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

S••

Broker-dealer affiliated wealth managerAnn Arbor, MichiganCRD 110692SEC 801-20404website IAPD

Legal name S•••• P••••••• C•••••••••

Latest filing May 7, 2026

First filing on the tape Jan 17, 2012 · 56 filings

SEC status approved since Jan 11, 1984

RAUM

$6.1B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

96%

$5.9B individuals and HNW

Advisors

477

registered through the firm on IAPD

RAUM per advisor

$12.8M

derived; firm RAUM over IAPD count

Employees

471

471 advisory (5.B.1)

Offices

336

beyond the principal office

Private funds

reported on Schedule D

History

56 filings and snapshots on the tape

RAUM$6.1B as of May 7, 2026

Jan 17, 2012$1.4B then

HNW client RAUM$1.7B as of May 7, 2026

Mar 29, 2018$952M then

State-registered IARs (5.B.3)471 as of May 7, 2026

Jan 17, 20120 then

Employees (5.A)471 as of May 7, 2026

Feb 20, 2013700 then

Private funds: no history

RAUM +7.9% over the last fiscal year+0.8% a year over threeIARs 462 to 471offices 351 to 336

Practice profile

derived from the filing of May 7, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $12.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 64derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.1MderivedHNW RAUM over HNW clients
Average account: $230,865derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.4derived337 offices incl. principal (1.F.5)
RAUM growth, one year: +7.9%derivedbetween the last two annual amendments
Advisor growth, one year: +1.9%derivedItem 5.B.3 between annual amendments
Client growth, one year: +0.5%derived
Compensation: percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
Wrap fee program: $236MreportedItem 5.I
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$4.1B68%
High-net-worth individuals$1.7B28%
Corporations and businesses$190M3.1%
Pension and profit-sharing plans$28.0M0.5%
Charitable organizations$8.2M0.1%

Individual clients: 29,763reported
HNW clients: 832reported
Pension plan clients: 190reported
Charitable clients: 21reported
Accounts: 26,433reported
Financial planning clients: 251-500reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=465.0derived

Advisors registered through the firm

478 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
V••••• J••• V••••••Certified Financial Planner	Northbrook, Il	Feb 5, 1998	41 y	0
R••••• I•• W••••	Ann Arbor, Mi	Oct 8, 1998	45 y	0
P••• P••••••	Herber Springs, Ar	Feb 14, 2000	41 y	0
T••••• E••••• L••••••••	Celina, Oh	Jan 2, 2002	32 y	0
G••• D•••••• P••••••Certified Financial Planner	Ann Arbor, Mi	Feb 13, 2002	41 y	0
T••••• P••••• D••••Certified Financial Planner, Chartered Financial Consultant	Newton , Ma	Mar 13, 2002	33 y	0
P••• W•••••• P•••••Chartered Financial Consultant	Ann Arbor, Mi	Mar 13, 2002	47 y	0
A•••• A••••• A•••••••Certified Financial Planner	Miami Lakes, Fl	Jun 19, 2002	42 y	0
T•••••• L•• P••••••	Ogden, Ut	Jun 19, 2002	27 y	0
B•••• G••••• G••••••Certified Financial Planner	Ann Arbor, Mi	Jul 15, 2002	45 y	0
S••••• W•••• B•••••	Newtown, Ct	Jul 24, 2002	45 y	1
W•••••• E• C•••••	Slidell, La	Aug 19, 2002	36 y	0
B•••••• D•••• R•••••	Ann Arbor, Mi	Nov 4, 2002	29 y	0
G••••• R•••••• H•••	Harrisburg, Pa	Jan 13, 2003	29 y	0
G•• S•••••• D•••••	Bridgeport, Wv	Jan 23, 2003	40 y	0
R••••• W• B•••	Toledo, Oh	Feb 5, 2003	39 y	0
N••••• J••••• H••••••Chartered Financial Consultant	Bay Harbor Islands, Fl	Feb 26, 2003	42 y	1
K••••• R••• H•••••	Ann Arbor, Mi	Mar 5, 2003	28 y	0
A•••• D•••••• W•••••••	Fishers, In	Jun 2, 2003	24 y	0
M••••• M•••••••• T••••••Certified Financial Planner	Ann Arbor, Mi	Jun 11, 2003	26 y	1
D•• E••••• E•••••••	Fishers, In	Nov 19, 2003	41 y	1
M•••••• J••• R••••••••Certified Financial Planner	Tucker, Ga	Jan 15, 2004	30 y	0
D•••• M••• M•••••	Orange, Ca	Feb 6, 2004	28 y	0
L•••• C••••••••• J••••Certified Financial Planner	Ann Arbor, Mi	May 3, 2004	24 y	0
M••• W•••••• T•••••••	Greenwood Village, Co	May 17, 2004	46 y	0
C•••••• F•••• H••••••	Ann Arbor, Mi	Jun 7, 2004	30 y	1
M••• J•••• H••••Chartered Financial Consultant	Ann Arbor, Mi	Mar 8, 2005	39 y	1
M••••••• J•• A••••	Newtown, Pa	Mar 18, 2005	42 y	0
S•••• J•• M•••••••••Certified Financial Planner	Pembroke, Me	May 3, 2005	22 y	0
K••• S••••• W••••	Colorado Springs, Co	Jun 30, 2005	27 y	0
B••••• E••• W••••	Colorado Springs, Co	Aug 30, 2005	22 y	0
S••••• E••••• L•••	Terre Haute, In	Oct 26, 2005	42 y	0
R•••••• A••••• P•••••••	Jackson, Nj	Dec 13, 2005	28 y	2
C•••• H••••• K••••••	Ann Arbor, Mi	Jan 19, 2006	22 y	0
P••••• P•••••	Sayreville, Nj	Feb 17, 2006	32 y	2
D••••• R••••• I••••••	Toledo, Oh	Apr 7, 2006	33 y	1
D••••• R••••• I••••••	Toledo, Oh	Apr 10, 2006	33 y	0
L•••• M••••••• V••••••Certified Financial Planner	Sacramento, Ca	Apr 24, 2006	28 y	1
R••••• L••• S••••••Personal Financial Specialist	Sunrise, Fl	May 1, 2006	39 y	0
C•••••• W•••••• B••••	H•••Land P•••, Il	Jun 13, 2006	24 y	1

All 478 advisors at S••

Advisor movement

20 left, 26 joined in 12 months

net +6 in 12 months3 left in 90 days4 joined in 90 daysdeparture rate 4.2% of current headcount102 left over 36 months

Left, latest

T••• M•••••• S•••••• to O•••• A••••••• S•••••••• L••
Jul 17, 2026 · Affiliated broker-dealer or bank to another
J••• L• S•••••• to T••••••••• R••••••••• A•••••••• L••
Jul 6, 2026 · Affiliated broker-dealer or bank to another
R•••••• L•••• H••• to L•• F•••••••• L••
Jun 23, 2026 · Affiliated broker-dealer or bank to another
B•••• C•••••• B••••••• to B•• P••••• F••••••••
Jun 1, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
M••• F•••• P•••••• to B•• P••••• F••••••••
Jun 1, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
S••• D•••• S••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
Apr 21, 2026 · Affiliated broker-dealer or bank to another
M••• A••• G•••••• to L•• F•••••••• L••
Mar 20, 2026 · Affiliated broker-dealer or bank to another
L••••• T••• P•••••• to S••••• A•••• M••••••••• L•••••
Feb 25, 2026 · Affiliated broker-dealer or bank to independent RIA
C•••••• L•••• M••••• to C•••••• M••••• C•••••• M•••••••••
Feb 12, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
R••• E••••• S••••••• to L•• F•••••••• L••
Jan 14, 2026 · Affiliated broker-dealer or bank to another
G•••• G•••••• to L•• F•••••••• L••
Jan 5, 2026 · Affiliated broker-dealer or bank to another
V••••• O••••••• H••••• to C••••• I••••••••• A••••••• L••
Dec 4, 2025 · Affiliated broker-dealer or bank to another
L••••• J••• W••• to L•• F•••••••• L••
Dec 2, 2025 · Affiliated broker-dealer or bank to another
N•••••• S••••••• to L•• F•••••••• L••
Dec 2, 2025 · Affiliated broker-dealer or bank to another
M••••••• R••••• S••••• to F••••••• F•••••••• S••••••••• L••
Nov 25, 2025 · Affiliated broker-dealer or bank to independent RIA

Joined, latest

B••• S••••••• from L•• F•••••••• L••
Aug 17, 2026 · Affiliated broker-dealer or bank to another
C••••••••• W•••••• M••••••• from P••• A••••• S••••••••• L••
Aug 10, 2026 · Affiliated broker-dealer or bank to another
E••• M• S••••• from E•••• S••••••••• L••
Jul 21, 2026 · Affiliated broker-dealer or bank to another
R••••• D•••• L•••••• from S•••• F••• I••••••••• M••••••••• C••••
Jul 20, 2026 · Other
J••••• L•••• A••• P•••••••• from S•••••••• A••••••• L••
Jun 12, 2026 · Affiliated broker-dealer or bank to another
S•••• A•• T•••••• from W••••••••• F•••••••• A••••••• C•••
Jun 8, 2026 · RIA to affiliated broker-dealer or bank
J•••••• P•••••••• from E•••• S••••••••• L••
May 11, 2026 · Affiliated broker-dealer or bank to another
J•••• H••••• B•••• from T•• A•••••••• I•••
May 8, 2026 · Affiliated broker-dealer or bank to another
T••••• E••••• B••••••• from W•••• I••••••••• A•••••••• L••
Apr 10, 2026 · Other
S•••••• J••• S•••••••• from A••••••••• F•••••••• S•••••••• L••
Mar 24, 2026 · Affiliated broker-dealer or bank to another
L•••••• K•••••••• from E••••• J••••
Mar 6, 2026 · Affiliated broker-dealer or bank to another
D••••• A•••••• from E•• F•••••••• A•••••••
Mar 2, 2026 · RIA to affiliated broker-dealer or bank
F••••• B•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Mar 2, 2026 · Affiliated broker-dealer or bank to another
M•••••• A••••• C••••• from B•••••••• F•••••••• A•••••••
Feb 3, 2026 · RIA to affiliated broker-dealer or bank
J••••• M••••••• from P•••••••• A•••••••
Jan 23, 2026 · Affiliated broker-dealer or bank to another

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for B•• P••••• F••••••••
Jun 1, 2026 · Mt C•••Ens, Mi
2 left for L•• F•••••••• L••
Dec 2, 2025 · Ann Arbor, Mi
2 left for O•••• W•••••• I•••
Sep 2, 2025 · L••••Ville, Ky
2 left for H••••• P•••••• W•••••• L••
Jul 8, 2025 · Royal Oak, Mi
3 left for P••••••••• C•••••• A•••••••
May 27, 2025 · Ann Arbor, Mi
2 left for O•••• W•••••• I•••
Mar 24, 2025 · St J••••, Mn
2 left for O•••• W•••••• I•••
Jan 3, 2025 · Ann Arbor, Mi
2 left for O•••• A••••••• S•••••••• L••
Oct 28, 2024 · Ann Arbor, Mi

2 joined from C••••••••• F•••••••• N••••••
Aug 18, 2025 · Fishkill, Ny
2 joined from J••• W••••• M••••••••• L••
Jul 31, 2025 · Sioux Falls, Sd
4 joined from I• A••••••• S•••••••• I•••
Jan 29, 2025 · Cedar Knolls, Nj
2 joined from C••••• A••••••• L••
Jun 17, 2022 · Rockf•••, Mi
3 joined from O•••• F•• I•••
Aug 16, 2021 · Okemos, Mi
2 joined from W•••• F•••• A•••••••
Nov 19, 2019 · Denver, Co
2 joined from E••••• J••••
May 31, 2019 · Dexter, Mi
2 joined from E•••• S••••••••• L••
Jul 20, 2018 · Ada, Mi

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

K••••••••• A•••••• D•••• · Chief Compliance Officercontrol
since 10/2022 · owns less than 5%
M••••••••• J•••• A•••••••• · Chief Risk And Business Officercontrol
since 04/2025 · owns less than 5%
P•••••• R•••••••• F••••• · Chief Legal Officercontrol
since 04/2025 · owns less than 5%
R•••••• D•••• E•••• · Chief Operating Officercontrol
since 03/2025 · owns less than 5%
R•••••• B••••••• D•••• · Presidentcontrol
since 12/2007 · owns less than 5%
R•••••• J•••••• S•••••• · Ceo, Chairman And Trustee Of T•• J••••• S• R••••• R•••••••• L••••• Trust D••••control
since 10/1983 · owns less than 5%
S•••••••• M•••• R•••• · Avp Operationscontrol
since 05/2021 · owns less than 5%
R•••••• J•••••• S•••••• · Trusteecontrol
since 12/1998 · owns 75% or more of T•• J••••• S• R••••• R•••••••• L••••• T•••• D•••• 1••••••••• A• A•••••• A•• R••••••• O• 1•••••••••

Entity owners

T•• J••••• S• R••••• R•••••••• · Trust (Owner Of All Voting S••••S)
direct · owns 75% or more
T•• J••••• S• R••••• R•••••••• L••••• T•••• D•••• 1••••••••• A• A•••••• A•• R••••••• O• 1••••••••• · Trust (Owner Of All Voting S••••S)
direct · owns 75% or more

Related persons

Schedule D 7.A

P••••••• S••••••••• L••
broker-dealerLP sponsorreal estaten
S•••• F•••••••• C•••••••••
broker-dealerLP sponsorreal estaten

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out
Ann Arbor, Mi · principal	452	47	10	1
Troy, Mi	16	1	1
Novi, Mi	9	2	0
Okemos, Mi	7	0	0
Colorado Springs, Co	7	1	1
Mount Prospect, Il	7	0	0
Toledo, Oh	6	0	0
F•••Ington Hills, Mi	6	1	0
Grand Rapids, Mi	6	0	0
Irvine, Ca	6	0	0
A•••• P•••, Mi	5	0	0
Lansing, Mi	5	1	0
New Boston, Mi	4	0	0
Phoenix, Az	4	1	0
Plymouth Meeting, Pa	4	0	0
Cedar Knolls, Nj	4	1	0
Spring, Tx	4	3	0
East Lansing, Mi	4	0	0
Overland P•••, Ks	4	0	0
Plymouth, Mi	4	0	0

Offices

Schedule D 1.F, the 25 largest

Mt. Prospect, IL8 employees
Colorado Springs, CO6 employees
Troy, MI6 employees
Maumee, OH6 employees
A•••• P•••, MI5 employees
Okemos, MI4 employees
L••••Ville, KY4 employees
F•••Ington Hills, MI4 employees
Troy, MI3 employees
Plymouth Meeting, PA3 employees
Walnut Creek, CA3 employees
Orange, CA3 employees
Novi, MI3 employees
Knox, IN3 employees
Sunrise, FL3 employees
Lansing, MI3 employees
East Lansing, MI3 employees
Cedar P•••, TX3 employees
Okemos, MI3 employees
Fort W••••, IN2 employees
, 2 employees
Lebanon, PA2 employees
, 2 employees
San Antonio, TX2 employees
Celina, OH2 employees

ADV anomalies

2 against comparable advisers; where to look, not conclusions

control person changedChange between filings · filing May 7, 2026
M••••••••• J•••• A•••••••• (CHIEF RISK AND BUSINESS OFFICER) appeared on Schedule A between the filings of 2022-10-27 and 2026-05-07
peers: affiliated wealth managers, $5B to $20B (53)
control person changedChange between filings · filing May 7, 2026
P•••••• R•••••••• F••••• (CHIEF LEGAL OFFICER) appeared on Schedule A between the filings of 2022-10-27 and 2026-05-07
peers: affiliated wealth managers, $5B to $20B (53)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 26,544 to 26,433
Jan 5, 2026 to Mar 24, 2026
Advisory employees · 462 to 471
Jan 5, 2026 to Mar 24, 2026
BD registered reps · 460 to 465
Jan 5, 2026 to Mar 24, 2026
Charity clients · 34 to 21
Jan 5, 2026 to Mar 24, 2026
Corporate clients · 95 to 100
Jan 5, 2026 to Mar 24, 2026
HNW clients · 697 to 832
Jan 5, 2026 to Mar 24, 2026
Individual clients · 29,745 to 29,763
Jan 5, 2026 to Mar 24, 2026
Pension plan clients · 300 to 190
Jan 5, 2026 to Mar 24, 2026
Employees · 462 to 471
Jan 5, 2026 to Mar 24, 2026
State-registered IARs · 462 to 471
Jan 5, 2026 to Mar 24, 2026
Other offices · 351 to 336
Jan 5, 2026 to Mar 24, 2026
Discretionary RAUM · $5.6B to $6.1B
Jan 5, 2026 to Mar 24, 2026
HNW RAUM · $1.5B to $1.7B
Jan 5, 2026 to Mar 24, 2026
Individual RAUM · $4.0B to $4.1B
Jan 5, 2026 to Mar 24, 2026
Non-discretionary RAUM · $14.7M to $1.2M
Jan 5, 2026 to Mar 24, 2026
Pension RAUM · $27.9M to $28.0M
Jan 5, 2026 to Mar 24, 2026
RAUM · $5.7B to $6.1B
Jan 5, 2026 to Mar 24, 2026
Accounts · 30,541 to 26,544
Jul 1, 2024 to Apr 24, 2025
Advisory employees · 470 to 462
Jul 1, 2024 to Apr 24, 2025
BD registered reps · 454 to 460
Jul 1, 2024 to Apr 24, 2025
Charity clients · 41 to 34
Jul 1, 2024 to Apr 24, 2025
Corporate clients · 111 to 95
Jul 1, 2024 to Apr 24, 2025
HNW clients · 588 to 697
Jul 1, 2024 to Apr 24, 2025
Individual clients · 32,081 to 29,745
Jul 1, 2024 to Apr 24, 2025
Pension plan clients · 705 to 300
Jul 1, 2024 to Apr 24, 2025
Employees · 470 to 462
Jul 1, 2024 to Apr 24, 2025
Financial planning clients · 251-500 to 251-500
Jul 1, 2024 to Apr 24, 2025
State-registered IARs · 470 to 462
Jul 1, 2024 to Apr 24, 2025
Other offices · 361 to 351
Jul 1, 2024 to Apr 24, 2025
Discretionary RAUM · $5.5B to $5.6B
Jul 1, 2024 to Apr 24, 2025
HNW RAUM · $1.2B to $1.5B
Jul 1, 2024 to Apr 24, 2025
Individual RAUM · $4.2B to $4.0B
Jul 1, 2024 to Apr 24, 2025
Non-discretionary RAUM · $13.3M to $14.7M
Jul 1, 2024 to Apr 24, 2025
Pension RAUM · $40.1M to $27.9M
Jul 1, 2024 to Apr 24, 2025
RAUM · $5.6B to $5.7B
Jul 1, 2024 to Apr 24, 2025
Related adviser · true to false
Nov 15, 2023 to Mar 21, 2024
Accounts · 34,594 to 30,541
Nov 15, 2023 to Mar 21, 2024
Advisory employees · 610 to 470
Nov 15, 2023 to Mar 21, 2024
BD registered reps · 590 to 454
Nov 15, 2023 to Mar 21, 2024
Charity clients · 20 to 41
Nov 15, 2023 to Mar 21, 2024

Signals

60 dated events

J•••• L•••• P••••• no longer holds an investment adviser registration (last listed at Spc on the 2026-09-15 feed)
Sep 15, 2026 · a•••••• registration ended · derived
Lucas A••• Jagodzinske registered as an investment adviser representative at Spc
Sep 15, 2026 · a•••••• registered · fact
T••• M•••••• S•••••• left Spc for O•••• A••••••• S•••••••• L•• (registered 2026-07-17)
Jul 17, 2026 · a•••••• firm change · fact
J••• L• S•••••• left Spc for T••••••••• R••••••••• A•••••••• L•• (registered 2026-07-09)
Jul 6, 2026 · a•••••• firm change · fact
R•••••• L•••• H••• left Spc for L•• F•••••••• L•• (registered 2026-06-17)
Jun 23, 2026 · a•••••• firm change · fact
B•••• C•••••• B••••••• left Spc for B•• P••••• F•••••••• (registered 2026-05-29)
Jun 1, 2026 · a•••••• firm change · fact
M••• F•••• P•••••• left Spc for B•• P••••• F•••••••• (registered 2026-05-29)
Jun 1, 2026 · a•••••• firm change · fact
2 advisors left Spc (MT Clemens, MI) for B•• P••••• F•••••••• on the same day
Jun 1, 2026 · Team lift-out · derived
S••• D•••• S••••••••• left Spc for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2026-04-21)
Apr 21, 2026 · a•••••• firm change · fact
Spc reported 336 offices beyond its principal office, down from 351 (2026-01-05 to 2026-03-24)
Mar 24, 2026 · Office count change · derived
M••• A••• G•••••• left Spc for L•• F•••••••• L•• (registered 2026-03-20)
Mar 20, 2026 · a•••••• firm change · fact
L••••• T••• P•••••• left Spc for S••••• A•••• M••••••••• L••••• (registered 2026-03-10)
Feb 25, 2026 · a•••••• firm change · fact
C•••••• L•••• M••••• left Spc for C•••••• M••••• C•••••• M••••••••• (registered 2026-05-08)
Feb 12, 2026 · a•••••• firm change · fact
R••• E••••• S••••••• left Spc for L•• F•••••••• L•• (registered 2026-01-14)
Jan 14, 2026 · a•••••• firm change · fact
G•••• G•••••• left Spc for L•• F•••••••• L•• (registered 2026-01-28)
Jan 5, 2026 · a•••••• firm change · fact
V••••• O••••••• H••••• left Spc for C••••• I••••••••• A••••••• L•• (registered 2026-04-07)
Dec 4, 2025 · a•••••• firm change · fact
L••••• J••• W••• left Spc for L•• F•••••••• L•• (registered 2025-12-01)
Dec 2, 2025 · a•••••• firm change · fact
N•••••• S••••••• left Spc for L•• F•••••••• L•• (registered 2025-12-01)
Dec 2, 2025 · a•••••• firm change · fact
2 advisors left Spc (Ann Arbor, MI) for L•• F•••••••• L•• on the same day
Dec 2, 2025 · Team lift-out · derived
M••••••• R••••• S••••• left Spc for F••••••• F•••••••• S••••••••• L•• (registered 2025-08-12)
Nov 25, 2025 · a•••••• firm change · fact
T•••••• D••• B•••• left Spc for T•• W••••••••• G•• L•• (registered 2025-12-03)
Nov 4, 2025 · a•••••• firm change · fact
T•••••• W• A••• left Spc for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-10-27)
Oct 24, 2025 · a•••••• firm change · fact
D••• N••••• T••••••••• left Spc for L•• F•••••••• L•• (registered 2025-10-21)
Oct 21, 2025 · a•••••• firm change · fact
C••••• D••••• left Spc for S••• W••••• L•• (registered 2025-10-24)
Oct 10, 2025 · a•••••• firm change · fact
R••••• N••••• W••••••• left Spc for S••••• W••••• A•••••••• I••• (registered 2025-12-15)
Oct 6, 2025 · a•••••• firm change · fact
M•••••• T••• K•••• left Spc for O•••• W•••••• I••• (registered 2025-09-02)
Sep 2, 2025 · a•••••• firm change · fact
H•••• M••••••• K•••• left Spc for O•••• W•••••• I••• (registered 2025-09-05)
Sep 2, 2025 · a•••••• firm change · fact
2 advisors left Spc (Louisville, KY) for O•••• W•••••• I••• on the same day
Sep 2, 2025 · Team lift-out · derived
A••• J••• B•• left Spc for L•• F•••••••• L•• (registered 2025-08-29)
Aug 29, 2025 · a•••••• firm change · fact
2 advisors left C••••••••• F•••••••• N•••••• (Fishkill, NY) for Spc a day apart
Aug 18, 2025 · Team lift-out · derived

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

Firm profile: linkedin.com/company/sigma-financial-corporationreportedpublic record, Form ADV, Sep 18, 2026
Firm profile: linkedin.com/company/axtella300reportedpublic record, Form ADV, Sep 18, 2026
Website: axtella.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 734-663-1611reportedpublic record, Form ADV, May 7, 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: Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $12.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026