DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

C•••••••• C•••••• P•••••••• L••

CRD 143456

ROCHESTER, 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:98c45e68-e465-c887-2013-f2403b7d7b46

Data as of Jul 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 14
On other graphs: 1
Observed: Mar 21, 2012 to Jul 29, 2026
56 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Independent Sponsorsidentity

C•••••••• C•••••• P•••••••• L••

Capital provider to sponsors · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.11 fund_share=0.61 institutional_share=0.28 related_bd=false related_bank=false bd_reps=6.0
Regulatory AUM: $1.7B••• Locked
Discretionary RAUM: $1.7B
Private client RAUM: $193Mderived••• Locked
Private client share: 11%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $285Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••• A•• K•••••	Certified Financial Planner	ROCHESTER, MI	13	17	n/a	yes
K••• P• T••••••	n/a	ROCHESTER, MI	9	13

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B•• C•••••••• S•••••••• C•• M••••• F•••• L•	Other Private Fund	$1.0B	Dec 2, 2024	1,322	Mar 28, 2017	reported	021-247596
C•••••••• Q• F•••• L•	Other Private Fund	$31.3M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• C••••••••• I•••	MEMBER OF LLC	E	yes	12/2018	Jan 11, 2019	Dec 2, 2024
H•••••• G•••••• W••••	Shareholder	C	yes	12/2018	Mar 21, 2012	Dec 2, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••••• Q• F••• G•• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Scottsdale	Az	United States	3	no
BLOOMFIELD HILLS	Mi	United States	3	no

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
0	6	-6	100.0%	0	0	0	1	8

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	$1.7B	$6.8B	-74.7%	$6.5B	-36.0%	21	38	0	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••• C•••••• M••••••••• L••	3	Feb 10, 2026	Dec 18, 2025	BLOOMFIELD HILLS, MI	Team lift out	Other	25.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I••••••• I••••••••• C••••••• L••	2	Dec 31, 2020	Jan 26, 2021	PHOENIX, AZ	Team lift out	RIA to RIA	33.3%

Relationships

Advises (2)

→ C•••••••• Q• F•••• L•Private fundOther Private Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ B•• C•••••••• S•••••••• C•• M••••• F•••• L•Private fundOther Private Fund, IA
Mar 28, 2017 to presentfactForm ADV

Registered with (15)

← C••••• E•••• K••••Advisorregistration: current employment
Sep 17, 2024 to presentfactForm ADV

Dated events

Occurred
May 4, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Apr 15, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Apr 15, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2026
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:98c45e68-e465-c887-2013-f2403b7d7b46
First observed: Mar 21, 2012
Last observed: Jul 29, 2026 55 days 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.