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

H•••• F•••• W••••• I••

Former SEC-registered adviserBloomfield, MichiganCRD 105668SEC 801-570IAPD
Latest filing Mar 23, 2022
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$7.9B
reported, Item 5.F
Discretionary
4.1%
of RAUM
Private clients
1.4%
$111M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$7.9B as of Mar 23, 2022
Mar 30, 2012$4.2B then
HNW client RAUM$90.9M as of Mar 23, 2022
Mar 29, 2018$66.1M then
State-registered IARs (5.B.3)8 as of Mar 23, 2022
Mar 30, 20120 then
Employees (5.A)11 as of Mar 23, 2022
Jan 14, 20137 then
Private funds: no history
RAUM +40% over the last fiscal year+26% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 23, 2022; every figure names its basis
RAUM per advisor
$993MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
11derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.5MderivedHNW RAUM over HNW clients
Average account
$28.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
4.1%derivedof RAUM
Institutional
2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+40%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 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
  • Banks and thrifts$7.5B94%
  • Insurance companies$211M2.7%
  • Corporations and businesses$112M1.4%
  • High-net-worth individuals$90.9M1.1%
  • Individuals$19.7M0.2%
  • State and municipal entities$11.0M0.1%
Individual clients
68reported
HNW clients
20reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
281reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
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
    • B•••••• D••••• G••••• · President, Ccocontrol
      since 12/2012 · owns 50% to 75%
    • B•••••• H••••• B•••••••• · Treasurer/Systems Mgr.control
      since 12/2012 · owns 25% to 50%
    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 · 284 to 281
      Nov 8, 2021 to Mar 23, 2022
    • Advisory activities · 3 to 4
      Nov 8, 2021 to Mar 23, 2022
    • HNW clients · 22 to 20
      Nov 8, 2021 to Mar 23, 2022
    • Individual clients · 61 to 68
      Nov 8, 2021 to Mar 23, 2022
    • Financial planning clients · unset to 1-10
      Nov 8, 2021 to Mar 23, 2022
    • Discretionary RAUM · $273M to $326M
      Nov 8, 2021 to Mar 23, 2022
    • HNW RAUM · $84.1M to $90.9M
      Nov 8, 2021 to Mar 23, 2022
    • Individual RAUM · $17.3M to $19.7M
      Nov 8, 2021 to Mar 23, 2022
    • Non-discretionary RAUM · $4.9B to $7.6B
      Nov 8, 2021 to Mar 23, 2022
    • RAUM · $5.2B to $7.9B
      Nov 8, 2021 to Mar 23, 2022
    • Non-discretionary RAUM · $5.4B to $4.9B
      Mar 12, 2021 to Nov 8, 2021
    • RAUM · $5.7B to $5.2B
      Mar 12, 2021 to Nov 8, 2021
    • Accounts · 260 to 284
      Jun 24, 2020 to Mar 12, 2021
    • HNW clients · 20 to 22
      Jun 24, 2020 to Mar 12, 2021
    • Individual clients · 51 to 61
      Jun 24, 2020 to Mar 12, 2021
    • Discretionary RAUM · $219M to $273M
      Jun 24, 2020 to Mar 12, 2021
    • HNW RAUM · $78.5M to $84.1M
      Jun 24, 2020 to Mar 12, 2021
    • Individual RAUM · $14.9M to $17.3M
      Jun 24, 2020 to Mar 12, 2021
    • Non-discretionary RAUM · $3.9B to $5.4B
      Jun 24, 2020 to Mar 12, 2021
    • RAUM · $4.1B to $5.7B
      Jun 24, 2020 to Mar 12, 2021
    • Accounts · 247 to 260
      Mar 27, 2019 to Mar 31, 2020
    • Advisory employees · 6 to 7
      Mar 27, 2019 to Mar 31, 2020
    • HNW clients · 18 to 20
      Mar 27, 2019 to Mar 31, 2020
    • Individual clients · 44 to 51
      Mar 27, 2019 to Mar 31, 2020
    • Employees · 10 to 11
      Mar 27, 2019 to Mar 31, 2020
    • State-registered IARs · 7 to 8
      Mar 27, 2019 to Mar 31, 2020
    • Discretionary RAUM · $179M to $219M
      Mar 27, 2019 to Mar 31, 2020
    • HNW RAUM · $59.5M to $78.5M
      Mar 27, 2019 to Mar 31, 2020
    • Individual RAUM · $15.4M to $14.9M
      Mar 27, 2019 to Mar 31, 2020
    • Non-discretionary RAUM · $3.8B to $3.9B
      Mar 27, 2019 to Mar 31, 2020
    • RAUM · $4.0B to $4.1B
      Mar 27, 2019 to Mar 31, 2020
    • Accounts · 244 to 247
      Mar 29, 2018 to Mar 27, 2019
    • HNW clients · 20 to 18
      Mar 29, 2018 to Mar 27, 2019
    • Individual clients · 37 to 44
      Mar 29, 2018 to Mar 27, 2019
    • Discretionary RAUM · $169M to $179M
      Mar 29, 2018 to Mar 27, 2019
    • HNW RAUM · $66.1M to $59.5M
      Mar 29, 2018 to Mar 27, 2019
    • Individual RAUM · $16.2M to $15.4M
      Mar 29, 2018 to Mar 27, 2019
    • Non-discretionary RAUM · $4.2B to $3.8B
      Mar 29, 2018 to Mar 27, 2019
    • RAUM · $4.4B to $4.0B
      Mar 29, 2018 to Mar 27, 2019
    • Accounts · 239 to 244
      Mar 24, 2017 to Mar 29, 2018
    Signals
    8 dated events
    • G••• L• A••••• left H•••• F•••• W••••• I•• for M•••••• (registered 2022-08-01)
      Oct 14, 2022 · Advisor changed firm · fact
    • C••••••••• R••••••• B••••••• left H•••• F•••• W••••• I•• for M•••••• (registered 2022-08-01)
      Oct 14, 2022 · Advisor changed firm · fact
    • E••••• J••• M•••• left H•••• F•••• W••••• I•• for M•••••• (registered 2022-08-01)
      Oct 14, 2022 · Advisor changed firm · fact
    • D••••• B•••••• J•••••• left H•••• F•••• W••••• I•• for M•••••• (registered 2022-08-01)
      Oct 14, 2022 · Advisor changed firm · fact
    • H•••• F•••• W••••• I••'s advisors moved to M•••••• (Bloomfield, MI): 4 of 4 registered, on the same day
      Oct 14, 2022 · Firm absorbed (people side) · derived
    • R•••••• L• G••••••• left H•••• F•••• W••••• I•• for M•••••• F•••••••• A••••••• I•• I••• (registered 2025-01-17)
      Oct 5, 2022 · Advisor changed firm · fact
    • H•••• F•••• W••••• I•• reported RAUM $7.9B, up 53% from $5.2B (2021-11-08 to 2022-03-23)
      Mar 23, 2022 · RAUM change · derived
    • H•••• F•••• W••••• I•• reported RAUM $5.7B, up 37% from $4.1B (2020-06-24 to 2021-03-12)
      Mar 12, 2021 · 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