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.

Former SEC-registered adviser

Vintage Financial Services LLC

Former SEC-registered adviserAnn Arbor, MichiganCRD 105271SEC 801-23853IAPD
Latest filing Mar 28, 2023
First filing on the tape Mar 19, 2012 · 26 filings
RAUM
$771M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$766M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$771M as of Mar 28, 2023
Mar 19, 2012$183M then
HNW client RAUM$173M as of Mar 28, 2023
Mar 13, 2018$412M then
State-registered IARs (5.B.3)7 as of Mar 28, 2023
Mar 19, 20120 then
Employees (5.A)16 as of Mar 28, 2023
Mar 15, 20136 then
Private funds: no history
RAUM -16% over the last fiscal year+3.5% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Mar 28, 2023; every figure names its basis
RAUM per advisor
$110MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
77derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$6.7MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-16%derivedbetween the last two annual amendments
Advisor growth, one year
+17%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.5%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 5.G
Financial planning clients
500reportedItem 5.H
Custody
$92.8M, 262 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$593M77%
  • High-net-worth individuals$173M22%
  • Charitable organizations$4.7M0.6%
Individual clients
514reported
HNW clients
26reported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
542reported
Financial planning clients
500reported
Wrap fee programs
noreported
Custody of client assets
$92.8M for 262 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • William Jack Mccloskey · Chief Operating Officercontrol
      since 08/2021 · owns less than 5%
    • Shearer Franklin Moore · Managing Member, Chief Compliance Officercontrol
      since 01/1999 · owns less than 5%
    Entity owners
    • Mercer Global Advisors Inc. · Parent Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Ann Arbor, Mi · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 530 to 542
      Dec 13, 2022 to Mar 28, 2023
    • Advisory employees · 6 to 7
      Dec 13, 2022 to Mar 28, 2023
    • HNW clients · 20 to 26
      Dec 13, 2022 to Mar 28, 2023
    • Individual clients · 507 to 514
      Dec 13, 2022 to Mar 28, 2023
    • Assets in custody · $99.7M to $92.8M
      Dec 13, 2022 to Mar 28, 2023
    • State-registered IARs · 6 to 7
      Dec 13, 2022 to Mar 28, 2023
    • Discretionary RAUM · $923M to $771M
      Dec 13, 2022 to Mar 28, 2023
    • HNW RAUM · $150M to $173M
      Dec 13, 2022 to Mar 28, 2023
    • Individual RAUM · $769M to $593M
      Dec 13, 2022 to Mar 28, 2023
    • RAUM · $923M to $771M
      Dec 13, 2022 to Mar 28, 2023
    • Accounts · 520 to 530
      Sep 22, 2021 to Mar 22, 2022
    • HNW clients · 27 to 20
      Sep 22, 2021 to Mar 22, 2022
    • Individual clients · 490 to 507
      Sep 22, 2021 to Mar 22, 2022
    • Assets in custody · $87.0M to $99.7M
      Sep 22, 2021 to Mar 22, 2022
    • Employees · 15 to 16
      Sep 22, 2021 to Mar 22, 2022
    • Discretionary RAUM · $779M to $923M
      Sep 22, 2021 to Mar 22, 2022
    • HNW RAUM · $156M to $150M
      Sep 22, 2021 to Mar 22, 2022
    • Individual RAUM · $620M to $769M
      Sep 22, 2021 to Mar 22, 2022
    • RAUM · $779M to $923M
      Sep 22, 2021 to Mar 22, 2022
    • Accounts · 515 to 520
      Jun 22, 2020 to Mar 31, 2021
    • Advisory employees · 4 to 6
      Jun 22, 2020 to Mar 31, 2021
    • HNW clients · 20 to 27
      Jun 22, 2020 to Mar 31, 2021
    • Individual clients · 493 to 490
      Jun 22, 2020 to Mar 31, 2021
    • Pooled vehicle clients · unset to 0.0
      Jun 22, 2020 to Mar 31, 2021
    • Assets in custody · $60.0M to $87.0M
      Jun 22, 2020 to Mar 31, 2021
    • State-registered IARs · 4 to 6
      Jun 22, 2020 to Mar 31, 2021
    • Discretionary RAUM · $696M to $779M
      Jun 22, 2020 to Mar 31, 2021
    • HNW RAUM · $103M to $156M
      Jun 22, 2020 to Mar 31, 2021
    • Individual RAUM · $590M to $620M
      Jun 22, 2020 to Mar 31, 2021
    • RAUM · $696M to $779M
      Jun 22, 2020 to Mar 31, 2021
    • Accounts · 523 to 515
      Sep 27, 2019 to Mar 11, 2020
    • HNW clients · 218 to 20
      Sep 27, 2019 to Mar 11, 2020
    • Individual clients · 304 to 493
      Sep 27, 2019 to Mar 11, 2020
    • Assets in custody · $66.7M to $60.0M
      Sep 27, 2019 to Mar 11, 2020
    • Employees · 14 to 15
      Sep 27, 2019 to Mar 11, 2020
    • Discretionary RAUM · $608M to $696M
      Sep 27, 2019 to Mar 11, 2020
    • HNW RAUM · $426M to $103M
      Sep 27, 2019 to Mar 11, 2020
    • Individual RAUM · $179M to $590M
      Sep 27, 2019 to Mar 11, 2020
    • RAUM · $608M to $696M
      Sep 27, 2019 to Mar 11, 2020
    • Accounts · 485 to 523
      Nov 15, 2018 to Mar 20, 2019
    Signals
    11 dated events
    • Nathan Zolynsky left Vintage Financial Services Llc for Mercer Global Advisors Inc. (registered 2022-12-14)
      Sep 29, 2023 · Advisor changed firm · fact
    • Deborah Ann Krone left Vintage Financial Services Llc for Mercer Global Advisors Inc. (registered 2022-12-14)
      Mar 1, 2023 · Advisor changed firm · fact
    • Tammy Marie Wakevainen left Vintage Financial Services Llc for Mercer Global Advisors Inc. (registered 2022-12-19)
      Feb 23, 2023 · Advisor changed firm · fact
    • Michael Stros left Vintage Financial Services Llc for Mercer Global Advisors Inc. (registered 2022-12-15)
      Feb 23, 2023 · Advisor changed firm · fact
    • Douglas James Watts left Vintage Financial Services Llc for Mercer Global Advisors Inc. (registered 2022-12-19)
      Feb 23, 2023 · Advisor changed firm · fact
    • Jack William Mccloskey left Vintage Financial Services Llc for Mercer Global Advisors Inc. (registered 2022-12-14)
      Feb 23, 2023 · Advisor changed firm · fact
    • Vintage Financial Services LLC's advisors moved to Mercer Global Advisors Inc. (Ann Arbor, MI): 5 of 6 registered, within 6 days
      Feb 23, 2023 · Firm absorbed (people side) · derived
    • Michael Stephen Nemick left Vintage Financial Services Llc for Thrive Retirement Specialists (registered 2022-06-16)
      May 20, 2022 · Advisor changed firm · fact
    • Set Carpintero left Vintage Financial Services Llc for Resource Consulting Group (registered 2022-06-07)
      Apr 18, 2022 · Advisor changed firm · fact
    • William Jack Mccloskey (Chief Operating Officer) appeared on Schedule A of Vintage Financial Services Llc
      Sep 22, 2021 · Control person joined · fact
    • Vintage Financial Services Llc reported RAUM $584.8M, up 29% from $454.5M (2017-07-26 to 2018-03-13)
      Mar 13, 2018 · 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.
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026