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
C•• F••••••••
Legal name E•••••••• F•••••••• S••••••• I••
Latest filing Mar 28, 2026
First filing on the tape Mar 29, 2012 · 14 filings
SEC status approved since Jul 28, 2021
RAUM
$199M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$195M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$66.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$199M as of Mar 28, 2026
Mar 29, 2012$65.2M then
HNW client RAUM$161M as of Mar 28, 2026
Mar 29, 2022$71.3M then
State-registered IARs (5.B.3)3 as of Mar 28, 2026
Mar 29, 20224 then
Employees (5.A)3 as of Mar 28, 2026
Mar 29, 20224 then
Private funds: no history
RAUM +11% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 28, 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
- $66.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.1%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, 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
- 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$161M81%
- Individuals$34.6M17%
- Pension and profit-sharing plans$4.3M2.1%
- Individual clients
- 115reported
- HNW clients
- 73reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 189reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| A••••• R•••••• C•••Personal Financial Specialist | Livonia, Mi | May 6, 2010 | 29 y | 0 |
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
- B•••••••• T•••••••• K••• · Secretarycontrolsince 01/2008 · owns 10% to 25%
- C•••• A•••••• R•••••• · President, Chief Compliance Officercontrolsince 01/2008 · owns 50% to 75%
- M•••• W•••••• · Vice Presidentcontrolsince 01/2008 · owns 25% to 50%
Related persons
Schedule D 7.A
- C••• N••••• • D•••• C•••insurancen
- W•••••• M••• • A••••••••• I••investment advisernRAUM $1.0B
Advisers that list C•• F•••••••• as a related person
- 107377 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Livonia, Mi · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Troy, MI3 employees
What changed
consecutive filings, newest first
- Accounts · 192 to 189Dec 2, 2025 to Mar 28, 2026
- HNW clients · 98 to 73Dec 2, 2025 to Mar 28, 2026
- Individual clients · 94 to 115Dec 2, 2025 to Mar 28, 2026
- Assets in custody · $58.0M to $65.0MDec 2, 2025 to Mar 28, 2026
- Financial planning clients · 1-10 to 0Dec 2, 2025 to Mar 28, 2026
- Discretionary RAUM · $177M to $195MDec 2, 2025 to Mar 28, 2026
- HNW RAUM · $159M to $161MDec 2, 2025 to Mar 28, 2026
- Individual RAUM · $18.5M to $34.6MDec 2, 2025 to Mar 28, 2026
- Non-discretionary RAUM · $3.3M to $4.3MDec 2, 2025 to Mar 28, 2026
- Pension RAUM · $3.3M to $4.3MDec 2, 2025 to Mar 28, 2026
- RAUM · $180M to $199MDec 2, 2025 to Mar 28, 2026
- Advisory activities · 3 to 4Mar 27, 2025 to Dec 2, 2025
- Accounts · 190 to 192Mar 29, 2024 to Mar 27, 2025
- Advisory employees · 4 to 3Mar 29, 2024 to Mar 27, 2025
- HNW clients · 62 to 98Mar 29, 2024 to Mar 27, 2025
- Individual clients · 128 to 94Mar 29, 2024 to Mar 27, 2025
- Assets in custody · $47.8M to $58.0MMar 29, 2024 to Mar 27, 2025
- Custody of client assets · true to falseMar 29, 2024 to Mar 27, 2025
- Employees · 4 to 3Mar 29, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 1-10Mar 29, 2024 to Mar 27, 2025
- State-registered IARs · 4 to 3Mar 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $152M to $177MMar 29, 2024 to Mar 27, 2025
- HNW RAUM · $103M to $159MMar 29, 2024 to Mar 27, 2025
- Individual RAUM · $48.9M to $18.5MMar 29, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $2.5M to $3.3MMar 29, 2024 to Mar 27, 2025
- Pension RAUM · $2.5M to $3.3MMar 29, 2024 to Mar 27, 2025
- RAUM · $154M to $180MMar 29, 2024 to Mar 27, 2025
- Accounts · 206 to 190Jan 23, 2024 to Mar 29, 2024
- HNW clients · 66 to 62Jan 23, 2024 to Mar 29, 2024
- Individual clients · 139 to 128Jan 23, 2024 to Mar 29, 2024
- Assets in custody · $53.5M to $47.8MJan 23, 2024 to Mar 29, 2024
- Discretionary RAUM · $127M to $152MJan 23, 2024 to Mar 29, 2024
- HNW RAUM · $81.9M to $103MJan 23, 2024 to Mar 29, 2024
- Individual RAUM · $43.8M to $48.9MJan 23, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $0 to $2.5MJan 23, 2024 to Mar 29, 2024
- Pension RAUM · $1.7M to $2.5MJan 23, 2024 to Mar 29, 2024
- RAUM · $127M to $154MJan 23, 2024 to Mar 29, 2024
- Accounts · 201 to 206Mar 29, 2022 to Mar 24, 2023
- HNW clients · 47 to 66Mar 29, 2022 to Mar 24, 2023
- Individual clients · 153 to 139Mar 29, 2022 to Mar 24, 2023
Signals
1 dated events
- E•••••••• F•••••••• S••••••• I•• filed its initial SEC registration (Form ADV)Jun 28, 2021 · 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
- 734-427-2030reportedpublic record, Form ADV, Mar 28, 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
- $66.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026