DFX Intelligence
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S•••••••• C•••••• M••••••••• I••
Independent wealth managerSEC-registered
Independent wealth manager, reporting $326M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $326M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +12%
- Private clients
- 89% of RAUM, $291M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 105528 · SEC 801-32441 · 18 filingsShowHide
CRD 105528SEC 801-32441First filing on the tape Mar 22, 2012, latest Feb 22, 2026SEC status approved since Jul 15, 1988IAPD
RAUM
$326M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$291M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$326M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$326M as of Feb 22, 2026
Mar 22, 2012$124M then
HNW client RAUM$270M as of Feb 22, 2026
Mar 22, 2018$154M then
State-registered IARs (5.B.3)1 as of Feb 22, 2026
Mar 22, 20120 then
Employees (5.A)2 as of Feb 22, 2026
Feb 22, 20132 then
Private funds: no history
RAUM +12% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $326MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 195derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $326M, 197 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
- High-net-worth individuals$270M83%
- Pension and profit-sharing plans$34.5M11%
- Individuals$21.3M6.5%
- Charitable organizations$235,6250.1%
- Individual clients
- 102reported
- HNW clients
- 93reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 197reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $326M for 197 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• R••••• S•••••••• | Sterling Heights, Mi | Jul 19, 1996 | 45 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
- S••••••••• M••••••• R••••• · Presidentcontrolsince 09/1989 · owns 75% or more
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 · 193 to 197Feb 6, 2025 to Feb 22, 2026
- HNW clients · 84 to 93Feb 6, 2025 to Feb 22, 2026
- Individual clients · 107 to 102Feb 6, 2025 to Feb 22, 2026
- Assets in custody · $290M to $326MFeb 6, 2025 to Feb 22, 2026
- Discretionary RAUM · $290M to $326MFeb 6, 2025 to Feb 22, 2026
- HNW RAUM · $234M to $270MFeb 6, 2025 to Feb 22, 2026
- Individual RAUM · $25.9M to $21.3MFeb 6, 2025 to Feb 22, 2026
- Pension RAUM · $29.6M to $34.5MFeb 6, 2025 to Feb 22, 2026
- RAUM · $290M to $326MFeb 6, 2025 to Feb 22, 2026
- Accounts · 180 to 193Jan 17, 2024 to Feb 6, 2025
- HNW clients · 79 to 84Jan 17, 2024 to Feb 6, 2025
- Individual clients · 99 to 107Jan 17, 2024 to Feb 6, 2025
- Assets in custody · $266M to $290MJan 17, 2024 to Feb 6, 2025
- Financial planning clients · 101-250 to 101-250Jan 17, 2024 to Feb 6, 2025
- HQ city · unset to Jan 17, 2024 to Feb 6, 2025
- HQ state · unset to Jan 17, 2024 to Feb 6, 2025
- Discretionary RAUM · $266M to $290MJan 17, 2024 to Feb 6, 2025
- HNW RAUM · $213M to $234MJan 17, 2024 to Feb 6, 2025
- Individual RAUM · $26.9M to $25.9MJan 17, 2024 to Feb 6, 2025
- Pension RAUM · $26.1M to $29.6MJan 17, 2024 to Feb 6, 2025
- RAUM · $266M to $290MJan 17, 2024 to Feb 6, 2025
- Accounts · 181 to 180Jan 20, 2023 to Jan 17, 2024
- HNW clients · 75 to 79Jan 20, 2023 to Jan 17, 2024
- Individual clients · 104 to 99Jan 20, 2023 to Jan 17, 2024
- Assets in custody · $234M to $266MJan 20, 2023 to Jan 17, 2024
- Discretionary RAUM · $234M to $266MJan 20, 2023 to Jan 17, 2024
- HNW RAUM · $187M to $213MJan 20, 2023 to Jan 17, 2024
- Individual RAUM · $24.8M to $26.9MJan 20, 2023 to Jan 17, 2024
- Pension RAUM · $22.2M to $26.1MJan 20, 2023 to Jan 17, 2024
- RAUM · $234M to $266MJan 20, 2023 to Jan 17, 2024
- Accounts · 174 to 181Mar 10, 2022 to Jan 20, 2023
- HNW clients · 78 to 75Mar 10, 2022 to Jan 20, 2023
- Individual clients · 94 to 104Mar 10, 2022 to Jan 20, 2023
- Assets in custody · $257M to $234MMar 10, 2022 to Jan 20, 2023
- Discretionary RAUM · $257M to $234MMar 10, 2022 to Jan 20, 2023
- HNW RAUM · $210M to $187MMar 10, 2022 to Jan 20, 2023
- Individual RAUM · $23.4M to $24.8MMar 10, 2022 to Jan 20, 2023
- Pension RAUM · $23.6M to $22.2MMar 10, 2022 to Jan 20, 2023
- RAUM · $257M to $234MMar 10, 2022 to Jan 20, 2023
- HNW clients · 73 to 78Mar 4, 2021 to Mar 10, 2022
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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 22, 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
- $326Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026