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
F•••• F•••••••• A••••••• I••
Latest filing Feb 12, 2025
First filing on the tape Mar 2, 2012 · 16 filings
SEC status approved since Sep 8, 1988
RAUM
$297M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$281M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$297M as of Feb 12, 2025
Mar 2, 2012$94.0M then
HNW client RAUM$158M as of Feb 12, 2025
Mar 13, 2018$73.1M then
State-registered IARs (5.B.3)3 as of Feb 12, 2025
Mar 2, 20120 then
Employees (5.A)5 as of Feb 12, 2025
Mar 27, 20135 then
Private funds: no history
RAUM +12% over the last fiscal year+1.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 12, 2025; every figure names its basis
- RAUM per advisor
- $98.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 221derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $212,187derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- -0.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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$158M53%
- Individuals$123M42%
- Pension and profit-sharing plans$12.9M4.3%
- Charitable organizations$2.7M0.9%
- Individual clients
- 576reported
- HNW clients
- 86reported
- Pension plan clients
- 2reported
- Charitable clients
- 6reported
- Accounts
- 1,398reported
- Financial planning clients
- 101-250reported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- E••• M••• L••• to C••••• P••••••• P•••••••Sep 18, 2025 · RIA to RIA
- J•••• A••••• M••••••• to C••••• P••••••• P•••••••Sep 9, 2025 · RIA to RIA
- A•••••• G• T••••••• to C••••• P••••••• P•••••••Sep 9, 2025 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for C••••• P••••••• P•••••••Sep 9, 2025 · Muskegon, Mi · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••• E•••• M••• · Chief Compliance Officer / Stockholdercontrolsince 12/2001 · owns 25% to 50%
- M•••••••• J••••• A••••• · Secretary / Chief Operations Officer / Stockholdercontrolsince 01/2010 · owns 25% to 50%
- T•••••••• A••••••• G• · President / Treasurer / Stockholdercontrolsince 01/2010 · owns 25% to 50%
Related persons
Schedule D 7.A
- A•••••• G• T•••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Muskegon, Mi · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,386 to 1,398Mar 5, 2024 to Feb 12, 2025
- HNW clients · 62 to 86Mar 5, 2024 to Feb 12, 2025
- Individual clients · 604 to 576Mar 5, 2024 to Feb 12, 2025
- Pension plan clients · unset to 2.0Mar 5, 2024 to Feb 12, 2025
- Financial planning clients · 101-250 to 101-250Mar 5, 2024 to Feb 12, 2025
- Discretionary RAUM · $266M to $297MMar 5, 2024 to Feb 12, 2025
- HNW RAUM · $136M to $158MMar 5, 2024 to Feb 12, 2025
- Individual RAUM · $127M to $123MMar 5, 2024 to Feb 12, 2025
- Pension RAUM · unset to 12869671.0Mar 5, 2024 to Feb 12, 2025
- RAUM · $266M to $297MMar 5, 2024 to Feb 12, 2025
- Accounts · 1,353 to 1,386Feb 24, 2023 to Mar 5, 2024
- Discretionary RAUM · $233M to $266MFeb 24, 2023 to Mar 5, 2024
- HNW RAUM · $106M to $136MFeb 24, 2023 to Mar 5, 2024
- Individual RAUM · $124M to $127MFeb 24, 2023 to Mar 5, 2024
- RAUM · $233M to $266MFeb 24, 2023 to Mar 5, 2024
- Accounts · 1,585 to 1,353Feb 4, 2022 to Feb 24, 2023
- Charity clients · 3 to 6Feb 4, 2022 to Feb 24, 2023
- HNW clients · 70 to 62Feb 4, 2022 to Feb 24, 2023
- Individual clients · 575 to 604Feb 4, 2022 to Feb 24, 2023
- Discretionary RAUM · $281M to $233MFeb 4, 2022 to Feb 24, 2023
- HNW RAUM · $150M to $106MFeb 4, 2022 to Feb 24, 2023
- Individual RAUM · $129M to $124MFeb 4, 2022 to Feb 24, 2023
- RAUM · $281M to $233MFeb 4, 2022 to Feb 24, 2023
- Accounts · 1,287 to 1,585Mar 8, 2021 to Feb 4, 2022
- HNW clients · 65 to 70Mar 8, 2021 to Feb 4, 2022
- Individual clients · 440 to 575Mar 8, 2021 to Feb 4, 2022
- Discretionary RAUM · $239M to $281MMar 8, 2021 to Feb 4, 2022
- HNW RAUM · $115M to $150MMar 8, 2021 to Feb 4, 2022
- Individual RAUM · $122M to $129MMar 8, 2021 to Feb 4, 2022
- RAUM · $239M to $281MMar 8, 2021 to Feb 4, 2022
- Accounts · 1,232 to 1,287May 21, 2020 to Mar 8, 2021
- Charity clients · 4 to 3May 21, 2020 to Mar 8, 2021
- HNW clients · 51 to 65May 21, 2020 to Mar 8, 2021
- Individual clients · 438 to 440May 21, 2020 to Mar 8, 2021
- Discretionary RAUM · $201M to $239MMay 21, 2020 to Mar 8, 2021
- HNW RAUM · $88.0M to $115MMay 21, 2020 to Mar 8, 2021
- Individual RAUM · $112M to $122MMay 21, 2020 to Mar 8, 2021
- RAUM · $201M to $239MMay 21, 2020 to Mar 8, 2021
- Accounts · 1,109 to 1,232Jan 17, 2019 to Feb 26, 2020
- HNW clients · 44 to 51Jan 17, 2019 to Feb 26, 2020
Signals
5 dated events
- F•••• F•••••••• A••••••• I•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $296.6M)Dec 20, 2025 · Left the SEC roster · derived
- E••• M••• L••• left F•••• F•••••••• A••••••• I•• for C••••• P••••••• P••••••• (registered 2025-08-14)Sep 18, 2025 · Advisor changed firm · fact
- A•••••• G• T••••••• left F•••• F•••••••• A••••••• I•• for C••••• P••••••• P••••••• (registered 2025-08-14)Sep 9, 2025 · Advisor changed firm · fact
- J•••• A••••• M••••••• left F•••• F•••••••• A••••••• I•• for C••••• P••••••• P••••••• (registered 2025-08-14)Sep 9, 2025 · Advisor changed firm · fact
- F•••• F•••••••• A••••••• I••'s advisors moved to C••••• P••••••• P••••••• (Muskegon, MI): 3 of 3 registered, within 9 daysSep 9, 2025 · Firm absorbed (people side) · 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