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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Former SEC-registered adviser

I•••••••• M••••••••• S••••••• I••

Former SEC-registered adviserGrosse Pointe, MichiganCRD 104724SEC 801-5445IAPD
Latest filing Sep 6, 2018
First filing on the tape Mar 30, 2012 · 5 filings
RAUM
$33.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
47%
$15.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$33.4M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$33.4M as of Jun 6, 2018
Mar 30, 2012$95.1M then
HNW client RAUM: $11.4M
State-registered IARs (5.B.3)0 as of Jun 6, 2018
Mar 30, 20120 then
Employees (5.A)2 as of Jun 6, 2018
Apr 1, 20133 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 6, 2018; every figure names its basis
RAUM per advisor
$33.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
23derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
53%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$17.6M53%
  • High-net-worth individuals$11.4M34%
  • Individuals$4.4M13%
Individual clients
17reported
HNW clients
6reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
24reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K••••••• J••• W••••••Grosse Pointe Woods, MiJul 22, 201920 y0
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 headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W••••••• K•••••••• J••• · President/Ccocontrol
        since 01/2018 · owns less than 5%
      • W••••••• R••••••• H•••••• · Principalcontrol
        since 05/2015 · owns 75% or more
      • D••••••• G••••• · Minority Stock Holder
        since 08/2004 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 134 to 24
        Mar 31, 2014 to Jun 6, 2018
      • Charity clients · unset to 0.0
        Mar 31, 2014 to Jun 6, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2014 to Jun 6, 2018
      • HNW clients · unset to 6.0
        Mar 31, 2014 to Jun 6, 2018
      • Individual clients · unset to 17.0
        Mar 31, 2014 to Jun 6, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 31, 2014 to Jun 6, 2018
      • Employees · 3 to 2
        Mar 31, 2014 to Jun 6, 2018
      • Financial planning clients · 51-100 to 11-25
        Mar 31, 2014 to Jun 6, 2018
      • State-registered IARs · 1 to 0
        Mar 31, 2014 to Jun 6, 2018
      • Other offices · unset to 1.0
        Mar 31, 2014 to Jun 6, 2018
      • Discretionary RAUM · $90.0M to $33.4M
        Mar 31, 2014 to Jun 6, 2018
      • HNW RAUM · unset to 11365875.0
        Mar 31, 2014 to Jun 6, 2018
      • Individual RAUM · unset to 4448584.0
        Mar 31, 2014 to Jun 6, 2018
      • Non-discretionary RAUM · $222,745 to $0
        Mar 31, 2014 to Jun 6, 2018
      • Pension RAUM · unset to 17623691.0
        Mar 31, 2014 to Jun 6, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 31, 2014 to Jun 6, 2018
      • RAUM · $90.3M to $33.4M
        Mar 31, 2014 to Jun 6, 2018
      • Accounts · 133 to 134
        Apr 1, 2013 to Mar 31, 2014
      • Financial planning clients · 101-250 to 51-100
        Apr 1, 2013 to Mar 31, 2014
      • Accounts · 149 to 133
        Mar 30, 2012 to Apr 1, 2013
      • Advisory employees · unset to 1.0
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 3.0
        Mar 30, 2012 to Apr 1, 2013
      • Financial planning clients · unset to 101-250
        Mar 30, 2012 to Apr 1, 2013
      • State-registered IARs · 0 to 1
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $94.8M to $90.0M
        Mar 30, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $269,509 to $222,745
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $95.1M to $90.3M
        Mar 30, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $33.4Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026