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R••••••••• F•••••• A••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

R••••••••• F•••••• A••••••• I•••

CRD 113016

TROY, MI

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Search this name across graphsid dfx:ria:3ecbed7c-9dfb-ae99-c429-aad47816e34b

Data as of Jun 12, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 12, 2012 to Jun 12, 2023
20 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: $600MItem 5.F on the latest filing (2023-06-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $144M
Private client RAUM: $228MderivedItem 5.D individuals plus high net worth individuals
Private client share: 38%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
G••••• D•••••• I••	PRESIDENT,CHIEF COMPLIANCE OFFICER, CHIEF INVESTMENT OFFICER	E	yes	02/1995	Mar 12, 2012	Jun 12, 2023

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; showing 11 of 12

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

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
2022	$600M	$723M	-17.0%	$604M	-0.2%	5	3	0	0

Relationships

Controls (1)

← G••••• D•••••• I••OwnerPRESIDENT,CHIEF COMPLIANCE OFFICER, CHIEF INVESTMENT OFFICER, ownership code E, individual
Mar 12, 2012 to presentfactForm ADV

Registered with (1)

← NORMAN CHARLES LEONAdvisorregistration: previous registration
Oct 19, 2010 to Sep 5, 2023factForm ADV

Dated events

Occurred
Sep 5, 2023
Advisor changed firm
Norman Charles Leon left R••••••••• F•••••• A••••••• I••• for Greystone Financial Group, Llc (registered 2023-08-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3ecbed7c-9dfb-ae99-c429-aad47816e34b
First observed: Mar 12, 2012
Last observed: Jun 12, 2023 39 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.