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
R••••• I••••••••• A••••••• S•••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Apr 2, 2012 · 34 filings
SEC status approved since Jul 8, 1985
RAUM
$238M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$229M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$59.5M
derived; firm RAUM over IAPD count
Employees
16
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$238M as of Mar 17, 2026
Oct 1, 2012$92.8M then
HNW client RAUM$154M as of Mar 17, 2026
Sep 26, 2018$101M then
State-registered IARs (5.B.3)4 as of Mar 17, 2026
Oct 1, 20120 then
Employees (5.A)16 as of Mar 17, 2026
Sep 30, 201313 then
Private funds: no history
RAUM +16% over the last fiscal year+8.6% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 17, 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
- $59.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 123derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $228,248derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $40.9M, 91 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$154M65%
- Individuals$75.1M32%
- Corporations and businesses$7.0M2.9%
- Charitable organizations$1.7M0.7%
- Individual clients
- 358reported
- HNW clients
- 132reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,043reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $40.9M for 91 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| T•• G••••• F•••••Certified Financial Planner | Linden, Mi | Nov 9, 2015 | 19 y | 0 |
| P••••••• A••• W•••••Certified Financial Planner | Linden, Mi | Sep 16, 2016 | 17 y | 0 |
| K••••••• M•••• S•••••••Chartered Financial Consultant | Linden, Mi | Jun 3, 2019 | 17 y | 0 |
| B•••••• J• Y•••Chartered Financial Consultant | Linden, Mi | Sep 24, 2025 | 10 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• T••• G••••• · Director (Of Managing Member)controlsince 05/2010 · owns less than 5%
- F•••••• T••• G••••• · Sole Shareholder Of Parent Corporationcontrolsince 03/2019 · owns 75% or more of R••• H•••••• C•••••• I•••••••••
Entity owners
- R••• H•••••• C•••••• I••••••••• · Managing Member (Sole Member)direct · owns 75% or more
Related persons
Schedule D 7.A
- T•• G••••• F•••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Linden, Mi · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 961 to 1,043Oct 28, 2025 to Mar 17, 2026
- HNW clients · 125 to 132Oct 28, 2025 to Mar 17, 2026
- Assets in custody · $36.7M to $40.9MOct 28, 2025 to Mar 17, 2026
- State-registered IARs · 3 to 4Oct 28, 2025 to Mar 17, 2026
- Discretionary RAUM · $206M to $238MOct 28, 2025 to Mar 17, 2026
- HNW RAUM · $139M to $154MOct 28, 2025 to Mar 17, 2026
- Individual RAUM · $59.1M to $75.1MOct 28, 2025 to Mar 17, 2026
- RAUM · $206M to $238MOct 28, 2025 to Mar 17, 2026
- Accounts · 925 to 961Oct 30, 2024 to Feb 28, 2025
- HNW clients · 98 to 125Oct 30, 2024 to Feb 28, 2025
- Individual clients · 369 to 358Oct 30, 2024 to Feb 28, 2025
- Assets in custody · $36.5M to $36.7MOct 30, 2024 to Feb 28, 2025
- Financial planning clients · More than 500 to More than 500Oct 30, 2024 to Feb 28, 2025
- Discretionary RAUM · $186M to $206MOct 30, 2024 to Feb 28, 2025
- HNW RAUM · $115M to $139MOct 30, 2024 to Feb 28, 2025
- Individual RAUM · $63.5M to $59.1MOct 30, 2024 to Feb 28, 2025
- RAUM · $186M to $206MOct 30, 2024 to Feb 28, 2025
- Related insurance company · true to falseOct 30, 2024 to Feb 28, 2025
- Accounts · 1,081 to 925Mar 14, 2023 to Feb 22, 2024
- Advisory employees · 13 to 14Mar 14, 2023 to Feb 22, 2024
- HNW clients · 109 to 98Mar 14, 2023 to Feb 22, 2024
- Individual clients · 368 to 369Mar 14, 2023 to Feb 22, 2024
- Assets in custody · $38.2M to $36.5MMar 14, 2023 to Feb 22, 2024
- Employees · 15 to 16Mar 14, 2023 to Feb 22, 2024
- Financial planning clients · 251-500 to More than 500Mar 14, 2023 to Feb 22, 2024
- Discretionary RAUM · $186M to $186MMar 14, 2023 to Feb 22, 2024
- HNW RAUM · $121M to $115MMar 14, 2023 to Feb 22, 2024
- Individual RAUM · $58.1M to $63.5MMar 14, 2023 to Feb 22, 2024
- Pension RAUM · 1271095.0 to unsetMar 14, 2023 to Feb 22, 2024
- RAUM · $186M to $186MMar 14, 2023 to Feb 22, 2024
- Related insurance company · false to trueMar 14, 2023 to Feb 22, 2024
- Accounts · 1,065 to 1,081Nov 11, 2022 to Mar 14, 2023
- Advisory employees · 14 to 13Nov 11, 2022 to Mar 14, 2023
- HNW clients · 132 to 109Nov 11, 2022 to Mar 14, 2023
- Individual clients · 348 to 368Nov 11, 2022 to Mar 14, 2023
- Assets in custody · $27.9M to $38.2MNov 11, 2022 to Mar 14, 2023
- Employees · 16 to 15Nov 11, 2022 to Mar 14, 2023
- Financial planning clients · More than 500 to 251-500Nov 11, 2022 to Mar 14, 2023
- Discretionary RAUM · $230M to $186MNov 11, 2022 to Mar 14, 2023
- HNW RAUM · $164M to $121MNov 11, 2022 to Mar 14, 2023
Signals
1 dated events
- P••••••• Laurie Torrey (Trustee) no longer on Schedule A of R••••• I••••••••• A••••••• S•••••••• L•• (listed 2018-09-26, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
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
- r•••.netreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 810-732-7777reportedpublic record, Form ADV, Mar 17, 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
- $59.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026