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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

N•••••••• F•••••••• P•••••••• I•••

Former SEC-registered adviserTroy, MichiganCRD 107708SEC 801-60610IAPD
Latest filing Mar 21, 2013
First filing on the tape Mar 22, 2012 · 5 filings
RAUM
$93.6M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$93.6M as of Mar 21, 2013
Mar 22, 2012$108M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 2
Employees (5.A): 4
Private funds: no history
RAUM -13% over the last fiscal year
Practice profile
derived from the filing of Mar 21, 2013; every figure names its basis
RAUM per advisor
$46.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$779,958derivedRAUM over accounts (5.F.2.f)
Discretionary
76%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
120reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Left, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••••• K•••••• G••••• · Cfocontrol
    since 02/2002 · owns less than 5%
  • S••••• K••••• F•••••• J• · Presidentcontrol
    since 02/2002 · owns less than 5%
  • C•••••• K•••••• G••••• · Cfocontrol
    since 02/2002 · owns 50% to 75% of N•••••••• F•••••••• E••••••••• I•••
  • S••••• K••••• F•••••• J• · Presidentcontrol
    since 02/2002 · owns 50% to 75% of N•••••••• F•••••••• E••••••••• I•••
Entity owners
  • N•••••••• F•••••••• E••••••••• I••• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Farmington Hills, MI
  • Troy, MI
What changed
consecutive filings, newest first
  • Accounts · 158 to 120
    Dec 7, 2012 to Mar 21, 2013
  • Insurance-licensed employees · 0 to 1
    Dec 7, 2012 to Mar 21, 2013
  • Financial planning clients · 26-50 to 11-25
    Dec 7, 2012 to Mar 21, 2013
  • State-registered IARs · 1 to 2
    Dec 7, 2012 to Mar 21, 2013
  • Discretionary RAUM · $85.5M to $70.9M
    Dec 7, 2012 to Mar 21, 2013
  • Non-discretionary RAUM · $22.1M to $22.7M
    Dec 7, 2012 to Mar 21, 2013
  • RAUM · $108M to $93.6M
    Dec 7, 2012 to Mar 21, 2013
  • Related adviser · false to true
    Dec 7, 2012 to Mar 21, 2013
  • Advisory employees · unset to 2.0
    Mar 22, 2012 to Nov 9, 2012
  • BD registered reps · unset to 2.0
    Mar 22, 2012 to Nov 9, 2012
  • Employees · unset to 4.0
    Mar 22, 2012 to Nov 9, 2012
  • State-registered IARs · unset to 1.0
    Mar 22, 2012 to Nov 9, 2012
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