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

S••••••• I••••••••• A••••••• I••

Former SEC-registered adviserSouthfield, MichiganCRD 107178SEC 801-40373IAPD
Latest filing Jun 30, 2020
First filing on the tape Mar 29, 2012 · 17 filings
RAUM
$598M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
85%
$509M 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
17 filings and snapshots on the tape
RAUM$598M as of Mar 13, 2020
Mar 29, 2012$226M then
HNW client RAUM$434M as of Mar 13, 2020
Mar 27, 2018$319M then
State-registered IARs (5.B.3)2 as of Mar 13, 2020
Mar 29, 20120 then
Employees (5.A)2 as of Mar 13, 2020
Mar 28, 20132 then
Private funds: no history
RAUM +24% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
$299MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
158derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$595,506derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
15%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
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publications, educational seminars, otherreportedItem 5.G
Custody
$24.4M, 20 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$434M73%
  • Pension and profit-sharing plans$87.8M15%
  • Individuals$74.9M13%
  • Charitable organizations$1.2M0.2%
Individual clients
165reported
HNW clients
150reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,005reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$24.4M for 20 clientsreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H••••••• R•••••• W•••••• · President And Chief Compliance Officercontrol
    since 08/1991 · owns 75% or more
Related persons
Schedule D 7.A
  • T•• S••••••• F•••••••• G••••• P•••
    insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 932 to 1,005
    Jul 9, 2019 to Mar 13, 2020
  • HNW clients · 125 to 150
    Jul 9, 2019 to Mar 13, 2020
  • Individual clients · 175 to 165
    Jul 9, 2019 to Mar 13, 2020
  • Assets in custody · $21.2M to $24.4M
    Jul 9, 2019 to Mar 13, 2020
  • Financial planning clients · 101-250 to 51-100
    Jul 9, 2019 to Mar 13, 2020
  • Discretionary RAUM · $472M to $585M
    Jul 9, 2019 to Mar 13, 2020
  • HNW RAUM · $335M to $434M
    Jul 9, 2019 to Mar 13, 2020
  • Individual RAUM · $81.4M to $74.9M
    Jul 9, 2019 to Mar 13, 2020
  • Non-discretionary RAUM · $12.1M to $13.7M
    Jul 9, 2019 to Mar 13, 2020
  • Pension RAUM · $66.6M to $87.8M
    Jul 9, 2019 to Mar 13, 2020
  • RAUM · $484M to $598M
    Jul 9, 2019 to Mar 13, 2020
  • Accounts · 1,011 to 932
    Mar 27, 2018 to Mar 13, 2019
  • HNW clients · 135 to 125
    Mar 27, 2018 to Mar 13, 2019
  • Individual clients · 164 to 175
    Mar 27, 2018 to Mar 13, 2019
  • Assets in custody · $22.3M to $21.2M
    Mar 27, 2018 to Mar 13, 2019
  • Discretionary RAUM · $469M to $472M
    Mar 27, 2018 to Mar 13, 2019
  • HNW RAUM · $319M to $335M
    Mar 27, 2018 to Mar 13, 2019
  • Individual RAUM · $82.2M to $81.4M
    Mar 27, 2018 to Mar 13, 2019
  • Non-discretionary RAUM · $996,100 to $12.1M
    Mar 27, 2018 to Mar 13, 2019
  • Pension RAUM · $68.7M to $66.6M
    Mar 27, 2018 to Mar 13, 2019
  • RAUM · $470M to $484M
    Mar 27, 2018 to Mar 13, 2019
  • Accounts · 899 to 1,011
    Aug 11, 2017 to Mar 27, 2018
  • HNW clients · unset to 135.0
    Aug 11, 2017 to Mar 27, 2018
  • Individual clients · unset to 164.0
    Aug 11, 2017 to Mar 27, 2018
  • Assets in custody · $23.8M to $22.3M
    Aug 11, 2017 to Mar 27, 2018
  • Other offices · unset to 0.0
    Aug 11, 2017 to Mar 27, 2018
  • Discretionary RAUM · $385M to $469M
    Aug 11, 2017 to Mar 27, 2018
  • HNW RAUM · unset to 318713100.0
    Aug 11, 2017 to Mar 27, 2018
  • Individual RAUM · unset to 82232000.0
    Aug 11, 2017 to Mar 27, 2018
  • Non-discretionary RAUM · $0 to $996,100
    Aug 11, 2017 to Mar 27, 2018
  • Pension RAUM · unset to 68709000.0
    Aug 11, 2017 to Mar 27, 2018
  • RAUM · $385M to $470M
    Aug 11, 2017 to Mar 27, 2018
  • Accounts · 908 to 899
    Mar 24, 2016 to Feb 27, 2017
  • Discretionary RAUM · $347M to $385M
    Mar 24, 2016 to Feb 27, 2017
  • RAUM · $347M to $385M
    Mar 24, 2016 to Feb 27, 2017
  • Accounts · 957 to 908
    Nov 19, 2015 to Mar 24, 2016
  • Assets in custody · unset to 23791136.0
    Nov 19, 2015 to Mar 24, 2016
  • Custody of client assets · false to true
    Nov 19, 2015 to Mar 24, 2016
  • Discretionary RAUM · $351M to $347M
    Nov 19, 2015 to Mar 24, 2016
  • RAUM · $351M to $347M
    Nov 19, 2015 to Mar 24, 2016
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