DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

D••••••• C•••••• M••••••••• F••• A•••••••• I•••

CRD 160085

TRAVERSE CITY, MI

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Search this name across graphsid dfx:ria:e6f50636-098a-90f1-10c0-34b821852b7d

Data as of Jan 18, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 9, 2012 to Jan 18, 2012
2 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
SEC number: 801-73039
CRD: 160085
Filings on the tape: 2
First filed: Jan 9, 2012
Latest filed: Jan 18, 2012
Organised

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••• S••••	PRESIDENT AND CEO	E	yes	12/2011	Jan 9, 2012	Jan 18, 2012
V••••••••• J•••••• H•••••	EXECUTIVE VICE PRESIDENT AND CCO	Na	yes	01/2012	Jan 9, 2012	Jan 18, 2012

Relationships

Controls (2)

← V••••••••• J•••••• H•••••OwnerEXECUTIVE VICE PRESIDENT AND CCO, ownership code NA, individual
Jan 9, 2012 to presentfactForm ADV
← F•••••• S••••OwnerPRESIDENT AND CEO, ownership code E, individual
Jan 9, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e6f50636-098a-90f1-10c0-34b821852b7d
First observed: Jan 9, 2012
Last observed: Jan 18, 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.