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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

C••••••• • D•••• I••

CRD 110769

ANN ARBOR, MI

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Search this name across graphsid dfx:ria:84533fcf-9fdc-6a0e-c09c-efd351257ca5

Data as of Jan 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jan 30, 2012 to Jan 30, 2012
1 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: $36.4MItem 5.F on the latest filing (2012-01-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $36.4M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••• J••• C•••••••	n/a	WHITMORE LAKE, MI	1	31	1	no

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
C•••••••• J•••• H•••••	Ceo	E	yes	03/1981	Jan 30, 2012	Jan 30, 2012
C•••••••• S••••• J•••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2005	Jan 30, 2012

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
2011	Jan 30, 2012	$36.4M	$36.4M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	1

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
2011	$36.4M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

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
D••••• W••••• G••••	2	Sep 13, 2018	May 17, 2018	WHITMORE LAKE, MI	Team lift out	Other	50.0%

Relationships

Registered with (4)

← S•••• J••• C•••••••Advisorregistration: previous registration
Nov 15, 2010 to Dec 31, 2024factForm ADV
← STEVEN CHARLES PIERCEAdvisorregistration: previous registration
May 12, 2017 to Dec 31, 2024factForm ADV
← MARK MINDERAdvisorregistration: previous registration
Apr 10, 2013 to Sep 17, 2018factForm ADV
← ANDREA BERNARDINI D•••••

Dated events

Occurred
Dec 31, 2024
Advisor changed firm
Steven Charles Pierce left C••••••• • D•••• I•• for Pierce Financial Llc (registered 2025-01-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:84533fcf-9fdc-6a0e-c09c-efd351257ca5
First observed: Jan 30, 2012
Last observed: Jan 30, 2012 178 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.