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
M••••••• C•••••• M••••••••• L••
Latest filing Jul 15, 2026
First filing on the tape Mar 16, 2012 · 72 filings
SEC status approved since Nov 14, 2000
RAUM
$5.3B
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
93%
$4.9B individuals and HNW
Advisors
24
registered through the firm on IAPD
RAUM per advisor
$221M
derived; firm RAUM over IAPD count
Employees
33
19 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
72 filings and snapshots on the tape
RAUM$5.3B as of Jul 15, 2026
Mar 27, 2012$1.0B then
HNW client RAUM$4.1B as of Jul 15, 2026
Feb 28, 2018$1.1B then
State-registered IARs (5.B.3)16 as of Jul 15, 2026
Mar 15, 201312 then
Employees (5.A)33 as of Jul 15, 2026
Mar 15, 201321 then
Private funds: no history
RAUM +27% over the last fiscal year+16% a year over threeIARs 15 to 16
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $221MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 144derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 4.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +6.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $1.2B, 1,440 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)
- 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$4.1B78%
- Individuals$812M15%
- Banks and thrifts$372M7.0%
- Corporations and businesses$2.8M0.1%
- Individual clients
- 1,790reported
- HNW clients
- 1,664reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,460reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 1,440 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
24 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• J••• L•••••Certified Financial Planner | Troy, Mi | May 19, 2006 | 28 y | 0 |
| D•••• P••• K•••• | Naples, Fl | Apr 6, 2010 | 25 y | 0 |
| M•••••• D• W•••••Certified Financial Planner | Troy, Mi | Aug 8, 2011 | 22 y | 1 |
| E•••• A•• W••••• | Grand Blanc, Mi | May 3, 2016 | 14 y | 0 |
| L•••••• F•••• N••••Certified Financial Planner | Rochester Hills, Mi | Mar 17, 2017 | 27 y | 3 |
| J••••••• L•••••••• | Grand Blanc, Mi | Apr 4, 2019 | 12 y | 2 |
| H••• K• R••Certified Financial Planner | Grand Blanc, Mi | May 5, 2020 | 14 y | 3 |
| T•••• L•• B•••••• | Grand Blanc, Mi | Dec 17, 2020 | 31 y | 2 |
| R••••• L•••• P•• | Grand Blanc, Mi | May 19, 2022 | 31 y | 5 |
| J•••• M• B•••Chartered Financial Analyst | Grand Blanc, Mi | Sep 22, 2022 | 32 y | 2 |
| A•••••• M• S•••••Certified Financial Planner | Grand Blanc, Mi | Jan 10, 2023 | 20 y | 2 |
| C••••••• L•• M•••••Certified Financial Planner | Grand Blanc, Mi | Jan 11, 2024 | 11 y | 1 |
| P•••••• J•••• R•••Certified Financial Planner, Chartered Financial Analyst | Grand Blanc, Mi | Jan 8, 2025 | 34 y | 1 |
| B••••••••• T••••••••• M•••••• | Grand Blanc, Mi | Feb 7, 2025 | 31 y | 7 |
| C••••• E••••• M•••• | Grand Blanc, Mi | Mar 18, 2025 | 12 y | 1 |
| S•••• C••••••••• B••••Certified Financial Planner | Grand Blanc, Mi | Jul 20, 2025 | 30 y | 5 |
| V•••••• A• P••••••Certified Financial Planner | Troy, Mi | Oct 29, 2025 | 14 y | 3 |
| N••••••• L••• | Grand Blanc, Mi | Dec 19, 2025 | 10 y | 0 |
| D•••• J• S••••••Certified Financial Planner | Grand Blanc, Mi | Feb 18, 2026 | 10 y | 1 |
| A•••••• D••• B••••••••Certified Financial Planner | Grand Blanc, Mi | Feb 20, 2026 | 12 y | 6 |
| P••• A•••••••• A•••••Certified Financial Planner | Grand Blanc, Mi | Feb 27, 2026 | 18 y | 7 |
| W•••••• L•••••• B••••• | Grand Blanc, Mi | Mar 3, 2026 | 21 y | 7 |
| D••••• J••••• W••••••Certified Financial Planner | Grand Blanc, Mi | Mar 5, 2026 | 35 y | 0 |
| Z•••••• W••••• | Grand Blanc, Mi | Apr 7, 2026 | 10 y | 1 |
Advisor movement
2 left, 5 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount3 left over 36 months
Left, latest
- T••••• D•••••• W••••• to M••••• G••••• A••••••• I•••Apr 27, 2026 · RIA to RIA
- R••••• R•••••• S••••••• to G••••• R•••••• R••••••••• L••Apr 10, 2026 · RIA to RIA
- C••• K•••• to C••••••••• F•••••••• N••••••Jun 4, 2025 · RIA to affiliated broker-dealer or bank
- M•••••• C••••• B••••• to R••••••••• F•••••••• L••Jun 30, 2022 · RIA to RIA
- M••• B•••••• to N••••••••• M••••• I••••••••• S•••••••••Apr 4, 2022 · Other
- M•••••• D•••• R••• to P••••••• C•••••• A••••••• C•••••••••Jul 31, 2020 · RIA to RIA
- B•••• D• H•••••• to R••••••••• F•••••••• L••Jul 19, 2019 · RIA to RIA
- A•••••• G••••• A••••• to M••••••Aug 17, 2018 · RIA to RIA
- C••••••••• J••• B•••• to M• H••••••• S••••••••• I•••Feb 14, 2017 · Other
- J•••••• D•••• B•••••• to I••••••••• C•••••• O• A••••••• I•••Feb 13, 2014 · Other
- B•••• P•••••• M••••• to P••••••• I••••••••• M•••••••••Oct 1, 2012 · Other
- E••• O••• K••••• to B•••• W••••• M••••••••• L••Aug 3, 2012 · Other
Joined, latest
- Z•••••• W••••• from O••••• L••••• V••••••• I••••••••• G••••• I•••Apr 7, 2026 · RIA to RIA
- W•••••• L•••••• B••••• from T• A••••••••• I•••Mar 3, 2026 · Other
- P••• A•••••••• A••••• from F••••••Feb 27, 2026 · RIA to RIA
- A•••••• D••• B•••••••• from M••• C••••••Feb 20, 2026 · RIA to RIA
- D•••• J• S•••••• from K••••• W••••• M••••••••• I•••Feb 18, 2026 · RIA to RIA
- S•••• C••••••••• B•••• from A••••• W••••• M•••••••••Jul 20, 2025 · Other
- C••••• E••••• M•••• from E•••••••• A•••••••• L••Mar 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- B••••••••• T••••••••• M•••••• from L•• F•••••••• L••Feb 7, 2025 · Affiliated broker-dealer or bank to independent RIA
- P•••••• J•••• R••• from T• A•••••••Jan 8, 2025 · Other
- C••••••• L•• M••••• from L•• F•••••••• L••Jan 11, 2024 · Affiliated broker-dealer or bank to independent RIA
- C••• K•••• from S••••••• P•••••• A•••••••• L•••May 5, 2023 · Other
- A•••••• M• S••••• from J••• M••••• S••••••••• L••Jan 10, 2023 · Wirehouse to independent RIA
- J•••• M• B••• from P•••• S••••••••• L••Sep 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- R••••• L•••• P•• from L•• F•••••••• L••May 19, 2022 · RIA to RIA
- R••••• R•••••• S••••••• from G•••••••• F•••••••• G••••• L••Apr 7, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• D••••• P••• · Member/Ceo/Chief Investment Strategistcontrolsince 10/2002 · owns 75% or more
- W•••••• C•••••••• · Chief Compliance Officercontrolsince 01/2026 · owns less than 5%
- L••••••••• J••••••• · Chief Compliance Officersince 07/2020 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Grand Blanc, Mi · principal | 24 | 8 | 2 | ||
| Troy, Mi | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Troy, MI11 employees
- Ann Arbor, MI2 employees
- Naples, FL2 employees
- Novi, MI1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 15, 2026W•••••• C•••••••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2020-07-15 and 2026-07-15peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 3,411 to 3,460Apr 15, 2026 to Jul 15, 2026
- HNW clients · 1,523 to 1,664Apr 15, 2026 to Jul 15, 2026
- Individual clients · 1,882 to 1,790Apr 15, 2026 to Jul 15, 2026
- Discretionary RAUM · $4.2B to $4.7BApr 15, 2026 to Jul 15, 2026
- HNW RAUM · $3.6B to $4.1BApr 15, 2026 to Jul 15, 2026
- Individual RAUM · $874M to $812MApr 15, 2026 to Jul 15, 2026
- Non-discretionary RAUM · $611M to $619MApr 15, 2026 to Jul 15, 2026
- RAUM · $4.8B to $5.3BApr 15, 2026 to Jul 15, 2026
- Accounts · 3,587 to 3,411Jan 23, 2026 to Apr 15, 2026
- Advisory employees · 20 to 19Jan 23, 2026 to Apr 15, 2026
- HNW clients · 1,510 to 1,523Jan 23, 2026 to Apr 15, 2026
- Individual clients · 1,871 to 1,882Jan 23, 2026 to Apr 15, 2026
- Employees · 34 to 33Jan 23, 2026 to Apr 15, 2026
- Discretionary RAUM · $4.2B to $4.2BJan 23, 2026 to Apr 15, 2026
- HNW RAUM · $3.6B to $3.6BJan 23, 2026 to Apr 15, 2026
- Individual RAUM · $871M to $874MJan 23, 2026 to Apr 15, 2026
- Non-discretionary RAUM · $615M to $611MJan 23, 2026 to Apr 15, 2026
- RAUM · $4.8B to $4.8BJan 23, 2026 to Apr 15, 2026
- Accounts · 3,455 to 3,587Oct 23, 2025 to Jan 23, 2026
- HNW clients · 1,486 to 1,510Oct 23, 2025 to Jan 23, 2026
- Individual clients · 1,962 to 1,871Oct 23, 2025 to Jan 23, 2026
- Assets in custody · $1.4B to $1.2BOct 23, 2025 to Jan 23, 2026
- Financial planning clients · More than 500 to 251-500Oct 23, 2025 to Jan 23, 2026
- Discretionary RAUM · $4.1B to $4.2BOct 23, 2025 to Jan 23, 2026
- HNW RAUM · $3.4B to $3.6BOct 23, 2025 to Jan 23, 2026
- Individual RAUM · $907M to $871MOct 23, 2025 to Jan 23, 2026
- Non-discretionary RAUM · $589M to $615MOct 23, 2025 to Jan 23, 2026
- RAUM · $4.7B to $4.8BOct 23, 2025 to Jan 23, 2026
- Accounts · 3,464 to 3,455Jul 23, 2025 to Oct 23, 2025
- HNW clients · 1,429 to 1,486Jul 23, 2025 to Oct 23, 2025
- Individual clients · 2,028 to 1,962Jul 23, 2025 to Oct 23, 2025
- Discretionary RAUM · $3.9B to $4.1BJul 23, 2025 to Oct 23, 2025
- HNW RAUM · $3.2B to $3.4BJul 23, 2025 to Oct 23, 2025
- Individual RAUM · $941M to $907MJul 23, 2025 to Oct 23, 2025
- Non-discretionary RAUM · $586M to $589MJul 23, 2025 to Oct 23, 2025
- RAUM · $4.5B to $4.7BJul 23, 2025 to Oct 23, 2025
- Accounts · 3,445 to 3,464Feb 3, 2025 to Jul 23, 2025
- HNW clients · 1,343 to 1,429Feb 3, 2025 to Jul 23, 2025
- Individual clients · 2,098 to 2,028Feb 3, 2025 to Jul 23, 2025
- Employees · 32 to 34Feb 3, 2025 to Jul 23, 2025
Signals
6 dated events
- T••••• D•••••• W••••• left M••••••• C•••••• M••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2026-05-06)Apr 27, 2026 · Advisor changed firm · fact
- R••••• R•••••• S••••••• left M••••••• C•••••• M••••••••• L•• for G••••• R•••••• R••••••••• L•• (registered 2026-04-08)Apr 10, 2026 · Advisor changed firm · fact
- C••• K•••• left M••••••• C•••••• M••••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2025-08-11)Jun 4, 2025 · Advisor changed firm · fact
- M•••••• C••••• B••••• left M••••••• C•••••• M••••••••• L•• for R••••••••• F•••••••• L•• (registered 2024-06-20)Jun 30, 2022 · Advisor changed firm · fact
- M••• B•••••• left M••••••• C•••••• M••••••••• L•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2022-04-18)Apr 4, 2022 · Advisor changed firm · fact
- Mary Shannon Peterson (Member/Chief Compliance Officer) no longer on Schedule A of M••••••• C•••••• M••••••••• L•• (listed 2020-06-25, absent 2020-07-15)Jul 15, 2020 · Control person left · inference
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
- Business phone
- 866-444-6246reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/mainstay-capital-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-444-6246reportedpublic record, Form ADV, Jul 15, 2026
- Contact form
- MAINSTAYCAPITAL.COM/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $221Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026