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

M••••• F••• M••••••••• C•

Former SEC-registered adviserTroy, MichiganCRD 107538SEC 801-42031IAPD
Latest filing Jun 12, 2018
First filing on the tape Mar 28, 2012 · 10 filings
RAUM
$192M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$190M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$192M as of Mar 29, 2018
Mar 28, 2012$169M then
HNW client RAUM: $155M
State-registered IARs (5.B.3)2 as of Mar 29, 2018
Mar 8, 20132 then
Employees (5.A)4 as of Mar 29, 2018
Mar 8, 20132 then
Private funds: no history
RAUM -0.1% over the last fiscal year-2.0% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Jun 12, 2018; every figure names its basis
RAUM per advisor
$95.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
135derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$270,524derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-0.1%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 assetsreportedItem 5.E
Advisory activities
financial planning, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$155M81%
  • Individuals$35.5M19%
  • Pension and profit-sharing plans$1.3M0.7%
Individual clients
132reported
HNW clients
137reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
708reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A••••• F••••• S•••••• · Chief Compliance Officercontrol
      since 03/2013 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Troy, MI1 employees
    What changed
    consecutive filings, newest first
    • Other offices · 0 to 1
      Mar 29, 2018 to Jun 12, 2018
    • Accounts · 892 to 708
      Apr 25, 2017 to Mar 29, 2018
    • Advisory employees · 4 to 3
      Apr 25, 2017 to Mar 29, 2018
    • HNW clients · unset to 137.0
      Apr 25, 2017 to Mar 29, 2018
    • Individual clients · unset to 132.0
      Apr 25, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 1.0
      Apr 25, 2017 to Mar 29, 2018
    • State-registered IARs · 3 to 2
      Apr 25, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Apr 25, 2017 to Mar 29, 2018
    • Discretionary RAUM · $184M to $190M
      Apr 25, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 154744000.0
      Apr 25, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 35499000.0
      Apr 25, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $7.8M to $1.3M
      Apr 25, 2017 to Mar 29, 2018
    • Pension RAUM · unset to 1288000.0
      Apr 25, 2017 to Mar 29, 2018
    • RAUM · $192M to $192M
      Apr 25, 2017 to Mar 29, 2018
    • Accounts · 277 to 892
      Mar 31, 2017 to Apr 25, 2017
    • Insurance-licensed employees · 0 to 1
      Mar 30, 2016 to Mar 31, 2017
    • Discretionary RAUM · $182M to $184M
      Mar 30, 2016 to Mar 31, 2017
    • Non-discretionary RAUM · $7.1M to $7.8M
      Mar 30, 2016 to Mar 31, 2017
    • RAUM · $189M to $192M
      Mar 30, 2016 to Mar 31, 2017
    • Accounts · 934 to 277
      Mar 30, 2015 to Mar 30, 2016
    • Advisory employees · 3 to 4
      Mar 30, 2015 to Mar 30, 2016
    • Discretionary RAUM · $197M to $182M
      Mar 30, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $7.1M to $7.1M
      Mar 30, 2015 to Mar 30, 2016
    • RAUM · $204M to $189M
      Mar 30, 2015 to Mar 30, 2016
    • Accounts · 925 to 934
      May 30, 2014 to Mar 30, 2015
    • Advisory employees · 2 to 3
      May 30, 2014 to Mar 30, 2015
    • Employees · 3 to 4
      May 30, 2014 to Mar 30, 2015
    • State-registered IARs · 2 to 3
      May 30, 2014 to Mar 30, 2015
    • Discretionary RAUM · $194M to $197M
      May 30, 2014 to Mar 30, 2015
    • Non-discretionary RAUM · $6.6M to $7.1M
      May 30, 2014 to Mar 30, 2015
    • RAUM · $201M to $204M
      May 30, 2014 to Mar 30, 2015
    • Accounts · 926 to 925
      Mar 8, 2013 to Mar 13, 2014
    • Employees · 2 to 3
      Mar 8, 2013 to Mar 13, 2014
    • Financial planning clients · 1-10 to 26-50
      Mar 8, 2013 to Mar 13, 2014
    • Discretionary RAUM · $175M to $194M
      Mar 8, 2013 to Mar 13, 2014
    • Non-discretionary RAUM · $5.3M to $6.6M
      Mar 8, 2013 to Mar 13, 2014
    • RAUM · $180M to $201M
      Mar 8, 2013 to Mar 13, 2014
    • Accounts · 918 to 926
      Mar 28, 2012 to Mar 8, 2013
    • Advisory employees · unset to 2.0
      Mar 28, 2012 to Mar 8, 2013
    • Employees · unset to 2.0
      Mar 28, 2012 to Mar 8, 2013
    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