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
B••••• F•••••••• G••••• I•••
Latest filing Mar 25, 2025
First filing on the tape Nov 17, 2021 · 7 filings
SEC status approved since Dec 17, 2021
RAUM
$746M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
82%
$612M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$746M as of Mar 25, 2025
Mar 29, 2022$590M then
HNW client RAUM$551M as of Mar 25, 2025
Mar 29, 2022$370M then
State-registered IARs (5.B.3)7 as of Mar 25, 2025
Mar 29, 20225 then
Employees (5.A)7 as of Mar 25, 2025
Mar 29, 20227 then
Private funds: no history
RAUM +13% over the last fiscal year+8.1% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 25, 2025; every figure names its basis
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $574,674derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- 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
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$551M74%
- Pension and profit-sharing plans$134M18%
- Individuals$60.7M8.1%
- Individual clients
- 182reported
- HNW clients
- 120reported
- Pension plan clients
- 54reported
- Charitable clients
- n/areported
- Accounts
- 1,298reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
7 left, 0 joined in 12 months
net -7 in 12 months0 left in 90 days0 joined in 90 days7 left over 36 months
Left, latest
- J•••• M•••• B•••• to O•••• A••••••• S•••••••• L••Mar 27, 2026 · RIA to affiliated broker-dealer or bank
- S•••••• J•••• C•••••• to O•••• A••••••• S•••••••• L••Mar 27, 2026 · RIA to affiliated broker-dealer or bank
- H•••••• P•••••• to O•••• A••••••• S•••••••• L••Mar 27, 2026 · RIA to affiliated broker-dealer or bank
- B•••• F• B••••••• to O•••• A••••••• S•••••••• L••Mar 27, 2026 · RIA to affiliated broker-dealer or bank
- J••••••• B• T••••• to O•••• A••••••• S•••••••• L••Mar 27, 2026 · RIA to affiliated broker-dealer or bank
- J•••• A••••• R•••••• to O•••• A••••••• S•••••••• L••Mar 27, 2026 · RIA to affiliated broker-dealer or bank
- D••••• P•••• to O•••• A••••••• S•••••••• L••Mar 27, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••••••• B• T••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Oct 10, 2022 · Affiliated broker-dealer or bank to independent RIA
- H•••••• P•••••• from O•••• F•• I•••Mar 4, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• M•••• B•••• from O•••• F•• I•••Feb 28, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••••• J•••• C•••••• from O•••• F•• I•••Feb 28, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••• F• B••••••• from O•••• F•• I•••Feb 27, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 7 left for O•••• A••••••• S•••••••• L••Mar 27, 2026 · Aurora, Oh · Firm absorbed
- 4 joined from O•••• F•• I•••Feb 22, 2022 · Solon, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••• M•••• · Chief Compliance Officer/ Vice Presidentcontrolsince 11/2021 · owns less than 5%
- B•••••••• B••••• F• · Presidentcontrolsince 11/2021 · 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 |
|---|---|---|---|---|---|
| Aurora, Oh · principal | 0 | 0 | 7 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,162 to 1,298Mar 26, 2024 to Mar 25, 2025
- HNW clients · 105 to 120Mar 26, 2024 to Mar 25, 2025
- Individual clients · 185 to 182Mar 26, 2024 to Mar 25, 2025
- Pension plan clients · 66 to 54Mar 26, 2024 to Mar 25, 2025
- Employees · 8 to 7Mar 26, 2024 to Mar 25, 2025
- Financial planning clients · 51-100 to 51-100Mar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $521M to $611MMar 26, 2024 to Mar 25, 2025
- HNW RAUM · $466M to $551MMar 26, 2024 to Mar 25, 2025
- Individual RAUM · $58.1M to $60.7MMar 26, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $141M to $135MMar 26, 2024 to Mar 25, 2025
- Pension RAUM · $138M to $134MMar 26, 2024 to Mar 25, 2025
- RAUM · $662M to $746MMar 26, 2024 to Mar 25, 2025
- Accounts · 1,026 to 1,162Mar 30, 2023 to Mar 21, 2024
- Advisory employees · 8 to 7Mar 30, 2023 to Mar 21, 2024
- HNW clients · 94 to 105Mar 30, 2023 to Mar 21, 2024
- Individual clients · 167 to 185Mar 30, 2023 to Mar 21, 2024
- Pension plan clients · 67 to 66Mar 30, 2023 to Mar 21, 2024
- State-registered IARs · 8 to 7Mar 30, 2023 to Mar 21, 2024
- Discretionary RAUM · $402M to $521MMar 30, 2023 to Mar 21, 2024
- HNW RAUM · $364M to $466MMar 30, 2023 to Mar 21, 2024
- Individual RAUM · $45.3M to $58.1MMar 30, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $162M to $141MMar 30, 2023 to Mar 21, 2024
- Pension RAUM · $155M to $138MMar 30, 2023 to Mar 21, 2024
- RAUM · $564M to $662MMar 30, 2023 to Mar 21, 2024
- Accounts · 847 to 1,026Mar 29, 2022 to Mar 30, 2023
- Advisory employees · 5 to 8Mar 29, 2022 to Mar 30, 2023
- Advisory activities · 3 to 4Mar 29, 2022 to Mar 30, 2023
- BD registered reps · 5 to 2Mar 29, 2022 to Mar 30, 2023
- HNW clients · 88 to 94Mar 29, 2022 to Mar 30, 2023
- Individual clients · 84 to 167Mar 29, 2022 to Mar 30, 2023
- Pension plan clients · 76 to 67Mar 29, 2022 to Mar 30, 2023
- Employees · 7 to 8Mar 29, 2022 to Mar 30, 2023
- Financial planning clients · 0 to 51-100Mar 29, 2022 to Mar 30, 2023
- State-registered IARs · 5 to 8Mar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $400M to $402MMar 29, 2022 to Mar 30, 2023
- HNW RAUM · $370M to $364MMar 29, 2022 to Mar 30, 2023
- Individual RAUM · $35.0M to $45.3MMar 29, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $190M to $162MMar 29, 2022 to Mar 30, 2023
- Pension RAUM · $185M to $155MMar 29, 2022 to Mar 30, 2023
- RAUM · $590M to $564MMar 29, 2022 to Mar 30, 2023
Signals
11 dated events
- B••••• F•••••••• G••••• I••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $745.9M)Apr 1, 2026 · Left the SEC roster · derived
- S•••••• J•••• C•••••• left B••••• F•••••••• G••••• I••• for O•••• A••••••• S•••••••• L•• (registered 2026-02-03)Mar 27, 2026 · Advisor changed firm · fact
- J••••••• B• T••••• left B••••• F•••••••• G••••• I••• for O•••• A••••••• S•••••••• L•• (registered 2026-02-03)Mar 27, 2026 · Advisor changed firm · fact
- D••••• P•••• left B••••• F•••••••• G••••• I••• for O•••• A••••••• S•••••••• L•• (registered 2026-02-03)Mar 27, 2026 · Advisor changed firm · fact
- J•••• M•••• B•••• left B••••• F•••••••• G••••• I••• for O•••• A••••••• S•••••••• L•• (registered 2026-02-03)Mar 27, 2026 · Advisor changed firm · fact
- H•••••• P•••••• left B••••• F•••••••• G••••• I••• for O•••• A••••••• S•••••••• L•• (registered 2026-02-06)Mar 27, 2026 · Advisor changed firm · fact
- J•••• A••••• R•••••• left B••••• F•••••••• G••••• I••• for O•••• A••••••• S•••••••• L•• (registered 2026-02-09)Mar 27, 2026 · Advisor changed firm · fact
- B•••• F• B••••••• left B••••• F•••••••• G••••• I••• for O•••• A••••••• S•••••••• L•• (registered 2026-02-03)Mar 27, 2026 · Advisor changed firm · fact
- B••••• F•••••••• G••••• I•••'s advisors moved to O•••• A••••••• S•••••••• L•• (Aurora, OH): 7 of 7 registered, on the same dayMar 27, 2026 · Firm absorbed (people side) · derived
- 4 advisors left O•••• F•• I••• (Solon, OH) for B••••• F•••••••• G••••• I••• within 2 daysFeb 22, 2022 · Team lift-out · derived
- B••••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)Nov 17, 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.
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