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

C•••••••• C••••••••• I••

Former SEC-registered adviserBloomfield Hills, MichiganCRD 112086SEC 801-26096IAPD
Latest filing Jun 5, 2017
First filing on the tape Mar 29, 2012 · 8 filings
RAUM
$320M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$320M as of Mar 30, 2017
Mar 29, 2012$215M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 30, 2017
Mar 29, 20120 then
Employees (5.A)8 as of Mar 30, 2017
Apr 1, 20139 then
Private funds: no history
RAUM -5.6% over the last fiscal year+5.8% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Jun 5, 2017; every figure names its basis
RAUM per advisor
$80.1MderivedRAUM 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
$173,496derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived4 offices incl. principal (1.F.5)
RAUM growth, one year
-5.6%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 5.G
Custody
$1.3M, 132 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)
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
1,847reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$1.3M for 132 clientsreported
Compensation
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
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
    • J••••••• C••••• C• · Chief Compliance Officercontrol
      since 12/2005 · owns less than 5%
    • L••••• P•••••• S• · Vice Presidentcontrol
      since 10/2015 · owns less than 5%
    • S•••••• M••••••• R••• · Vice Presidentcontrol
      since 05/2017 · owns less than 5%
    • W••••••••• B••• · Presidentcontrol
      since 01/1978 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • St Cloud, FL
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 1,961 to 1,847
      Mar 30, 2016 to Mar 30, 2017
    • Advisory employees · 9 to 8
      Mar 30, 2016 to Mar 30, 2017
    • Assets in custody · $1.4M to $1.3M
      Mar 30, 2016 to Mar 30, 2017
    • Employees · 9 to 8
      Mar 30, 2016 to Mar 30, 2017
    • Insurance-licensed employees · 2 to 1
      Mar 30, 2016 to Mar 30, 2017
    • State-registered IARs · 5 to 4
      Mar 30, 2016 to Mar 30, 2017
    • Discretionary RAUM · $340M to $320M
      Mar 30, 2016 to Mar 30, 2017
    • RAUM · $340M to $320M
      Mar 30, 2016 to Mar 30, 2017
    • Accounts · 1,742 to 1,961
      Mar 26, 2015 to Mar 30, 2016
    • Assets in custody · $1.4M to $1.4M
      Mar 26, 2015 to Mar 30, 2016
    • Discretionary RAUM · $308M to $340M
      Mar 26, 2015 to Mar 30, 2016
    • RAUM · $308M to $340M
      Mar 26, 2015 to Mar 30, 2016
    • Related adviser · true to false
      Mar 26, 2015 to Mar 30, 2016
    • Accounts · 1,694 to 1,742
      Feb 5, 2015 to Mar 26, 2015
    • Assets in custody · $1.2M to $1.4M
      Feb 5, 2015 to Mar 26, 2015
    • State-registered IARs · 4 to 5
      Feb 5, 2015 to Mar 26, 2015
    • Discretionary RAUM · $271M to $308M
      Feb 5, 2015 to Mar 26, 2015
    • RAUM · $271M to $308M
      Feb 5, 2015 to Mar 26, 2015
    • HQ city · FRANKLIN to BLOOMFIELD HILLS
      Mar 26, 2014 to Feb 5, 2015
    • Accounts · 1,627 to 1,694
      Apr 1, 2013 to Mar 26, 2014
    • Assets in custody · unset to 1175580.0
      Apr 1, 2013 to Mar 26, 2014
    • Custody of client assets · false to true
      Apr 1, 2013 to Mar 26, 2014
    • State-registered IARs · 2 to 4
      Apr 1, 2013 to Mar 26, 2014
    • Discretionary RAUM · $245M to $271M
      Apr 1, 2013 to Mar 26, 2014
    • RAUM · $245M to $271M
      Apr 1, 2013 to Mar 26, 2014
    • Accounts · 1,547 to 1,627
      Mar 29, 2012 to Apr 1, 2013
    • Advisory employees · unset to 9.0
      Mar 29, 2012 to Apr 1, 2013
    • Employees · unset to 9.0
      Mar 29, 2012 to Apr 1, 2013
    • Insurance-licensed employees · 1 to 2
      Mar 29, 2012 to Apr 1, 2013
    • State-registered IARs · 0 to 2
      Mar 29, 2012 to Apr 1, 2013
    • Discretionary RAUM · $215M to $245M
      Mar 29, 2012 to Apr 1, 2013
    • RAUM · $215M to $245M
      Mar 29, 2012 to Apr 1, 2013
    • Related broker-dealer · true to false
      Mar 29, 2012 to Apr 1, 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