.7M as of Jun 3, 2026
Mar 18, 2022$82.9M then
State-registered IARs (5.B.3)2 as of Jun 3, 2026
Mar 18, 20222 then
Employees (5.A)3 as of Jun 3, 2026
Mar 18, 20223 then
Private funds: no history
RAUM +22% over the last fiscal year+6.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 3, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $73.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $391,875derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 11%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
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- $146MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$99.7M68%
- Individuals$31.4M21%
- Charitable organizations$10.9M7.4%
- Insurance companies$5.0M3.4%
- Corporations and businesses$375,9220.3%
- Individual clients
- 113reported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 376reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• E•••• C•••••••Certified Financial Planner | Richfield, Oh | Nov 15, 2021 | 10 y | 1 |
| M•••••• N••••• R•••Chartered Financial Analyst | Richfield, Oh | Nov 15, 2021 | 40 y | 2 |
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
- M•••••• N••••• R••• from W•••• F•••• A•••••••Nov 15, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••••• E•••• C••••••• from W•••• F•••• A•••••••Nov 15, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Nov 23, 2021 · Cleveland, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• A•••••• E•••• · Chief Compliance Officercontrolsince 07/2021 · owns less than 5%
- R•••• M••••••• N••••• · Managing Membercontrolsince 07/2021 · 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 |
|---|---|---|---|---|---|
| Richfield, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 420 to 376Apr 8, 2025 to Jun 3, 2026
- Individual clients · 111 to 113Apr 8, 2025 to Jun 3, 2026
- Discretionary RAUM · $113M to $121MApr 8, 2025 to Jun 3, 2026
- HNW RAUM · $84.4M to $99.7MApr 8, 2025 to Jun 3, 2026
- Individual RAUM · $28.9M to $31.4MApr 8, 2025 to Jun 3, 2026
- Non-discretionary RAUM · $17.4M to $26.2MApr 8, 2025 to Jun 3, 2026
- RAUM · $130M to $147MApr 8, 2025 to Jun 3, 2026
- Accounts · 425 to 420Mar 26, 2024 to Apr 8, 2025
- Individual clients · 109 to 111Mar 26, 2024 to Apr 8, 2025
- Financial planning clients · 101-250 to 101-250Mar 26, 2024 to Apr 8, 2025
- Discretionary RAUM · $103M to $113MMar 26, 2024 to Apr 8, 2025
- HNW RAUM · $79.6M to $84.4MMar 26, 2024 to Apr 8, 2025
- Individual RAUM · $26.3M to $28.9MMar 26, 2024 to Apr 8, 2025
- Non-discretionary RAUM · $18.2M to $17.4MMar 26, 2024 to Apr 8, 2025
- RAUM · $121M to $130MMar 26, 2024 to Apr 8, 2025
- Accounts · 386 to 425Feb 15, 2024 to Mar 26, 2024
- HNW clients · 25 to 29Feb 15, 2024 to Mar 26, 2024
- Individual clients · 119 to 109Feb 15, 2024 to Mar 26, 2024
- Discretionary RAUM · $94.9M to $103MFeb 15, 2024 to Mar 26, 2024
- HNW RAUM · $66.5M to $79.6MFeb 15, 2024 to Mar 26, 2024
- Individual RAUM · $29.9M to $26.3MFeb 15, 2024 to Mar 26, 2024
- Non-discretionary RAUM · $14.4M to $18.2MFeb 15, 2024 to Mar 26, 2024
- RAUM · $109M to $121MFeb 15, 2024 to Mar 26, 2024
- Advisory activities · 5 to 6Mar 28, 2023 to Feb 15, 2024
- Assets in custody · 5552608.0 to unsetMar 28, 2023 to Feb 15, 2024
- Custody of client assets · true to falseMar 28, 2023 to Feb 15, 2024
- Accounts · 373 to 386Jan 19, 2023 to Mar 28, 2023
- HNW clients · 31 to 25Jan 19, 2023 to Mar 28, 2023
- Individual clients · 105 to 119Jan 19, 2023 to Mar 28, 2023
- Assets in custody · $7.1M to $5.6MJan 19, 2023 to Mar 28, 2023
- Financial planning clients · 0 to 101-250Jan 19, 2023 to Mar 28, 2023
- Discretionary RAUM · $106M to $94.9MJan 19, 2023 to Mar 28, 2023
- HNW RAUM · $82.9M to $66.5MJan 19, 2023 to Mar 28, 2023
- Individual RAUM · $25.9M to $29.9MJan 19, 2023 to Mar 28, 2023
- Non-discretionary RAUM · $16.4M to $14.4MJan 19, 2023 to Mar 28, 2023
- RAUM · $123M to $109MJan 19, 2023 to Mar 28, 2023
- Accounts · 332 to 373Dec 22, 2021 to Mar 18, 2022
- HNW clients · 36 to 31Dec 22, 2021 to Mar 18, 2022
- Individual clients · 64 to 105Dec 22, 2021 to Mar 18, 2022
- Assets in custody · $6.0M to $7.1MDec 22, 2021 to Mar 18, 2022
Signals
1 dated events
- R••• I••••••••• C••••••••• G•••• filed its initial SEC registration (Form ADV)Jul 27, 2021 · 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@rabeicg.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 216-770-7330reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/rabe-investment-consulting-group/aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- rabeicg.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 2167707300reportedpublic record, Form ADV, Jun 3, 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
- $73.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026