DFX Intelligence
Reading the graph
Reading the graph
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.
CRD 169114
BIRMINGHAM, MI
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A•••••••• F••••••• | Cco | Na | yes | 04/2022 | Apr 26, 2022 | Oct 1, 2024 |
| H•••••• A••••• J••• | MANAGING DIRECTOR | Na | yes | 09/2016 | May 2, 2019 | Oct 1, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| S•••••••• P•••••• C••••••• L•• | n/a | Former SEC adviser | $172M | N | yes | n/a |
| E••••••••• F•••••• L•• | n/a | Former SEC adviser | $116M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Glendale | CA | United States | 1 | no |
| Deerfield | IL | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $3.9B | $3.3B | 17.7% | $2.6B | 14.9% | 30 | 29 | 6 | 5 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| A••• A••••••• P••••••• | 2 | Jul 11, 2025 | Jun 18, 2025 | SILVERTHORNE, CO | Team lift out | RIA to RIA | 12.5% |
| A••• A••••••• P••••••• | 11 | Jun 30, 2025 | Jul 2, 2025 |
| S CORP |
| E |
| yes |
| 09/2004 |
| Oct 20, 2022 |
| Oct 1, 2024 |
| S••••••••• M•••• R••••• | Member | E | yes | 09/2004 | Oct 15, 2013 | Oct 1, 2024 |
| S•••• A••••• S•••••••• R•••••••• T•••• | R•••••••• TRUST | Na | no | 09/2005 | Sep 23, 2024 | Oct 1, 2024 |
| R••••• S•••••••• • A••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| Apr 14, 2025 |
| $3.9B |
| $3.6B |
| 30 |
| 14 |
| 6 |
| n/a |
| n/a |
| 2023 | Mar 8, 2024 | $3.3B | $2.9B | 29 | 13 | 5 | n/a | n/a |
| 2022 | Mar 10, 2023 | $2.8B | $2.5B | 29 | 13 | 3 | n/a | n/a |
| 2021 | Mar 31, 2022 | $2.6B | $2.3B | 28 | 15 | 0 | n/a | n/a |
| 2020 | Mar 31, 2021 | $1.5B | $1.3B | 24 | 11 | 0 | n/a | n/a |
| 2019 | May 14, 2020 | $1.1B | $894M | 18 | 10 | 1 | n/a | n/a |
| 2018 | Apr 1, 2019 | $851M | $645M | 13 | 6 | 1 | n/a | n/a |
| 2017 | Mar 29, 2018 | $832M | $502M | 9 | 3 | 1 | n/a | n/a |
| 2016 | Mar 31, 2017 | $731M | $421M | 9 | 3 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $661M | $400M | 9 | 3 | n/a | n/a | n/a |
| 2014 | Mar 26, 2015 | $607M | $333M | 7 | 5 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $535M | $135M | 7 | 5 | n/a | n/a | n/a |
| BIRMINGHAM, MI |
| Firm absorbed |
| RIA to RIA |
| 64.7% |