DFX Intelligence

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

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 1b 10b

S••

S•••• P••••••• CORPORATION, CRD 110692

ANN ARBOR, 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 graphs

Data as of May 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1,272
Dated events: 80
On other graphs: 0
Observed: Jan 17, 2012 to May 7, 2026
56 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: broker-dealer affiliated wealth managerderived••• Locked
Regulatory AUM: $6.1B••• Locked
Discretionary RAUM: $6.1B
Private client RAUM: $5.9Bderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 477
RAUM per advisor: $12.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
V••••• J••• V••••••	Certified Financial Planner	NORTHBROOK, IL \| ANN ARBOR, MI	28	41	n/a	yes
R••••• I•• W••••	n/a	ANN ARBOR, MI \| LAKE BLUFF, IL	27	45

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••••••• A•••••• D••••	CHIEF COMPLIANCE OFFICER	Na	yes	10/2022	May 7, 2026	May 7, 2026
M••••••••• J•••• A••••••••	CHIEF RISK AND BUSINESS OFFICER	Na	yes	04/2025	May 7, 2026	May 7, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••••• S••••••••• L••	n/a	n/a	n/a	N	yes	n/a
S•••• F•••••••• C•••••••••	n/a	n/a	n/a	N	yes

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
MT. PROSPECT	IL	United States	8	yes
COLORADO SPRINGS	Co	United States	6	yes
T•••	Mi	United States	6	yes
Maumee	Oh	United States	6	yes
A•••• PARK	Mi	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
26	20	6	4.2%	4	2	0	77	102

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	$6.1B	$5.7B	7.9%	$6.0B	0.8%	471	462	336	351

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B•• P••••• F••••••••	2	Jun 1, 2026	May 29, 2026	MT CLEMENS, MI	Team lift out	Ibd to new firm	0.4%
L•• F•••••••• L••	2	Dec 2, 2025	Dec 1, 2025

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••••• F•••••••• N••••••	2	Aug 18, 2025	Aug 19, 2025	FISHKILL, NY	Team lift out	Ibd to ibd	0.1%
J••• W••••• M••••••••• L••	2	Jul 31, 2025	Aug 19, 2025

Relationships

showing 80 of 1,272

Registered with (72)

← L•••• A••• J•••••••••Advisorregistration: current employment
Sep 15, 2026 to presentfactForm ADV
← K•••••• D•••• S•••Advisorregistration: current employment
Sep 11, 2026 to presentfactForm ADV
← R•••••• B••••••• O•••••Advisorregistration: current employment
Sep 2, 2026 to presentfactForm ADV
← B••• S•••••••

Dated events

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

Order

Occurred
17 Jul 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
6 Jul 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
23 Jun 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
1 Jun 2026
Advisor changed firm2 events
Advisor changed firm: 2 on 1 Jun 2026
- ••• Locked
- ••• Locked
Occurred
21 Apr 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 17, 2012
Last observed: May 7, 2026 4 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.

All 25 rows

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• W•••• B•••••	n/a	Newtown, CT \| ANN ARBOR, MI \| ARDMORE, OK	24	45	1	yes
W•••••• E• C•••••	n/a	SLIDELL, LA	24	36	n/a	yes
B•••••• D•••• R•••••	n/a	ANN ARBOR, MI	23	29	n/a	yes
G••••• R•••••• H•••	n/a	HARRISBURG, PA	23	29	n/a	yes
G•• S•••••• D•••••	n/a	Bridgeport, WV \| ANN ARBOR, MI \| Naples, FL	23	40	n/a	yes
R••••• W• B•••	n/a	TOLEDO, OH \| ANN ARBOR, MI	23	39	n/a	yes
N••••• J••••• H••••••	Chartered Financial Consultant	Bay Harbor Islands, FL \| ANN ARBOR, MI	23	42	1	yes
K••••• R••• H•••••	n/a	ANN ARBOR, MI \| GREAT FALLS, MT	23	28	n/a	yes
A•••• D•••••• W•••••••	n/a	Fishers, IN \| ANN ARBOR, MI	23	24	n/a	yes
M••••• M•••••••• T••••••	Certified Financial Planner	ANN ARBOR, MI \| Chicago, IL	23	26	1	yes
D•• E••••• E•••••••	n/a	Fishers, IN \| ANN ARBOR, MI	22	41	1	yes
M•••••• J••• R••••••••	Certified Financial Planner	TUCKER, GA \| ANN ARBOR, MI	22	30	n/a	yes
D•••• M••• M•••••	n/a	Orange, CA \| ANN ARBOR, MI	22	28	n/a	yes
L•••• C••••••••• J••••	Certified Financial Planner	ANN ARBOR, MI \| OMAHA, NE	22	24	n/a	yes
M••• W•••••• T•••••••	n/a	GREENWOOD VILLAGE, CO \| ANN ARBOR, MI	22	46	n/a	yes

All 25 rows

City	State	Country	Employees	Also broker-dealer
Sunrise	FL	United States	3	yes
Knox	In	United States	3	yes
EAST LANSING	Mi	United States	3	yes
Lansing	Mi	United States	3	yes
Novi	Mi	United States	3	yes
Okemos	Mi	United States	3	yes
T•••	Mi	United States	3	yes
PLYMOUTH MEETING	Pa	United States	3	yes
CEDAR PARK	TX	United States	3	yes
FORT W••••	In	United States	2	yes
Celina	Oh	United States	2	yes
Lebanon	Pa	United States	2	yes
SAN ANTONIO	TX	United States	2	yes
n/a	n/a	n/a	2	yes
n/a	n/a	n/a	2	yes

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 23, 2016	$2.0B	$2.0B	684	684	n/a	n/a	n/a
2014	Mar 31, 2015	$2.4B	$2.4B	724	724	n/a	n/a	n/a
2013	Mar 31, 2014	$2.0B	$2.0B	730	730	n/a	n/a	n/a
2012	Feb 20, 2013	$1.6B	$1.6B	700	700	n/a	n/a	n/a
2011	Jan 17, 2012	$1.4B	$1.4B	n/a	n/a	n/a	n/a	n/a

All 20 rows

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O•••• W•••••• I•••	2	Jul 22, 2024	Jul 22, 2024	TOLEDO, OH	Team lift out	Ibd to ibd	0.5%
O•••• A••••••• S•••••••• L••	2	Jun 14, 2024	Jun 18, 2024	CHESTERFIELD, MI	Team lift out	Ibd to ibd	0.5%
O•••• A••••••• S•••••••• L••	2	May 31, 2024	May 31, 2024	GREENCASTLE, IN	Team lift out	Ibd to ibd	0.5%
O•••• W•••••• I•••	5	Apr 1, 2024	Apr 1, 2024	MORENCI, MI	Team lift out	Ibd to ibd	1.1%
O•••• W•••••• I•••	2	Apr 1, 2024	Apr 5, 2024	MAUMEE, OH	Team lift out	Ibd to ibd	0.5%
O•••• W•••••• I•••	2	Dec 12, 2023	Dec 15, 2023	BAY CITY, MI	Team lift out	Ibd to ibd	0.5%
O•••• A••••••• S•••••••• L••	2	Nov 10, 2023	Nov 13, 2023	E••••WOOD, CO	Team lift out	Ibd to ibd	0.5%
C•••••••• I••••••••• R••••••• A•••••••• I•••	2	Oct 30, 2023	Oct 30, 2023	WASHINGTON TOWNSHIP, MI	Team lift out	Ibd to ibd	0.4%
O•••• A••••••• S•••••••• L••	2	Oct 30, 2023	Nov 10, 2023	YPSILANTI, MI	Team lift out	Ibd to ibd	0.4%
O•••• W•••••• I•••	2	Oct 11, 2023	Oct 20, 2023	CARLETON, MI	Team lift out	Ibd to ibd	0.4%

All 12 rows

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••••••• F•••••••• S•••••••• L••	2	Feb 8, 2016	Feb 4, 2016	ST C••••••, IL	Team lift out	Other	0.0%
W••••• W••••• M•••••••••	2	Dec 31, 2015	Nov 10, 2015	NAPERVILLE, IL	Team lift out	Other	100.0%