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

P••••• W••••• P•••••••

Independent wealth managerIndependence, OhioCRD 332507SEC 801-130984websiteIAPD
Legal name P••••• W••••• P•••••••• L••
Latest filing Jul 7, 2026
First filing on the tape Jul 25, 2024 · 15 filings
SEC status approved since Aug 29, 2024
RAUM
$572M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$569M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$52.0M
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$572M as of Jul 7, 2026
Feb 14, 2025$475M then
HNW client RAUM$392M as of Jul 7, 2026
Feb 14, 2025$344M then
State-registered IARs (5.B.3)5 as of Jul 7, 2026
Feb 14, 20258 then
Employees (5.A)11 as of Jul 7, 2026
Feb 14, 202510 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 8 to 5offices 1 to 2
Practice profile
derived from the filing of Jul 7, 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
RAUM per advisor
$52.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
66derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$283,909derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
-38%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$75.4M, 40 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$392M68%
  • Individuals$177M31%
  • Charitable organizations$2.1M0.4%
  • Corporations and businesses$774,1170.1%
  • Pension and profit-sharing plans$240,1010.0%
Individual clients
597reported
HNW clients
127reported
Pension plan clients
1reported
Charitable clients
1reported
Accounts
2,015reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$75.4M for 40 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
B•••• A•••• K•••••Independence, OhSep 5, 202423 y3
R•••• E••••• G••••Independence, OhSep 5, 202412 y4
M•••••• S•••• S•••••••Independence, OhSep 5, 202414 y4
A•••••• G••• K••••Independence, OhSep 5, 202412 y3
T•••••• L• B••••Independence, OhSep 5, 202410 y3
R••••• J••••••Independence, OhSep 5, 202438 y4
L•••••• R• O•••Independence, OhSep 6, 202414 y1
K••••••• M•••• M••••••Independence, OhSep 6, 20249 y3
M•••••• B•••• D••••••Chartered Financial AnalystIndependence, OhJul 2, 202512 y1
C••••• L••• R•••••••Durango, Co Aug 27, 202529 y4
C•••• C••••••••• C•••••••Independence, Oh Jul 7, 202616 y1
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 9.1% of current headcount1 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K•••••• B••••• A•••• · Managing Directorcontrol
      since 09/2024 · owns 50% to 75%
    • K••••• A••••••• G••• · Chief Investment Officercontrol
      since 09/2024 · owns less than 5%
    • O•••• L••••••• R• · Managing Directorcontrol
      since 09/2024 · owns 50% to 75%
    • H••••••• R•••••• · Chief Compliance Officer
      since 07/2024 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Independence, Oh · principal1111
    Offices
    Schedule D 1.F, the 25 largest
    • Oakwood Village, OH1 employees
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • advisor count dropChange between filings · filing Apr 21, 2026
      advisory representatives (Item 5.B.3) moved from 8.0 to 5.0 (-38.0%) between the annual amendments of 2025-03-28 and 2026-04-21; the peer median change was 0.0% (795 comparable advisers, 1.0th percentile of changes)
      peers: independent wealth managers, $500M to $1B (795) · 1.4% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 1,869 to 2,015
      Feb 6, 2026 to Mar 5, 2026
    • BD registered reps · 9 to 2
      Feb 6, 2026 to Mar 5, 2026
    • HNW clients · 118 to 127
      Feb 6, 2026 to Mar 5, 2026
    • Individual clients · 548 to 597
      Feb 6, 2026 to Mar 5, 2026
    • Employees · 10 to 11
      Feb 6, 2026 to Mar 5, 2026
    • State-registered IARs · 8 to 5
      Feb 6, 2026 to Mar 5, 2026
    • Other offices · 1 to 2
      Feb 6, 2026 to Mar 5, 2026
    • Discretionary RAUM · $486M to $572M
      Feb 6, 2026 to Mar 5, 2026
    • HNW RAUM · $343M to $392M
      Feb 6, 2026 to Mar 5, 2026
    • Individual RAUM · $140M to $177M
      Feb 6, 2026 to Mar 5, 2026
    • Pension RAUM · $206,593 to $240,101
      Feb 6, 2026 to Mar 5, 2026
    • RAUM · $486M to $572M
      Feb 6, 2026 to Mar 5, 2026
    • Financial planning clients · 51-100 to 51-100
      Mar 28, 2025 to Jul 23, 2025
    • Accounts · 1,741 to 1,869
      Feb 14, 2025 to Mar 28, 2025
    • Corporate clients · 4 to 3
      Feb 14, 2025 to Mar 28, 2025
    • HNW clients · 115 to 118
      Feb 14, 2025 to Mar 28, 2025
    • Individual clients · 525 to 548
      Feb 14, 2025 to Mar 28, 2025
    • Pension plan clients · 0 to 1
      Feb 14, 2025 to Mar 28, 2025
    • Discretionary RAUM · $475M to $486M
      Feb 14, 2025 to Mar 28, 2025
    • HNW RAUM · $344M to $343M
      Feb 14, 2025 to Mar 28, 2025
    • Individual RAUM · $128M to $140M
      Feb 14, 2025 to Mar 28, 2025
    • Pension RAUM · $0 to $206,593
      Feb 14, 2025 to Mar 28, 2025
    • RAUM · $475M to $486M
      Feb 14, 2025 to Mar 28, 2025
    • Accounts · 0 to 1,741
      Sep 5, 2024 to Nov 20, 2024
    • Charity clients · unset to 1.0
      Sep 5, 2024 to Nov 20, 2024
    • Corporate clients · unset to 4.0
      Sep 5, 2024 to Nov 20, 2024
    • HNW clients · unset to 115.0
      Sep 5, 2024 to Nov 20, 2024
    • Individual clients · unset to 525.0
      Sep 5, 2024 to Nov 20, 2024
    • Pension plan clients · unset to 0.0
      Sep 5, 2024 to Nov 20, 2024
    • Pooled vehicle clients · unset to 0.0
      Sep 5, 2024 to Nov 20, 2024
    • Assets in custody · unset to 75353709.0
      Sep 5, 2024 to Nov 20, 2024
    • Custody of client assets · false to true
      Sep 5, 2024 to Nov 20, 2024
    • Financial planning clients · 0 to 51-100
      Sep 5, 2024 to Nov 20, 2024
    • Discretionary RAUM · $0 to $475M
      Sep 5, 2024 to Nov 20, 2024
    • HNW RAUM · unset to 344147155.0
      Sep 5, 2024 to Nov 20, 2024
    • Individual RAUM · unset to 127837652.0
      Sep 5, 2024 to Nov 20, 2024
    • Pension RAUM · unset to 0.0
      Sep 5, 2024 to Nov 20, 2024
    • Pooled vehicle RAUM · unset to 0.0
      Sep 5, 2024 to Nov 20, 2024
    • RAUM · $0 to $475M
      Sep 5, 2024 to Nov 20, 2024
    • Related adviser · true to false
      Sep 4, 2024 to Sep 5, 2024
    Signals
    5 dated events
    • S•••• M•••••• L••• left P••••• W••••• P••••••• for L•• E••••••••• L•• (registered 2026-03-09)
      Sep 30, 2025 · Advisor changed firm · fact
    • 5 advisors left R•••• I••••••••• A••••••• L•• (Kentwood, MI) for P••••• W••••• P••••••• on the same day
      Sep 30, 2024 · Team lift-out · derived
    • 3 advisors left R•••• I••••••••• A••••••• L•• (Independence, OH) for P••••• W••••• P••••••• on the same day
      Sep 30, 2024 · Team lift-out · derived
    • Sean Kevin Woodard (Member And Manager) no longer on Schedule A of P••••• W••••• P••••••• (listed 2024-08-23, absent 2024-09-04)
      Sep 4, 2024 · Control person left · inference
    • P••••• W••••• P••••••• filed its initial SEC registration (Form ADV)
      Jul 25, 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
    Firm profile
    linkedin.com/company/prasadwealthreportedpublic record, Form ADV, Sep 18, 2026
    Website
    prasadwealth.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    216-313-9999reportedpublic record, Form ADV, Jul 7, 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
    $52.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026