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

I••••••••• C•••••• I••

Former SEC-registered adviserPetoskey, MichiganCRD 105944SEC 801-269IAPD
Latest filing Feb 16, 2021
First filing on the tape Nov 11, 2011 · 29 filings
RAUM
$164M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$151M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$164M as of Feb 16, 2021
Mar 27, 2012$103M then
HNW client RAUM$128M as of Feb 16, 2021
Feb 5, 2018$115M then
State-registered IARs (5.B.3)2 as of Feb 16, 2021
Mar 27, 20120 then
Employees (5.A)2 as of Feb 16, 2021
Feb 11, 20132 then
Private funds: no history
RAUM +3.9% over the last fiscal year+3.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 16, 2021; every figure names its basis
RAUM per advisor
$82.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
40derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$959,701derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.2%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, otherreportedItem 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
  • High-net-worth individuals$128M78%
  • Individuals$23.7M14%
  • Pension and profit-sharing plans$12.7M7.7%
Individual clients
41reported
HNW clients
39reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
171reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • W•••••• C••••• W•••••• · President & Chief Compliance Officercontrol
    since 10/2000 · 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 · 176 to 171
    Feb 1, 2021 to Feb 16, 2021
  • HNW clients · 27 to 39
    Feb 1, 2021 to Feb 16, 2021
  • Individual clients · 54 to 41
    Feb 1, 2021 to Feb 16, 2021
  • Discretionary RAUM · $158M to $164M
    Feb 1, 2021 to Feb 16, 2021
  • HNW RAUM · $99.9M to $128M
    Feb 1, 2021 to Feb 16, 2021
  • Individual RAUM · $44.7M to $23.7M
    Feb 1, 2021 to Feb 16, 2021
  • Pension RAUM · $13.4M to $12.7M
    Feb 1, 2021 to Feb 16, 2021
  • RAUM · $158M to $164M
    Feb 1, 2021 to Feb 16, 2021
  • Advisory employees · 3 to 2
    Aug 10, 2020 to Jan 21, 2021
  • Employees · 3 to 2
    Aug 10, 2020 to Jan 21, 2021
  • State-registered IARs · 3 to 2
    Aug 10, 2020 to Jan 21, 2021
  • Employees · 5 to 3
    Jun 30, 2020 to Jul 6, 2020
  • Advisory employees · 2 to 3
    Mar 4, 2020 to Mar 23, 2020
  • Employees · 4 to 5
    Mar 4, 2020 to Mar 23, 2020
  • State-registered IARs · 2 to 3
    Mar 4, 2020 to Mar 23, 2020
  • Accounts · 178 to 176
    Jul 30, 2019 to Mar 4, 2020
  • Advisory employees · 1 to 2
    Jul 30, 2019 to Mar 4, 2020
  • Charity clients · 2 to 0
    Jul 30, 2019 to Mar 4, 2020
  • HNW clients · 20 to 27
    Jul 30, 2019 to Mar 4, 2020
  • Individual clients · 65 to 54
    Jul 30, 2019 to Mar 4, 2020
  • State-registered IARs · 1 to 2
    Jul 30, 2019 to Mar 4, 2020
  • Discretionary RAUM · $134M to $158M
    Jul 30, 2019 to Mar 4, 2020
  • HNW RAUM · $64.4M to $99.9M
    Jul 30, 2019 to Mar 4, 2020
  • Individual RAUM · $46.1M to $44.7M
    Jul 30, 2019 to Mar 4, 2020
  • Pension RAUM · $12.3M to $13.4M
    Jul 30, 2019 to Mar 4, 2020
  • RAUM · $134M to $158M
    Jul 30, 2019 to Mar 4, 2020
  • Employees · 2 to 4
    Feb 28, 2019 to Jul 30, 2019
  • HQ city · GRAND BLANC to PETOSKEY
    Feb 28, 2019 to Jul 30, 2019
  • Accounts · 89 to 178
    Dec 6, 2018 to Feb 28, 2019
  • HNW clients · 53 to 20
    Dec 6, 2018 to Feb 28, 2019
  • Individual clients · 31 to 65
    Dec 6, 2018 to Feb 28, 2019
  • Pension plan clients · 3 to 1
    Dec 6, 2018 to Feb 28, 2019
  • Discretionary RAUM · $148M to $134M
    Dec 6, 2018 to Feb 28, 2019
  • HNW RAUM · $115M to $64.4M
    Dec 6, 2018 to Feb 28, 2019
  • Individual RAUM · $8.0M to $46.1M
    Dec 6, 2018 to Feb 28, 2019
  • Pension RAUM · $14.3M to $12.3M
    Dec 6, 2018 to Feb 28, 2019
  • RAUM · $148M to $134M
    Dec 6, 2018 to Feb 28, 2019
  • Accounts · 90 to 89
    Oct 26, 2017 to Feb 5, 2018
  • Charity clients · 0 to 2
    Oct 26, 2017 to Feb 5, 2018
  • HNW clients · 0 to 53
    Oct 26, 2017 to Feb 5, 2018
Signals
2 dated events
  • Frances Amy Mcgowan (Chief Investment Officer) no longer on Schedule A of I••••••••• C•••••• I•• (listed 2021-01-21, absent 2021-02-01)
    Feb 1, 2021 · Control person left · inference
  • Frances Amy Mcgowan (Chief Investment Officer) appeared on Schedule A of I••••••••• C•••••• I••
    Mar 4, 2020 · Control person joined · fact
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