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

W•••••• K••• • A••••••••• I•••

Former SEC-registered adviserBirmingham, MichiganCRD 105753SEC 801-5182IAPD
Latest filing May 9, 2014
First filing on the tape Nov 17, 2011 · 10 filings
RAUM
$145M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$145M as of Mar 26, 2014
Mar 22, 2012$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 26, 2014
Mar 27, 20133 then
Employees (5.A)6 as of Mar 26, 2014
Mar 27, 20136 then
Private funds: no history
RAUM -91% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of May 9, 2014; every figure names its basis
RAUM per advisor
$36.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-91%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
126reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••••• L•••••••• J••••• · Chief Compliance Officercontrol
      since 12/2012 · owns less than 5%
    • J••••••• D•••••• A•••••• · Chairman / President / Director And Chief Investment Officercontrol
      since 12/2012 · owns less than 5%
    • M••••• J•••••• A••••• · Directorcontrol
      since 03/2009 · owns less than 5%
    • S••••••• M•••• L• · Director
      since 12/2011 · owns less than 5%
    Entity owners
    • C••••••• I••••••••• S•••••••• I••• · Shareholder
      direct · owns 75% or more
    • C••••••• B••• · Shareholder
      indirect · owns 75% or more of C••••••• I••••••••• S•••••••• I•••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 507 to 126
      Aug 15, 2013 to Mar 26, 2014
    • Advisory employees · 3 to 4
      Aug 15, 2013 to Mar 26, 2014
    • Employees · 5 to 6
      Aug 15, 2013 to Mar 26, 2014
    • Insurance-licensed employees · 1 to 2
      Aug 15, 2013 to Mar 26, 2014
    • State-registered IARs · 3 to 4
      Aug 15, 2013 to Mar 26, 2014
    • Discretionary RAUM · $851M to $145M
      Aug 15, 2013 to Mar 26, 2014
    • RAUM · $851M to $145M
      Aug 15, 2013 to Mar 26, 2014
    • Accounts · 829 to 507
      Mar 27, 2013 to May 17, 2013
    • BD registered reps · 1 to 3
      Mar 27, 2013 to May 17, 2013
    • Employees · 6 to 5
      Mar 27, 2013 to May 17, 2013
    • Insurance-licensed employees · 0 to 1
      Mar 27, 2013 to May 17, 2013
    • Discretionary RAUM · $1.5B to $851M
      Mar 27, 2013 to May 17, 2013
    • Non-discretionary RAUM · $6.4M to $0
      Mar 27, 2013 to May 17, 2013
    • RAUM · $1.5B to $851M
      Mar 27, 2013 to May 17, 2013
    • Accounts · 858 to 829
      Jan 22, 2013 to Mar 27, 2013
    • Discretionary RAUM · $1.4B to $1.5B
      Jan 22, 2013 to Mar 27, 2013
    • Non-discretionary RAUM · $0 to $6.4M
      Jan 22, 2013 to Mar 27, 2013
    • RAUM · $1.4B to $1.5B
      Jan 22, 2013 to Mar 27, 2013
    • Related bank · false to true
      Jan 22, 2013 to Mar 27, 2013
    • Advisory employees · unset to 3.0
      Apr 3, 2012 to Jan 22, 2013
    • BD registered reps · 0 to 1
      Apr 3, 2012 to Jan 22, 2013
    • Employees · unset to 6.0
      Apr 3, 2012 to Jan 22, 2013
    • State-registered IARs · unset to 3.0
      Apr 3, 2012 to Jan 22, 2013
    • Accounts · 862 to 858
      Nov 17, 2011 to Mar 22, 2012
    • Advisory activities · 2 to 3
      Nov 17, 2011 to Mar 22, 2012
    • Discretionary RAUM · $1.4B to $1.4B
      Nov 17, 2011 to Mar 22, 2012
    • RAUM · $1.4B to $1.4B
      Nov 17, 2011 to Mar 22, 2012
    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.
    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