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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Former SEC-registered adviser

A•••• A•••• M••••••••• L••

Former SEC-registered adviserAnn A••••, MichiganCRD 112048SEC 801-60341IAPD
Latest filing Mar 21, 2019
First filing on the tape Mar 13, 2012 · 10 filings
RAUM
$320M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$306M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$320M as of Mar 21, 2019
Mar 13, 2012$185M then
HNW client RAUM$296M as of Mar 21, 2019
Feb 13, 2018$324M then
State-registered IARs (5.B.3)3 as of Mar 21, 2019
Mar 13, 20120 then
Employees (5.A)3 as of Mar 21, 2019
Mar 18, 20133 then
Private funds: no history
RAUM -9.0% over the last fiscal year+2.6% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 21, 2019; every figure names its basis
RAUM per advisor
$107MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
69derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$437,229derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-9.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-7.2%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$72.1M, 67 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$296M93%
  • Pension and profit-sharing plans$13.2M4.1%
  • Individuals$10.5M3.3%
  • Charitable organizations$92,9100.0%
Individual clients
65reported
HNW clients
141reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
731reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$72.1M for 67 clientsreported
Compensation
% of AUM, fixedreported
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P•••••••• N•••• D• · President, Managing Member & Chief Compliance Officercontrol
      since 11/1996 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 740 to 731
      Apr 9, 2018 to Mar 21, 2019
    • HNW clients · 153 to 141
      Apr 9, 2018 to Mar 21, 2019
    • Individual clients · 69 to 65
      Apr 9, 2018 to Mar 21, 2019
    • Assets in custody · $84.6M to $72.1M
      Apr 9, 2018 to Mar 21, 2019
    • Discretionary RAUM · $351M to $320M
      Apr 9, 2018 to Mar 21, 2019
    • HNW RAUM · $324M to $296M
      Apr 9, 2018 to Mar 21, 2019
    • Individual RAUM · $12.5M to $10.5M
      Apr 9, 2018 to Mar 21, 2019
    • Pension RAUM · $14.6M to $13.2M
      Apr 9, 2018 to Mar 21, 2019
    • RAUM · $351M to $320M
      Apr 9, 2018 to Mar 21, 2019
    • Assets in custody · unset to 84615561.0
      Feb 13, 2018 to Apr 9, 2018
    • Custody of client assets · false to true
      Feb 13, 2018 to Apr 9, 2018
    • Accounts · 752 to 740
      Mar 14, 2017 to Feb 13, 2018
    • HNW clients · unset to 153.0
      Mar 14, 2017 to Feb 13, 2018
    • Individual clients · unset to 69.0
      Mar 14, 2017 to Feb 13, 2018
    • Pooled vehicle clients · unset to 0.0
      Mar 14, 2017 to Feb 13, 2018
    • State-registered IARs · 1 to 3
      Mar 14, 2017 to Feb 13, 2018
    • Other offices · unset to 0.0
      Mar 14, 2017 to Feb 13, 2018
    • Discretionary RAUM · $301M to $351M
      Mar 14, 2017 to Feb 13, 2018
    • HNW RAUM · unset to 323835720.0
      Mar 14, 2017 to Feb 13, 2018
    • Individual RAUM · unset to 12491364.0
      Mar 14, 2017 to Feb 13, 2018
    • Pension RAUM · unset to 14559945.0
      Mar 14, 2017 to Feb 13, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Mar 14, 2017 to Feb 13, 2018
    • RAUM · $301M to $351M
      Mar 14, 2017 to Feb 13, 2018
    • Accounts · 786 to 752
      Feb 24, 2016 to Mar 14, 2017
    • Advisory employees · 2 to 3
      Feb 24, 2016 to Mar 14, 2017
    • Discretionary RAUM · $296M to $301M
      Feb 24, 2016 to Mar 14, 2017
    • RAUM · $296M to $301M
      Feb 24, 2016 to Mar 14, 2017
    • Accounts · 781 to 786
      Mar 18, 2015 to Feb 24, 2016
    • Discretionary RAUM · $263M to $296M
      Mar 18, 2015 to Feb 24, 2016
    • RAUM · $263M to $296M
      Mar 18, 2015 to Feb 24, 2016
    • Accounts · 693 to 781
      Mar 26, 2014 to Mar 18, 2015
    • Discretionary RAUM · $246M to $263M
      Mar 26, 2014 to Mar 18, 2015
    • RAUM · $246M to $263M
      Mar 26, 2014 to Mar 18, 2015
    • Accounts · 691 to 693
      Mar 18, 2013 to Mar 26, 2014
    • Discretionary RAUM · $218M to $246M
      Mar 18, 2013 to Mar 26, 2014
    • RAUM · $218M to $246M
      Mar 18, 2013 to Mar 26, 2014
    • Accounts · 609 to 691
      Mar 13, 2012 to Mar 18, 2013
    • Advisory employees · unset to 2.0
      Mar 13, 2012 to Mar 18, 2013
    • Employees · unset to 3.0
      Mar 13, 2012 to Mar 18, 2013
    • State-registered IARs · 0 to 1
      Mar 13, 2012 to Mar 18, 2013
    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