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C•••• L••: 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•••• L••

CRD 148670

LANSING, MI

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Search this name across graphsid dfx:ria:980ce04e-6480-1ec4-d495-a6edfc4df053

Data as of Mar 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 29, 2017
7 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: $64.3MItem 5.F on the latest filing (2017-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $64.3M
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: 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
R••••••	Member	E	yes	09/2008	Mar 29, 2012	Mar 29, 2017
S•••••••• N•••••• A•••	CHIEF COMPLIANCE OFFICER	Na	no	01/2014	Jan 30, 2014

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••••• C•••••• A••••••• G••••• L••	n/a	Independent wealth	$5.3B	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Saginaw	Mi	United States	n/a	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

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
2016	$64.3M	$62.3M	3.1%	$99.9M	-13.7%	2	3	n/a	n/a

Relationships

Affiliated with (2)

→ R•••••• WEALTHRegistered adviserother investment adviser, common control
factForm ADV
← PENSION PORTFOLIO MANAGEMENT, LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Owns (1)

← S•••••••• N•••••• A•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 30, 2014 to presentfactForm ADV

Controls (1)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:980ce04e-6480-1ec4-d495-a6edfc4df053
First observed: Mar 29, 2012
Last observed: Mar 29, 2017 115 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.