DFX Intelligence

D•••• • D•••••••• P•••••• I••••••••• C••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

D•••• • D•••••••• P•••••• I••••••••• C••••••• I•••

CRD 121560

BLOOMFIELD HILLS, MI

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Search this name across graphsid dfx:ria:2eb817c1-5ac1-dbfb-fc28-514e9f17bf48

Data as of Mar 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 1
On other graphs: 0
Observed: Dec 7, 2011 to Mar 3, 2026
44 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=0.69 fund_share=0.0 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.6B••• Locked
Discretionary RAUM: $2.6B
Private client RAUM: $1.8Bderived••• Locked
Private client share: 69%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 11
RAUM per advisor: $235Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• J••••• M••••••	Chartered Financial Analyst	BLOOMFIELD HILLS, MI	23	23	1	no
M•••••• F•••••• H•••••	Chartered Financial Analyst	Winston-Salem, NC \| BLOOMFIELD HILLS, MI	16	22

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• S•••• A•••	PRESIDENT & PORTFOLIO MANAGER	C	yes	04/2008	Mar 3, 2026	Mar 3, 2026
W••••••• J••••••• W••••••	CHIEF INVESTMENT OFFICER & PORTFOLIO MANAGER	C	yes	07/2004	Mar 3, 2026	Mar 3, 2026

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
1	0	1	0.0%	0	0	0	1	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
2025	$2.6B	$2.2B	14.8%	$1.8B	13.5%	19	18	2	0

Relationships

Registered with (12)

← S••• D••••• W•••••Advisorregistration: current employment
Apr 13, 2026 to presentfactForm ADV
← K•••• L••• F••••••••Advisorregistration: current employment
Apr 1, 2026 to presentfactForm ADV
← C••••• J•••• C••••••••Advisorregistration: current employment
Oct 23, 2025 to presentfactForm ADV
← K••• L••••••• K•••

Dated events

Occurred
Jan 16, 2025
Ria hq relocated
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2eb817c1-5ac1-dbfb-fc28-514e9f17bf48
First observed: Dec 7, 2011
Last observed: Mar 3, 2026 6 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.