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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

FIM GROUP

FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD, CRD 109811

TRAVERSE CITY, 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:3e091f3b-bbe2-80fd-53f4-13dab43ad6d0

Data as of Mar 19, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 1
On other graphs: 0
Observed: Jan 30, 2012 to Mar 19, 2019
17 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
Offices: 2Schedule D 1.F, beyond the principal office
SEC number: 801-33001
CRD: 109811
Filings on the tape: 17
First filed: Jan 30, 2012
Latest filed: Mar 19, 2019
Organised: Corporation, Michigan

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
MERCER ADVISORS INC.	PARENT COMPANY	E	yes	12/2018	Mar 19, 2019	Mar 19, 2019
PAUL H. SUTHERLAND REVOCABLE TRUST	Shareholder	E	yes	03/2008	Sep 18, 2013	Mar 19, 2019
SUTHERLAND, PAUL, HOWARD	President	Na	yes	12/1984	Jan 30, 2012	Mar 19, 2019
BOHRER, MATTHEW, RUSSELL	TREASURER / COO/CHIEF COMPLIANCE OFFICER	Na	no	05/1999	Jan 30, 2012	Mar 19, 2019
BRZEZINSKI, LINDA, MARY	CORPORATE SECRETARY	Na	no	05/1999	Jan 30, 2012	Mar 19, 2019
HYMAN, BARRY, ABBOT	VICE-PRESIDENT	Na	no	05/1999	Jan 30, 2012	Mar 19, 2019
LOKKEN, JEFFREY, MELVIN	MANAGING DIRECTOR, SENIOR PLANNER	Na	no	07/2001	Jan 30, 2012	Mar 19, 2019

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Onalaska	Wi	United States	4	no
Kahului	Hi	United States	2	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 19, 2019	n/a	n/a	0	0	2	n/a	n/a
2017	Mar 22, 2018	$700M	$700M	29	15	2	n/a	n/a
2016	Mar 31, 2017	$659M	$659M	29	15	n/a	n/a	n/a
2015	Mar 25, 2016	$727M	$618M	31	15	n/a	n/a	n/a
2014	Nov 24, 2014	$825M	$724M	31	15	n/a	n/a	n/a
2013	Oct 21, 2013	$731M	$655M	28	14	n/a	n/a	n/a
2012	Nov 29, 2012	$631M	$606M	22	13	n/a	n/a	n/a
2011	Jan 30, 2012	$575M	$548M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	n/a	$700M	n/a	$727M	n/a	0	29	2	2

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MERCER GLOBAL ADVISORS INC.	4	May 22, 2019	Oct 8, 2019	TRAVERSE CITY, MI	Firm absorbed	Other	57.1%
MERCER GLOBAL ADVISORS INC.	2	May 22, 2019	Jan 25, 2019	ONALASKA, WI	Team lift out	Other	28.6%
Dynamic	2	Dec 14, 2018	Jan 10, 2025	TRAVERSE CITY, MI	Team lift out	RIA to RIA	22.2%

Relationships

Owns (4)

← LOKKEN, JEFFREY, MELVINOwnerMANAGING DIRECTOR, SENIOR PLANNER, ownership code NA, individual
Jan 30, 2012 to presentfactForm ADV
← HYMAN, BARRY, ABBOTOwnerVICE-PRESIDENT, ownership code NA, individual
Jan 30, 2012 to presentfactForm ADV
← BRZEZINSKI, LINDA, MARYOwnerCORPORATE SECRETARY, ownership code NA, individual
Jan 30, 2012 to presentfactForm ADV
← BOHRER, MATTHEW, RUSSELLOwnerTREASURER / COO/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 30, 2012 to presentfactForm ADV

Controls (3)

← SUTHERLAND, PAUL, HOWARDOwnerPRESIDENT, ownership code NA, individual
Jan 30, 2012 to presentfactForm ADV
← MERCER ADVISORS INC.OwnerPARENT COMPANY, ownership code E, domestic entity
Mar 19, 2019 to presentfactForm ADV
← PAUL H. SUTHERLAND REVOCABLE TRUSTOwnerSHAREHOLDER, ownership code E, domestic entity
Sep 18, 2013 to presentfactForm ADV

Moved with (2)

→ DYNAMICRegistered adviser2 advisors, team lift out, same day
Dec 14, 2018 to Jan 10, 2025factForm ADV
→ MERCER GLOBAL ADVISORS INC.Registered adviser4 advisors, firm absorbed, same day
May 22, 2019 to Oct 8, 2019factForm ADV

Registered with (11)

← JEFFREY MELVIN LOKKENAdvisorregistration: previous registration
Jul 13, 2001 to May 22, 2019factForm ADV
← ALICE VANNI MCDERMOTTAdvisorregistration: previous registration
Jan 2, 2009 to May 22, 2019factForm ADV
← RENEE ANN EGELSKIAdvisorregistration: previous registration
Dec 10, 2010 to May 22, 2019factForm ADV
← MATTHEW RUSSELL BOHRERAdvisorregistration: previous registration
Nov 3, 2010 to May 22, 2019factForm ADV
← JASON SCOTT SOBOLIKAdvisorregistration: previous registration
Mar 11, 2008 to May 22, 2019factForm ADV
← KEVIN DAVID RUSSELLAdvisorregistration: previous registration
Oct 8, 2010 to May 22, 2019factForm ADV
← LUCAS EDWARD SCHWALLERAdvisorregistration: previous registration
Apr 15, 2015 to May 22, 2019factForm ADV
← ZACHARY PAUL LIGGETTAdvisorregistration: previous registration
Jul 3, 2012 to Dec 14, 2018factForm ADV
← MATTHEW JOHN DESMONDAdvisorregistration: previous registration
Oct 19, 2012 to Dec 14, 2018factForm ADV
← Hayley A BatesAdvisorregistration: previous registration
Feb 28, 2013 to May 28, 2015factForm ADV
← Kevin MahoneyAdvisorregistration: previous registration
Jul 18, 2007 to Sep 30, 2011factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

Occurred
Mar 19, 2019
Fim Group reported 0 state-registered advisory representatives, down from 13 (2018-03-22 to 2019-03-19)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e091f3b-bbe2-80fd-53f4-13dab43ad6d0
First observed: Jan 30, 2012
Last observed: Mar 19, 2019 91 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.

FIM GROUP

FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD, CRD 109811

TRAVERSE CITY, 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:3e091f3b-bbe2-80fd-53f4-13dab43ad6d0

Data as of Mar 19, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:27 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MERCER ADVISORS INC.

PARENT COMPANY

yes

12/2018

Mar 19, 2019

PAUL H. SUTHERLAND REVOCABLE TRUST

Shareholder

yes

03/2008

Sep 18, 2013

Mar 19, 2019

SUTHERLAND, PAUL, HOWARD

President

yes

12/1984

Jan 30, 2012

Mar 19, 2019

BOHRER, MATTHEW, RUSSELL

TREASURER / COO/CHIEF COMPLIANCE OFFICER

05/1999

Jan 30, 2012

Mar 19, 2019

BRZEZINSKI, LINDA, MARY

CORPORATE SECRETARY

05/1999

Jan 30, 2012

Mar 19, 2019

HYMAN, BARRY, ABBOT

VICE-PRESIDENT

05/1999

Jan 30, 2012

Mar 19, 2019

LOKKEN, JEFFREY, MELVIN

MANAGING DIRECTOR, SENIOR PLANNER

07/2001

Jan 30, 2012

Mar 19, 2019

City

State

Country

Employees

Also broker-dealer

Onalaska

United States

Kahului

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 19, 2019

n/a

2017

Mar 22, 2018

$700M

n/a

2016

Mar 31, 2017

$659M

n/a

2015

Mar 25, 2016

$727M

$618M

n/a

2014

Nov 24, 2014

$825M

$724M

n/a

2013

Oct 21, 2013

$731M

$655M

n/a

2012

Nov 29, 2012

$631M

$606M

n/a

2011

Jan 30, 2012

$575M

$548M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

n/a

$700M

n/a

$727M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MERCER GLOBAL ADVISORS INC.

May 22, 2019

Oct 8, 2019

TRAVERSE CITY, MI

Firm absorbed

Other

57.1%

MERCER GLOBAL ADVISORS INC.

May 22, 2019

Jan 25, 2019

ONALASKA, WI

Team lift out

Other

28.6%

Dynamic

Dec 14, 2018

Jan 10, 2025

TRAVERSE CITY, MI

Team lift out

RIA to RIA

22.2%