DFX Intelligence

U•• F•••••••• S••••••••• 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 adviserindependent wealth managerSEC registeredRAUM 100m 1b

U•• F•••••••• S••••••••• L••

CRD 103857

ADA, 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:40426058-8890-4d44-7acf-f521b7ec5d5d

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 365
Dated events: 40
On other graphs: 0
Observed: Mar 14, 2012 to Mar 27, 2026
39 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=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=152.0
Regulatory AUM: $297M••• Locked
Discretionary RAUM: $205M
Private client RAUM: $291Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 128
RAUM per advisor: $2.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• S•••• D••	n/a	MANDEVILLE, LA \| ADA, MI	24	36	n/a	yes
M•••••• D•••• W••••••	n/a	Grand Rapids, MI \| ADA, MI	22	31

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• B•••• L••	Member	E	yes	08/2021	Aug 15, 2024	Sep 26, 2024
A••••••••• I••••••••• H••••••• 1• L••	Member	E	yes	08/2021	Aug 15, 2024	Sep 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
U•• F•••••••• F••••••• L••	n/a	Independent wealth	$534M	N	yes	n/a
U•• F•••••••• E••••••• C•••••••••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
ST J•••••	Mi	United States	6	yes
Erie	Pa	United States	3	yes
Bridgeport	Wv	United States	3	yes
Tustin	CA	United States	2	yes
Meridian	Id	United States

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
12	6	6	4.7%	2	0	0	15	29

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	$297M	$302M	-1.7%	$224M	9.9%	172	166	100	126

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
J• W• C••• A•••••••• I•••	2	Sep 8, 2025	Sep 3, 2025	GRAND RAPIDS, MI	Team lift out	RIA to ibd	1.7%
K••••• A••••••• S•••••••• L••	6	Nov 27, 2023	Nov 27, 2023

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T•• A•••••••• I•••	4	Dec 31, 2025	Feb 19, 2026	MINNEAPOLIS, MN	Team lift out	Ibd to RIA	1.5%
T•• A•••••••• I•••	2	Dec 31, 2025	Mar 10, 2026

Relationships

showing 80 of 365

Registered with (77)

← W••••• C••••••••• R•••Advisorregistration: current employment
Aug 10, 2026 to presentfactForm ADV
← A••• D•••• S•••••••••Advisorregistration: current employment
Jul 9, 2026 to presentfactForm ADV
← G•••• H••••••Advisorregistration: current employment
Jun 27, 2026 to presentfactForm ADV
← A••• C•••••••

Dated events

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

Occurred
May 4, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 28, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 31, 2025
Team lift-out
••• Locked
Form ADVobserved 8 days ago
3 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40426058-8890-4d44-7acf-f521b7ec5d5d
First observed: Mar 14, 2012
Last observed: Mar 27, 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.