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
H•• W••••• M••••••••• L••
Latest filing Mar 10, 2026
First filing on the tape May 23, 2024 · 5 filings
SEC status approved since Jun 21, 2024
RAUM
$159M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$159M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$79.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$159M as of Mar 10, 2026
Mar 18, 2025$119M then
HNW client RAUM$73.8M as of Mar 10, 2026
Mar 18, 2025$52.0M then
State-registered IARs (5.B.3)2 as of Mar 10, 2026
Mar 18, 20252 then
Employees (5.A)2 as of Mar 10, 2026
Mar 18, 20252 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 10, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $79.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 270derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $173,724derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +28%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- yesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$85.1M53%
- High-net-worth individuals$73.8M46%
- Corporations and businesses$201,4050.1%
- Individual clients
- 501reported
- HNW clients
- 39reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 916reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- 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=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• T••••• K••••• | Poland, Oh | Jan 2, 2022 | 29 y | 5 |
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••• T••••• K••••• from S••••• A••••••• I•••Jan 2, 2022 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• M••••••• J• · Owner, Chief Executive Officer And Managing Membercontrolsince 09/2021 · owns 75% or more
- K•••••• M•••• T••••• · Chief Compliance Officer And Managing Membercontrolsince 09/2021 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Poland, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 806 to 916Mar 18, 2025 to Mar 10, 2026
- Corporate clients · 2 to 3Mar 18, 2025 to Mar 10, 2026
- HNW clients · 25 to 39Mar 18, 2025 to Mar 10, 2026
- Individual clients · 398 to 501Mar 18, 2025 to Mar 10, 2026
- Pension plan clients · 2 to 0Mar 18, 2025 to Mar 10, 2026
- Discretionary RAUM · $119M to $159MMar 18, 2025 to Mar 10, 2026
- HNW RAUM · $52.0M to $73.8MMar 18, 2025 to Mar 10, 2026
- Individual RAUM · $66.7M to $85.1MMar 18, 2025 to Mar 10, 2026
- Pension RAUM · $123,115 to $0Mar 18, 2025 to Mar 10, 2026
- RAUM · $119M to $159MMar 18, 2025 to Mar 10, 2026
- Accounts · 573 to 806Jul 31, 2024 to Mar 18, 2025
- Corporate clients · 0 to 2Jul 31, 2024 to Mar 18, 2025
- HNW clients · 19 to 25Jul 31, 2024 to Mar 18, 2025
- Individual clients · 322 to 398Jul 31, 2024 to Mar 18, 2025
- Pension plan clients · 0 to 2Jul 31, 2024 to Mar 18, 2025
- Assets in custody · $92.3M to $0Jul 31, 2024 to Mar 18, 2025
- Financial planning clients · 101-250 to 101-250Jul 31, 2024 to Mar 18, 2025
- Discretionary RAUM · $102M to $119MJul 31, 2024 to Mar 18, 2025
- HNW RAUM · $40.2M to $52.0MJul 31, 2024 to Mar 18, 2025
- Individual RAUM · $61.9M to $66.7MJul 31, 2024 to Mar 18, 2025
- Pension RAUM · $0 to $123,115Jul 31, 2024 to Mar 18, 2025
- RAUM · $102M to $119MJul 31, 2024 to Mar 18, 2025
Signals
1 dated events
- H•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 23, 2024 · 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
- i•••@h••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 330-294-1954reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 330-980-0741reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- h••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 330-980-0741reportedpublic record, Form ADV, Mar 10, 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
- $79.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026