DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

N••••••••• I••••••••• M••••••••• L••

CRD 124197

OKEMOS, MI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:251be557-658a-f8d4-d539-c8be0432dcc5

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Mar 30, 2012
2 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $58.5M••• Locked
Discretionary RAUM: $58.5M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 293
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• M••••••• S••••	Member	C	yes	09/2001	Mar 28, 2012	Mar 30, 2012
G••••••• R•••••• J••••	CEO, MEMBER	D	yes	09/2001	Mar 28, 2012	Mar 30, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••••••• A•• K••••• C•••••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 28, 2012	$58.5M	$58.5M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$58.5M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (3)

← G••••••• R•••••• J••••OwnerCEO, MEMBER, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV
← K••••• K••••••• J•••••OwnerCHIEF COMPLIANCE OFFICER, MEMBER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← F•••••••• M••••••• S••••OwnerMEMBER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:251be557-658a-f8d4-d539-c8be0432dcc5
First observed: Mar 28, 2012
Last observed: Mar 30, 2012 176 months 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.