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.

Former SEC-registered adviser

Fim Group

Former SEC-registered adviserTraverse City, MichiganCRD 109811SEC 801-33001IAPD
Legal name Financial & Investment Management Group Ltd
Latest filing Mar 19, 2019
First filing on the tape Jan 30, 2012 · 17 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$700M as of Mar 22, 2018
Jan 30, 2012$575M then
HNW client RAUM: $388M
State-registered IARs (5.B.3)0 as of Mar 19, 2019
Jan 30, 20120 then
Employees (5.A)0 as of Mar 19, 2019
Nov 29, 201222 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 13 to 0
Practice profile
derived from the filing of Mar 19, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, otherreportedItem 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
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
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
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
    • Howard Paul Sutherland · Presidentcontrol
      since 12/1984 · owns less than 5%
    • Russell Matthew Bohrer · Treasurer / Coo/Chief Compliance Officer
      since 05/1999 · owns less than 5%
    • Mary Linda Brzezinski · Corporate Secretary
      since 05/1999 · owns less than 5%
    • Abbot Barry Hyman · Vice-President
      since 05/1999 · owns less than 5%
    • Melvin Jeffrey Lokken · Managing Director, Senior Planner
      since 07/2001 · owns less than 5%
    Entity owners
    • Mercer Advisors Inc. · Parent Company
      direct · owns 75% or more
    • Paul H. Sutherland Revocable Trust · Shareholder
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Onalaska, WI4 employees
    • Kahului, HI2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 2787.0 to unset
      Mar 22, 2018 to Mar 19, 2019
    • Advisory employees · 15 to 0
      Mar 22, 2018 to Mar 19, 2019
    • Charity clients · 4.0 to unset
      Mar 22, 2018 to Mar 19, 2019
    • Corporate clients · 3.0 to unset
      Mar 22, 2018 to Mar 19, 2019
    • HNW clients · 191.0 to unset
      Mar 22, 2018 to Mar 19, 2019
    • Individual clients · 1157.0 to unset
      Mar 22, 2018 to Mar 19, 2019
    • Pension plan clients · 3.0 to unset
      Mar 22, 2018 to Mar 19, 2019
    • Assets in custody · 3998128.0 to unset
      Mar 22, 2018 to Mar 19, 2019
    • Custody of client assets · true to false
      Mar 22, 2018 to Mar 19, 2019
    • Employees · 29 to 0
      Mar 22, 2018 to Mar 19, 2019
    • Financial planning clients · 251-500 to 0
      Mar 22, 2018 to Mar 19, 2019
    • State-registered IARs · 13 to 0
      Mar 22, 2018 to Mar 19, 2019
    • Discretionary RAUM · 700320521.0 to unset
      Mar 22, 2018 to Mar 19, 2019
    • HNW RAUM · 388185531.0 to unset
      Mar 22, 2018 to Mar 19, 2019
    • Individual RAUM · 266017322.0 to unset
      Mar 22, 2018 to Mar 19, 2019
    • Non-discretionary RAUM · 0.0 to unset
      Mar 22, 2018 to Mar 19, 2019
    • Pension RAUM · 13980234.0 to unset
      Mar 22, 2018 to Mar 19, 2019
    • RAUM · 700320521.0 to unset
      Mar 22, 2018 to Mar 19, 2019
    • Accounts · 2,849 to 2,787
      Dec 26, 2017 to Mar 22, 2018
    • Charity clients · unset to 4.0
      Dec 26, 2017 to Mar 22, 2018
    • Corporate clients · unset to 3.0
      Dec 26, 2017 to Mar 22, 2018
    • HNW clients · unset to 191.0
      Dec 26, 2017 to Mar 22, 2018
    • Individual clients · unset to 1157.0
      Dec 26, 2017 to Mar 22, 2018
    • Pension plan clients · unset to 3.0
      Dec 26, 2017 to Mar 22, 2018
    • Assets in custody · $6.1M to $4.0M
      Dec 26, 2017 to Mar 22, 2018
    • State-registered IARs · 14 to 13
      Dec 26, 2017 to Mar 22, 2018
    • Discretionary RAUM · $659M to $700M
      Dec 26, 2017 to Mar 22, 2018
    • HNW RAUM · unset to 388185531.0
      Dec 26, 2017 to Mar 22, 2018
    • Individual RAUM · unset to 266017322.0
      Dec 26, 2017 to Mar 22, 2018
    • Pension RAUM · unset to 13980234.0
      Dec 26, 2017 to Mar 22, 2018
    • RAUM · $659M to $700M
      Dec 26, 2017 to Mar 22, 2018
    • Business name · FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD to FIM GROUP
      Mar 31, 2017 to Dec 26, 2017
    • Other offices · unset to 2.0
      Mar 31, 2017 to Dec 26, 2017
    • Accounts · 3,371 to 2,849
      Dec 2, 2016 to Mar 31, 2017
    • Advisory activities · 5 to 4
      Dec 2, 2016 to Mar 31, 2017
    • Assets in custody · $5.2M to $6.1M
      Dec 2, 2016 to Mar 31, 2017
    • Employees · 31 to 29
      Dec 2, 2016 to Mar 31, 2017
    • Discretionary RAUM · $618M to $659M
      Dec 2, 2016 to Mar 31, 2017
    • Non-discretionary RAUM · $109M to $0
      Dec 2, 2016 to Mar 31, 2017
    • RAUM · $727M to $659M
      Dec 2, 2016 to Mar 31, 2017
    Signals
    1 dated events
    • Fim Group reported 0 state-registered advisory representatives, down from 13 (2018-03-22 to 2019-03-19)
      Mar 19, 2019 · Advisor headcount change · derived
    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