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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
F•••••••• A••••••• C•••••••••
Latest filing Feb 3, 2026
First filing on the tape Mar 27, 2012 · 21 filings
SEC status approved since Jan 27, 1989
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
54%
$598M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$123M
derived; firm RAUM over IAPD count
Employees
14
14 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$1.1B as of Feb 3, 2026
Mar 27, 2012$270M then
HNW client RAUM$534M as of Feb 3, 2026
Feb 15, 2018$295M then
State-registered IARs (5.B.3)9 as of Feb 3, 2026
Mar 27, 20120 then
Employees (5.A)14 as of Feb 3, 2026
Mar 12, 201311 then
Private funds: no history
RAUM +14% over the last fiscal year+12% a year over threeIARs 6 to 9
Practice profile
derived from the filing of Feb 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $123MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $950,617derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 34%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $23.7M, 48 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- High-net-worth individuals$534M48%
- Charitable organizations$334M30%
- Corporations and businesses$127M12%
- Individuals$64.5M5.8%
- Pension and profit-sharing plans$44.8M4.1%
- Individual clients
- 125reported
- HNW clients
- 133reported
- Pension plan clients
- 10reported
- Charitable clients
- 14reported
- Accounts
- 1,162reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.7M for 48 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.54 fund_share=0.0 institutional_share=0.34 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• D•••• V••••• M•••••Certified Financial Planner | Grand Rapids, Mi | Aug 25, 2010 | 27 y | 0 |
| P••• G••••• A•••••Certified Financial Planner | Grand Rapids, Mi | Aug 25, 2010 | 44 y | 0 |
| L•••• J•• F•••••Certified Financial Planner | Grand Rapids, Mi | Aug 25, 2010 | 36 y | 0 |
| A••••• J•••• R••••••Certified Financial Planner | Grand Rapids, Mi | Aug 25, 2010 | 29 y | 0 |
| R••• M•••••• A••••Certified Financial Planner, Chartered Financial Analyst | Grand Rapids, Mi | Jun 9, 2015 | 16 y | 2 |
| C••••••••• M•••••• S••••Certified Financial Planner | Grand Rapids, Mi | Jan 12, 2016 | 22 y | 0 |
| J•••••• J• V••••••Certified Financial Planner | Grand Rapids, Mi | May 9, 2025 | 11 y | 0 |
| C•••• M•••••• R••••••Certified Financial Planner | Grand Rapids, Mi | May 20, 2025 | 24 y | 0 |
| N••••••• S•••••Chartered Financial Consultant | Grand Rapids, Mi | Nov 6, 2025 | 11 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J•••••• E••• J••••• to S••••• W••••• P•••••••• L••Oct 10, 2014 · Other
Joined, latest
- N••••••• S••••• from L•• F•••••••• L••Nov 6, 2025 · Affiliated broker-dealer or bank to independent RIA
- R••• M•••••• A•••• from R•• R•••••••• L••Jun 9, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• P•••• G••••• · Presidentcontrolsince 07/1988 · owns 50% to 75%
- F•••••• L••••• J•• · Chief Operations Officer, Chief Compliance Officercontrolsince 07/1998 · owns 25% to 50%
- S••••• C••••••••• M•••••• · Wealth Advisorcontrolsince 10/2013 · owns 10% to 25%
- V••••• M•••••• J•••• D•••• · Wealth Advisorcontrolsince 10/2005 · 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 |
|---|---|---|---|---|---|
| Grand Rapids, Mi · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count surgeChange between filings · filing Feb 3, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 9.0 (+50.0%) between the annual amendments of 2025-03-12 and 2026-02-03; the peer median change was 0.0% (999 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $1B to $5B (999) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 1,222 to 1,162Nov 14, 2025 to Feb 3, 2026
- Charity clients · 16 to 14Nov 14, 2025 to Feb 3, 2026
- HNW clients · 129 to 133Nov 14, 2025 to Feb 3, 2026
- Individual clients · 123 to 125Nov 14, 2025 to Feb 3, 2026
- Pension plan clients · 9 to 10Nov 14, 2025 to Feb 3, 2026
- Pooled vehicle clients · unset to 0.0Nov 14, 2025 to Feb 3, 2026
- Assets in custody · $22.0M to $23.7MNov 14, 2025 to Feb 3, 2026
- Financial planning clients · 101-250 to 251-500Nov 14, 2025 to Feb 3, 2026
- Discretionary RAUM · $972M to $1.1BNov 14, 2025 to Feb 3, 2026
- HNW RAUM · $480M to $534MNov 14, 2025 to Feb 3, 2026
- Individual RAUM · $53.0M to $64.5MNov 14, 2025 to Feb 3, 2026
- Pension RAUM · $36.4M to $44.8MNov 14, 2025 to Feb 3, 2026
- Pooled vehicle RAUM · unset to 0.0Nov 14, 2025 to Feb 3, 2026
- RAUM · $972M to $1.1BNov 14, 2025 to Feb 3, 2026
- State-registered IARs · 8 to 9May 21, 2025 to Nov 14, 2025
- Advisory employees · 13 to 14Mar 12, 2025 to May 21, 2025
- Financial planning clients · 101-250 to 101-250Mar 12, 2025 to May 21, 2025
- State-registered IARs · 6 to 8Mar 12, 2025 to May 21, 2025
- Accounts · 1,180 to 1,222Feb 21, 2024 to Mar 12, 2025
- Charity clients · 14 to 16Feb 21, 2024 to Mar 12, 2025
- Corporate clients · 10 to 11Feb 21, 2024 to Mar 12, 2025
- HNW clients · 126 to 129Feb 21, 2024 to Mar 12, 2025
- Individual clients · 80 to 123Feb 21, 2024 to Mar 12, 2025
- Assets in custody · $24.5M to $22.0MFeb 21, 2024 to Mar 12, 2025
- Discretionary RAUM · $913M to $972MFeb 21, 2024 to Mar 12, 2025
- HNW RAUM · $449M to $480MFeb 21, 2024 to Mar 12, 2025
- Individual RAUM · $50.0M to $53.0MFeb 21, 2024 to Mar 12, 2025
- Pension RAUM · $34.7M to $36.4MFeb 21, 2024 to Mar 12, 2025
- RAUM · $913M to $972MFeb 21, 2024 to Mar 12, 2025
- Accounts · 1,148 to 1,180Mar 28, 2023 to Feb 21, 2024
- Charity clients · 15 to 14Mar 28, 2023 to Feb 21, 2024
- HNW clients · 124 to 126Mar 28, 2023 to Feb 21, 2024
- Individual clients · 77 to 80Mar 28, 2023 to Feb 21, 2024
- Assets in custody · $23.4M to $24.5MMar 28, 2023 to Feb 21, 2024
- Discretionary RAUM · $796M to $913MMar 28, 2023 to Feb 21, 2024
- HNW RAUM · $410M to $449MMar 28, 2023 to Feb 21, 2024
- Individual RAUM · $41.0M to $50.0MMar 28, 2023 to Feb 21, 2024
- Pension RAUM · $31.3M to $34.7MMar 28, 2023 to Feb 21, 2024
- RAUM · $796M to $913MMar 28, 2023 to Feb 21, 2024
- Accounts · 1,078 to 1,148Mar 23, 2022 to Mar 28, 2023
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.
How to reach
public business contact points only, each with its source
- Business phone
- 616-235-5260reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/2113413reportedpublic record, Form ADV, Sep 18, 2026
- Website
- f••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 616-235-5260reportedpublic record, Form ADV, Feb 3, 2026
- Team page
- f••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $123Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026