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
A••••• W••••• P•••••••
Legal name A••••• W••••• A•••••••• L••
Latest filing Aug 20, 2026
First filing on the tape Apr 23, 2025 · 8 filings
SEC status approved since Mar 27, 2025
RAUM
$356M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$352M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$356M as of Aug 20, 2026
Apr 23, 2025$0 then
HNW client RAUM$267M as of Aug 20, 2026
Jul 25, 2025$249M then
State-registered IARs (5.B.3)4 as of Aug 20, 2026
Apr 23, 20253 then
Employees (5.A)5 as of Aug 20, 2026
Apr 23, 20254 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Aug 20, 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
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 128derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $325,267derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $110M, 55 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$267M75%
- Individuals$84.9M24%
- Corporations and businesses$4.4M1.2%
- Individual clients
- 289reported
- HNW clients
- 94reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,096reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $110M for 55 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•• R•••••• S••••••• | Youngstown, Oh | May 20, 2025 | 24 y | 3 |
| N••••••• A••••• B••••• | Youngstown, Oh | May 20, 2025 | 15 y | 1 |
| M••• A••••• P•••••• | Youngstown, Oh | May 20, 2025 | 29 y | 3 |
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
- D•• R•••••• S••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 20, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- M••• A••••• P•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 20, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- N••••••• A••••• B••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 20, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 20, 2025 · Youngstown, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• B••••••• L• · Chief Compliance Officercontrolsince 07/2025 · owns less than 5%
- P••••••• M•••• A••••• · Principal / Managing Member / Financial Advisorcontrolsince 05/2025 · owns 50% to 75%
- S•••••••• D••• R•••••• · Principal / Managing Member / Financial Advisorcontrolsince 05/2025 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Youngstown, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 904 to 1,096Oct 20, 2025 to Feb 19, 2026
- Corporate clients · 13 to 12Oct 20, 2025 to Feb 19, 2026
- HNW clients · 103 to 94Oct 20, 2025 to Feb 19, 2026
- Individual clients · 230 to 289Oct 20, 2025 to Feb 19, 2026
- Assets in custody · $52.8M to $110MOct 20, 2025 to Feb 19, 2026
- Employees · 6 to 5Oct 20, 2025 to Feb 19, 2026
- Discretionary RAUM · $316M to $356MOct 20, 2025 to Feb 19, 2026
- HNW RAUM · $249M to $267MOct 20, 2025 to Feb 19, 2026
- Individual RAUM · $62.9M to $84.9MOct 20, 2025 to Feb 19, 2026
- RAUM · $316M to $356MOct 20, 2025 to Feb 19, 2026
- Assets in custody · unset to 52813190.0Jul 25, 2025 to Oct 20, 2025
- Custody of client assets · false to trueJul 25, 2025 to Oct 20, 2025
- Financial planning clients · 0 to 0Jul 25, 2025 to Oct 20, 2025
- Accounts · 0 to 904May 19, 2025 to Jul 25, 2025
- Corporate clients · unset to 13.0May 19, 2025 to Jul 25, 2025
- HNW clients · unset to 103.0May 19, 2025 to Jul 25, 2025
- Individual clients · unset to 230.0May 19, 2025 to Jul 25, 2025
- Assets in custody · 0.0 to unsetMay 19, 2025 to Jul 25, 2025
- Custody of client assets · true to falseMay 19, 2025 to Jul 25, 2025
- Employees · 5 to 6May 19, 2025 to Jul 25, 2025
- Discretionary RAUM · $0 to $316MMay 19, 2025 to Jul 25, 2025
- HNW RAUM · unset to 248818413.0May 19, 2025 to Jul 25, 2025
- Individual RAUM · unset to 62888288.0May 19, 2025 to Jul 25, 2025
- RAUM · $0 to $316MMay 19, 2025 to Jul 25, 2025
- Advisory employees · 3 to 4Apr 23, 2025 to May 19, 2025
- Business name · A••••• W••••• A•••••••• L•• to A••••• W••••• P•••••••Apr 23, 2025 to May 19, 2025
- Employees · 4 to 5Apr 23, 2025 to May 19, 2025
- State-registered IARs · 3 to 4Apr 23, 2025 to May 19, 2025
Signals
1 dated events
- 3 advisors left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (Youngstown, OH) for A••••• W••••• P••••••• a day apartMay 20, 2025 · Team lift-out · derived
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 phone
- 330-797-4089reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 330-797-5045reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- alcyonwealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (330) 797-4088reportedpublic record, Form ADV, Aug 20, 2026
- Contact form
- alcyonwealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- alcyonwealth.com/our-teamreportedpublished 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
- $119Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026