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
W••••••• W••••• P•••••••
Legal name C•••• L••
Latest filing Jul 28, 2026
First filing on the tape Mar 20, 2026 · 3 filings
SEC status approved since Mar 31, 2026
RAUM
$712M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$691M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$237M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$712M as of Jul 28, 2026
Mar 20, 2026$0 then
HNW client RAUM: $645M
State-registered IARs (5.B.3)2 as of Jul 28, 2026
Mar 20, 20262 then
Employees (5.A)4 as of Jul 28, 2026
Mar 20, 20264 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 28, 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
- $237MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 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
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$645M91%
- Individuals$46.0M6.5%
- Charitable organizations$20.9M2.9%
- Corporations and businesses$401,0320.1%
- Individual clients
- 94reported
- HNW clients
- 124reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 568reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| B•••••• K•••• L••• | Pepper Pike, Oh | Apr 2, 2026 | 11 y | 1 |
| R••••• K• P••••••••• | Pepper Pike, Oh | Apr 2, 2026 | 14 y | 1 |
| D•••• B•• J•••••• | Pepper Pike, Oh | Jul 14, 2026 | 12 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••• B•• J•••••• from C••••••• I••••••••• C••••••Jul 14, 2026 · RIA to a newly registered adviser
- B•••••• K•••• L••• from C••••••• I••••••••• C••••••Apr 2, 2026 · RIA to a newly registered adviser
- R••••• K• P••••••••• from C••••••• I••••••••• C••••••Apr 2, 2026 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C••••••• I••••••••• C••••••Apr 2, 2026 · Pepper Pike, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••• B••••••• K•••• · Managing Partnercontrolsince 04/2026 · owns 75% or more
- P••••••••• R•••••• K• · Managing Partnercontrolsince 04/2026 · owns 10% to 25%
- D••••• D•••••• B••••••• · Chief Compliance Officersince 02/2026 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pepper Pike, Oh · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 568Apr 6, 2026 to Jul 28, 2026
- HNW clients · unset to 124.0Apr 6, 2026 to Jul 28, 2026
- Individual clients · unset to 94.0Apr 6, 2026 to Jul 28, 2026
- Discretionary RAUM · $0 to $712MApr 6, 2026 to Jul 28, 2026
- HNW RAUM · unset to 644641204.0Apr 6, 2026 to Jul 28, 2026
- Individual RAUM · unset to 45963992.0Apr 6, 2026 to Jul 28, 2026
- RAUM · $0 to $712MApr 6, 2026 to Jul 28, 2026
Signals
1 dated events
- 3 advisors left C••••••• I••••••••• C•••••• (Pepper Pike, OH) for W••••••• W••••• P••••••• on the same dayApr 2, 2026 · 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 email
- i•••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- r••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- b••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j•••••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m••••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- n•••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 216-377-0121reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 216-272-4320reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 216-377-0122reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 330-416-5509reportedpublic record, Form ADV, Jul 28, 2026
- Contact form
- w•••••••••.comreportedpublished 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
- $237Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026