DFX Intelligence

L•• C•••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

L•• C•••••• M••••••••• L••

CRD 111039

PORTAGE, MI

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Search this name across graphsid dfx:ria:149f712f-aed4-ca12-c2b4-f1e19c423151

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 4
On other graphs: 0
Observed: Mar 19, 2012 to Sep 18, 2026
40 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.91 fund_share=0.0 institutional_share=0.09 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $1.6B••• Locked
Discretionary RAUM: $1.5B
Private client RAUM: $1.4Bderived••• Locked
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $195Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••• A••• V••••• M••••	Chartered Financial Analyst	PORTAGE, MI	16	38	n/a	no
C•••••• A••• P••••••••	Certified Financial Planner	PORTAGE, MI	16	27

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
V••••• M••••• C••••• A•••	President	C	yes	06/1988	Sep 9, 2025	Sep 9, 2025
A•••••• T••••• W••••	Principal	B	no	04/2024	Sep 9, 2025	Sep 9, 2025

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Naples	FL	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$1.6B	$975M	60.3%	$938M	18.5%	15	13	2	1

Relationships

Registered with (9)

← N••••••• J••••• M•••••••Advisorregistration: current employment
Oct 3, 2024 to presentfactForm ADV
← A••••• G••••• L•••••••Advisorregistration: current employment
Oct 3, 2024 to presentfactForm ADV
← J••••• J••• R•••••Advisorregistration: current employment
Apr 25, 2016 to presentfactForm ADV
← T•••• W•••• A•••••

Dated events

Occurred
Sep 9, 2025
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Sep 9, 2025
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Sep 9, 2025
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Sep 24, 2021

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:149f712f-aed4-ca12-c2b4-f1e19c423151
First observed: Mar 19, 2012
Last observed: Sep 18, 2026 5 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.