DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
D••••• • A••••••••• I••
Latest filing Jun 30, 2026
First filing on the tape Apr 2, 2012 · 21 filings
SEC status approved since Mar 4, 1988
RAUM
$916M
reported, Item 5.F
Discretionary
18%
of RAUM
Private clients
86%
$784M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$229M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$916M as of Jun 30, 2026
Apr 2, 2012$176M then
HNW client RAUM$453M as of Jun 30, 2026
Mar 29, 2018$124M then
State-registered IARs (5.B.3)3 as of Jun 30, 2026
Apr 2, 20120 then
Employees (5.A)8 as of Jun 30, 2026
Mar 26, 20135 then
Private funds: no history
RAUM +7.5% over the last fiscal year+18% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $229MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.3MderivedHNW RAUM over HNW clients
- Average account
- $951,609derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 18%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$453M49%
- Individuals$330M36%
- Pension and profit-sharing plans$87.1M9.5%
- Charitable organizations$45.8M5.0%
- Individual clients
- 328reported
- HNW clients
- 40reported
- Pension plan clients
- 17reported
- Charitable clients
- 9reported
- Accounts
- 963reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• P•••••• D••••• | Jackson, Mi | Jun 23, 2003 | 30 y | 0 |
| E••• J••• G••••• | Jackson, Mi | Apr 6, 2010 | 27 y | 0 |
| M•••••• H••••• J•••••• | Jackson, Mi | Sep 3, 2025 | 11 y | 0 |
| E••••• R•••••• O••••• | Jackson, Mi | Jun 30, 2026 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- N••••••• D•••• R••••••• to R•••• I••••••••• L••Mar 24, 2025 · RIA to a state-registered adviser
Joined, latest
- N••••••• D•••• R••••••• from F••••• I•••••••••Jun 21, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• J••••••• P•••••• · Presidentcontrolsince 12/2010 · owns 75% or more
- D•••••• V•••••• M•••• · Secretarycontrolsince 05/2011 · owns less than 5%
- G•••••• E•••• J••• · Vice-President/Chief Compliance Officercontrolsince 12/2004 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Jackson, Mi · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 29, 2026 to Jun 30, 2026
- Charity clients · 8 to 9Mar 27, 2025 to Mar 29, 2026
- Accounts · 905 to 963Mar 27, 2025 to Mar 29, 2026
- Advisory employees · 2 to 3Mar 27, 2025 to Mar 29, 2026
- HNW clients · 36 to 40Mar 27, 2025 to Mar 29, 2026
- Individual clients · 292 to 328Mar 27, 2025 to Mar 29, 2026
- Pension plan clients · 16 to 17Mar 27, 2025 to Mar 29, 2026
- Employees · 6 to 8Mar 27, 2025 to Mar 29, 2026
- State-registered IARs · 2 to 3Mar 27, 2025 to Mar 29, 2026
- Discretionary RAUM · $108M to $164MMar 27, 2025 to Mar 29, 2026
- HNW RAUM · $410M to $453MMar 27, 2025 to Mar 29, 2026
- Individual RAUM · $304M to $330MMar 27, 2025 to Mar 29, 2026
- Non-discretionary RAUM · $745M to $752MMar 27, 2025 to Mar 29, 2026
- Pension RAUM · $96.5M to $87.1MMar 27, 2025 to Mar 29, 2026
- RAUM · $853M to $916MMar 27, 2025 to Mar 29, 2026
- Accounts · 810 to 905Apr 8, 2024 to Mar 27, 2025
- Advisory employees · 3 to 2Apr 8, 2024 to Mar 27, 2025
- HNW clients · 32 to 36Apr 8, 2024 to Mar 27, 2025
- Individual clients · 285 to 292Apr 8, 2024 to Mar 27, 2025
- Pension plan clients · 14 to 16Apr 8, 2024 to Mar 27, 2025
- Employees · 7 to 6Apr 8, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Apr 8, 2024 to Mar 27, 2025
- State-registered IARs · 3 to 2Apr 8, 2024 to Mar 27, 2025
- Discretionary RAUM · $77.7M to $108MApr 8, 2024 to Mar 27, 2025
- HNW RAUM · $296M to $410MApr 8, 2024 to Mar 27, 2025
- Individual RAUM · $259M to $304MApr 8, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $579M to $745MApr 8, 2024 to Mar 27, 2025
- Pension RAUM · $67.1M to $96.5MApr 8, 2024 to Mar 27, 2025
- RAUM · $656M to $853MApr 8, 2024 to Mar 27, 2025
- Accounts · 759 to 810Mar 24, 2023 to Mar 29, 2024
- Charity clients · 9 to 8Mar 24, 2023 to Mar 29, 2024
- Individual clients · 273 to 285Mar 24, 2023 to Mar 29, 2024
- Employees · 6 to 7Mar 24, 2023 to Mar 29, 2024
- Discretionary RAUM · $85.8M to $77.7MMar 24, 2023 to Mar 29, 2024
- HNW RAUM · $214M to $296MMar 24, 2023 to Mar 29, 2024
- Individual RAUM · $236M to $259MMar 24, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $470M to $579MMar 24, 2023 to Mar 29, 2024
- Pension RAUM · $77.4M to $67.1MMar 24, 2023 to Mar 29, 2024
- RAUM · $556M to $656MMar 24, 2023 to Mar 29, 2024
- Accounts · 727 to 759Mar 31, 2022 to Mar 24, 2023
Signals
4 dated events
- D••••• • A••••••••• I•• reported RAUM $852.7M, up 30% from $656.5M (2024-04-08 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- N••••••• D•••• R••••••• left D••••• • A••••••••• I•• for R•••• I••••••••• L•• (registered 2025-03-26)Mar 24, 2025 · Advisor changed firm · fact
- D••••• • A••••••••• I•• reported RAUM $577.0M, up 27% from $453.9M (2020-06-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- D••••• • A••••••••• I•• reported RAUM $453.9M, up 36% from $334.5M (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- D•••••-ASSOC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 517-796-7090reportedpublic record, Form ADV, Jun 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $229Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026