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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SEC-registered adviser
N••••••• I••••••••• I•••
Latest filing Jan 29, 2026
First filing on the tape Jan 25, 2012 · 19 filings
SEC status approved since Apr 27, 2018
RAUM
$330M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$330M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$330M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$330M as of Jan 29, 2026
Jan 25, 2012$33.2M then
HNW client RAUM$328M as of Jan 29, 2026
Feb 12, 2019$101M then
State-registered IARs (5.B.3)1 as of Jan 29, 2026
Jan 25, 20120 then
Employees (5.A)1 as of Jan 29, 2026
Feb 12, 20191 then
Private funds: no history
RAUM +27% over the last fiscal year+24% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $330MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.4MderivedHNW RAUM over HNW clients
- Average account
- $8.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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$328M100%
- Individuals$1.4M0.4%
- Individual clients
- n/areported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 41reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• W•••••• H••••••• | Kalamazoo, Mi | May 6, 2014 | 32 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• R•••••• W•••••• · President/Chief Compliance Officercontrolsince 08/1992 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Jan 29, 2026HNW RAUM per HNW client of $8,413,682 against a peer median of $2,402,920 (4942 comparable advisers, 99.0th percentile, 4.1 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 42 to 41Jan 15, 2025 to Jan 29, 2026
- HNW clients · 29 to 39Jan 15, 2025 to Jan 29, 2026
- Pension plan clients · 1.0 to unsetJan 15, 2025 to Jan 29, 2026
- Discretionary RAUM · $260M to $330MJan 15, 2025 to Jan 29, 2026
- HNW RAUM · $256M to $328MJan 15, 2025 to Jan 29, 2026
- Individual RAUM · $2.0M to $1.4MJan 15, 2025 to Jan 29, 2026
- Pension RAUM · 2518316.0 to unsetJan 15, 2025 to Jan 29, 2026
- RAUM · $260M to $330MJan 15, 2025 to Jan 29, 2026
- Accounts · 43 to 42Feb 1, 2024 to Jan 15, 2025
- HNW clients · 32 to 29Feb 1, 2024 to Jan 15, 2025
- Financial planning clients · unset to 0Feb 1, 2024 to Jan 15, 2025
- Discretionary RAUM · $225M to $260MFeb 1, 2024 to Jan 15, 2025
- HNW RAUM · $221M to $256MFeb 1, 2024 to Jan 15, 2025
- Individual RAUM · $1.8M to $2.0MFeb 1, 2024 to Jan 15, 2025
- Pension RAUM · $1.8M to $2.5MFeb 1, 2024 to Jan 15, 2025
- RAUM · $225M to $260MFeb 1, 2024 to Jan 15, 2025
- HNW clients · 35 to 32Mar 13, 2023 to Feb 1, 2024
- Individual clients · 7.0 to unsetMar 13, 2023 to Feb 1, 2024
- Discretionary RAUM · $173M to $225MMar 13, 2023 to Feb 1, 2024
- HNW RAUM · $171M to $221MMar 13, 2023 to Feb 1, 2024
- Individual RAUM · $862,000 to $1.8MMar 13, 2023 to Feb 1, 2024
- Pension RAUM · $1.4M to $1.8MMar 13, 2023 to Feb 1, 2024
- RAUM · $173M to $225MMar 13, 2023 to Feb 1, 2024
- Accounts · 38 to 43May 25, 2022 to Mar 1, 2023
- HNW clients · 31 to 35May 25, 2022 to Mar 1, 2023
- Individual clients · 6 to 7May 25, 2022 to Mar 1, 2023
- State-registered IARs · 0 to 1May 25, 2022 to Mar 1, 2023
- Discretionary RAUM · $234M to $173MMay 25, 2022 to Mar 1, 2023
- HNW RAUM · $231M to $171MMay 25, 2022 to Mar 1, 2023
- Individual RAUM · $601,000 to $862,000May 25, 2022 to Mar 1, 2023
- Pension RAUM · $2.7M to $1.4MMay 25, 2022 to Mar 1, 2023
- RAUM · $234M to $173MMay 25, 2022 to Mar 1, 2023
- Accounts · 46 to 38Mar 25, 2021 to Jan 28, 2022
- Individual clients · 11 to 6Mar 25, 2021 to Jan 28, 2022
- Pension plan clients · unset to 1.0Mar 25, 2021 to Jan 28, 2022
- Discretionary RAUM · $185M to $234MMar 25, 2021 to Jan 28, 2022
- HNW RAUM · $180M to $231MMar 25, 2021 to Jan 28, 2022
- Individual RAUM · $2.9M to $601,000Mar 25, 2021 to Jan 28, 2022
- Pension RAUM · $2.2M to $2.7MMar 25, 2021 to Jan 28, 2022
- RAUM · $185M to $234MMar 25, 2021 to Jan 28, 2022
Signals
1 dated events
- N••••••• I••••••••• I••• filed its initial SEC registration (Form ADV)Mar 28, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 269-329-2422reportedpublic record, Form ADV, Jan 29, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $330Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026