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
G•••••••• F•••••••• G••••• I•••
Latest filing Jan 31, 2017
First filing on the tape Dec 22, 2011 · 20 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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$65.4M as of Jan 4, 2016
Dec 22, 2011$282M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Dec 15, 2016
Dec 14, 20121 then
Employees (5.A)1 as of Dec 15, 2016
Dec 14, 201210 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 31, 2017; 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
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Left, latest
- T••• R••••••• M••• to P•••••• G•••••••• A••••••• G••••• L••Feb 20, 2017 · Other
- B•••• J•••• H••• to P•••••• G•••••••• A••••••• G••••• L••Dec 31, 2015 · Other
- B•••• A• S•••• to P•••••• W••••• A••••••• G••••Dec 31, 2015 · Other
- E••• W•••• B•••••• to P•••••• G•••••••• A••••••• G••••• L••Dec 31, 2015 · Other
- K•••••• L•• G••••••• to P•••••• G•••••••• A••••••• G••••• L••Dec 31, 2015 · Other
- T•••••• J••• D••• to P•••••• W••••• A••••••• G••••Dec 31, 2015 · Other
- R•••••• K•••••• H•••• to S••Mar 26, 2014 · Other
- W•••••• L•••••• B••••• to T• A••••••••• I••••••••• M••••••••• L••Mar 26, 2014 · Other
- D•••• C••••••••• W••••• to S•••••••• F••••••••• I•••Jul 17, 2013 · Other
- M•• T•• C••••• to A••••••••• F•••••••• S•••••••• L••Jul 17, 2013 · Other
Joined, latest
- B•••• A• S•••• from K•• I••••••••• S••••••• L••Oct 14, 2013 · Other
- B•••• J•••• H••• from L•• F•••••••• L••Sep 30, 2013 · Other
- D•••• C••••••••• W••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 11, 2013 · Other
- M•• T•• C••••• from F•••••• O•• I••••••••• A•••••••• I•••Dec 18, 2012 · Other
- W•••••• L•••••• B••••• from J• C•••••• M••••••••• I•••Dec 6, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P•••••• W••••• A••••••• G••••Dec 31, 2015 · Troy, Mi
- 2 left for P•••••• G•••••••• A••••••• G••••• L••Dec 31, 2015 · Troy, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• T•••• R••••••• · President And Chief Compliance Officercontrolsince 10/2015 · owns less than 5%
- M•••• T•••• R••••••• · Sole Membercontrolsince 10/2015 · owns 75% or more of M••• E••••• M••••••••• L••
Entity owners
- M••• E••••• M••••••••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- G•••••••• I••••••••• G••••• L••pooled vehicle sponsorn
- P•••••• G•••••••• A••••••• G••••• L••investment adviseryRAUM $24.0M
- P•••••• W••••• A••••••• G••••investment advisernRAUM $1.5B
Offices
Schedule D 1.F, the 25 largest
- Troy, MI
What changed
consecutive filings, newest first
- Accounts · 279.0 to unsetJan 4, 2016 to Dec 15, 2016
- Financial planning clients · 101-250 to 26-50Jan 4, 2016 to Dec 15, 2016
- Discretionary RAUM · 65369086.0 to unsetJan 4, 2016 to Dec 15, 2016
- Non-discretionary RAUM · 21619.0 to unsetJan 4, 2016 to Dec 15, 2016
- RAUM · 65390705.0 to unsetJan 4, 2016 to Dec 15, 2016
- Accounts · 1,226 to 279Nov 13, 2015 to Jan 4, 2016
- Advisory employees · 7 to 1Nov 13, 2015 to Jan 4, 2016
- Employees · 11 to 1Nov 13, 2015 to Jan 4, 2016
- Financial planning clients · 51-100 to 101-250Nov 13, 2015 to Jan 4, 2016
- HQ city · TROY to SAN RAFAELNov 13, 2015 to Jan 4, 2016
- HQ state · MI to CANov 13, 2015 to Jan 4, 2016
- State-registered IARs · 6 to 1Nov 13, 2015 to Jan 4, 2016
- Discretionary RAUM · $341M to $65.4MNov 13, 2015 to Jan 4, 2016
- Non-discretionary RAUM · $113,288 to $21,619Nov 13, 2015 to Jan 4, 2016
- RAUM · $341M to $65.4MNov 13, 2015 to Jan 4, 2016
- Accounts · 1,198 to 1,226Dec 9, 2014 to Dec 17, 2014
- Advisory employees · 9 to 7Dec 9, 2014 to Dec 17, 2014
- Employees · 16 to 11Dec 9, 2014 to Dec 17, 2014
- Financial planning clients · 101-250 to 51-100Dec 9, 2014 to Dec 17, 2014
- State-registered IARs · 9 to 6Dec 9, 2014 to Dec 17, 2014
- Discretionary RAUM · $323M to $341MDec 9, 2014 to Dec 17, 2014
- Non-discretionary RAUM · $3.0M to $113,288Dec 9, 2014 to Dec 17, 2014
- RAUM · $326M to $341MDec 9, 2014 to Dec 17, 2014
- Related adviser · false to trueDec 18, 2013 to May 27, 2014
- Accounts · 1,262 to 1,198Nov 6, 2013 to Dec 18, 2013
- Advisory employees · 6 to 9Nov 6, 2013 to Dec 18, 2013
- Advisory activities · 2 to 4Nov 6, 2013 to Dec 18, 2013
- Employees · 10 to 16Nov 6, 2013 to Dec 18, 2013
- Financial planning clients · 251-500 to 101-250Nov 6, 2013 to Dec 18, 2013
- State-registered IARs · 1 to 9Nov 6, 2013 to Dec 18, 2013
- Discretionary RAUM · $296M to $323MNov 6, 2013 to Dec 18, 2013
- Non-discretionary RAUM · $25.0M to $3.0MNov 6, 2013 to Dec 18, 2013
- RAUM · $321M to $326MNov 6, 2013 to Dec 18, 2013
- Accounts · 1,244 to 1,262Aug 17, 2012 to Dec 14, 2012
- Advisory employees · unset to 6.0Aug 17, 2012 to Dec 14, 2012
- Employees · unset to 10.0Aug 17, 2012 to Dec 14, 2012
- State-registered IARs · unset to 1.0Aug 17, 2012 to Dec 14, 2012
- Discretionary RAUM · $310M to $296MAug 17, 2012 to Dec 14, 2012
- Non-discretionary RAUM · $0 to $25.0MAug 17, 2012 to Dec 14, 2012
- RAUM · $310M to $321MAug 17, 2012 to Dec 14, 2012
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