DFX Intelligence

S••••• A•••• M••••••••• L•••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

S••••• A•••• M••••••••• L•••••

CRD 144046

TROY, MI

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Search this name across graphsid dfx:ria:c5623b40-952f-5fdc-c5e2-0e7224736bfe

Data as of Aug 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 95
Dated events: 33
On other graphs: 0
Observed: Aug 8, 2018 to Aug 20, 2026
96 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=38.0
Regulatory AUM: $871M••• Locked
Discretionary RAUM: $789M
Private client RAUM: $871Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 54
RAUM per advisor: $16.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• R• C•••	n/a	TROY, MI	16	26	n/a	no
W•••••• A•••••• T•••••	Certified Financial Planner	TROY, MI	15	20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J•••••• R••••••• E••	CHIEF COMPLIANCE OFFICER	Na	yes	05/2019	May 2, 2019	Nov 22, 2024
S••••••• B••••• E•••••	MANAGING MEMBER	E	yes	04/2007	Aug 8, 2018	Nov 22, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• S••••••••• I••	n/a	n/a	n/a	N	yes	n/a
S••••• I•••••••• G••••• I•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
FORT WAYNE	In	United States	9	no
Fargo	Nd	United States	5	yes
BLOOMFIELD HILLS	Mi	United States	4	yes
Kirkland	Wa	United States	3	yes
Topeka	Ks	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
13	2	11	3.7%	0	0	0	37	14

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	$871M	$890M	-2.2%	$440M	25.5%	54	49	31	24

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T•••••••• T•• • F••••••••	2	Jan 24, 2025	Jan 16, 2025	TROY, MI	Team lift out	RIA to new firm	4.5%
O•••• W•••••• I•••	2	Nov 25, 2019	Nov 1, 2019

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G••••••• L••	2	May 30, 2025	May 23, 2025	BLOOMFIELD HILLS, MI	Team lift out	RIA to RIA	22.2%
S•• I••••••••• A•••••••• I•••	2	Sep 9, 2024	Sep 24, 2024

Relationships

showing 80 of 95

Registered with (74)

← J•••• K••• S••••••Advisorregistration: current employment
Jun 24, 2026 to presentfactForm ADV
← L••••••• C••• S••••••Advisorregistration: current employment
Jun 23, 2026 to presentfactForm ADV
← B••••• N• O••••••••Advisorregistration: current employment
May 22, 2026 to presentfactForm ADV
← K•••• R• N•••••

Dated events

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

Occurred
May 22, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 13, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 3, 2026
Advisor departed, no destination yet
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c5623b40-952f-5fdc-c5e2-0e7224736bfe
First observed: Aug 8, 2018
Last observed: Aug 20, 2026 34 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.