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
B•••• W••••• M••••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Jun 11, 2026 · 3 filings
SEC status approved since Jul 13, 2026
RAUM
$131M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$131M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$43.7M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$131M as of Aug 3, 2026
Jun 11, 2026$131M then
HNW client RAUM$94.2M as of Aug 3, 2026
Jun 11, 2026$94.2M then
State-registered IARs (5.B.3)3 as of Aug 3, 2026
Jun 11, 20263 then
Employees (5.A)4 as of Aug 3, 2026
Jun 11, 20264 then
Private funds: no history
Practice profile
derived from the filing of Sep 2, 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
- $32.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $279,976derivedRAUM 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
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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$94.2M72%
- Individuals$36.8M28%
- Individual clients
- 112reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 468reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M•••••• Y•••••• | Lyndhurst, Oh | Mar 2, 2026 | 29 y | 5 |
| R••••• M•• R••• | Lyndhurst, Oh | Mar 20, 2026 | 39 y | 1 |
| G••• E••• F••••••• | Beachwood, Oh | Mar 20, 2026 | 26 y | 1 |
| C•••• S•••••• Y•••••• | Lyndhurst, Oh | Sep 15, 2026 | 10 y | 0 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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
- G••• E••• F••••••• from S••••• C•••••• I•••Mar 20, 2026 · RIA to RIA
- R••••• M•• R••• from S••••• C•••••• I•••Mar 20, 2026 · RIA to RIA
- D•••• M•••••• Y•••••• from S••••• C•••••• I•••Mar 2, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Y••••••• D••••• M•••••• · Managing Member & Chief Compliance Officercontrolsince 01/2026 · 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 |
|---|---|---|---|---|---|
| Lyndhurst, Oh · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Aug 3, 2026 to Sep 2, 2026
- Related adviser · false to unsetAug 3, 2026 to Sep 2, 2026
- Related bank · false to unsetAug 3, 2026 to Sep 2, 2026
- Related broker-dealer · false to unsetAug 3, 2026 to Sep 2, 2026
- Related insurance company · false to unsetAug 3, 2026 to Sep 2, 2026
- Succession · false to unsetAug 3, 2026 to Sep 2, 2026
- Other offices · 0 to 1Jun 11, 2026 to Aug 3, 2026
Signals
1 dated events
- C•••• S•••••• Y•••••• registered as an investment adviser representative at B•••• W••••• M••••••••• L••Sep 15, 2026 · Advisor registered · 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 phone
- 216-270-4425reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- b•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 216-270-4425reportedpublic record, Form ADV, Sep 2, 2026
- Contact form
- b•••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $43.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026