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

R••••••••• F•••••• A••••••• I•••

Former SEC-registered adviserTroy, MichiganCRD 113016SEC 801-49645IAPD
Latest filing Jun 12, 2023
First filing on the tape Mar 12, 2012 · 20 filings
RAUM
$600M
reported, Item 5.F
Discretionary
24%
of RAUM
Private clients
38%
$228M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$600M as of Mar 7, 2023
Mar 19, 2012$229M then
HNW client RAUM$209M as of Mar 7, 2023
Mar 18, 2018$177M then
State-registered IARs (5.B.3)2 as of Mar 7, 2023
Mar 19, 20120 then
Employees (5.A)5 as of Mar 7, 2023
Feb 15, 20132 then
Private funds: no history
RAUM -17% over the last fiscal year-0.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 12, 2023; every figure names its basis
RAUM per advisor
$300MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
49derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.4MderivedHNW RAUM over HNW clients
Average account
$5.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
24%derivedof RAUM
Institutional
48%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consultingreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$289M56%
  • High-net-worth individuals$209M40%
  • Individuals$19.9M3.8%
  • Charitable organizations$278,8420.1%
Individual clients
51reported
HNW clients
47reported
Pension plan clients
7reported
Charitable clients
n/areported
Accounts
111reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
    • G••••• D•••••• I•• · President,Chief Compliance Officer, Chief Investment Officercontrol
      since 02/1995 · 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 · 113 to 111
      Mar 10, 2022 to Mar 7, 2023
    • HNW clients · 61 to 47
      Mar 10, 2022 to Mar 7, 2023
    • Individual clients · 37 to 51
      Mar 10, 2022 to Mar 7, 2023
    • Employees · 3 to 5
      Mar 10, 2022 to Mar 7, 2023
    • Discretionary RAUM · $171M to $144M
      Mar 10, 2022 to Mar 7, 2023
    • HNW RAUM · $266M to $209M
      Mar 10, 2022 to Mar 7, 2023
    • Individual RAUM · $10.8M to $19.9M
      Mar 10, 2022 to Mar 7, 2023
    • Non-discretionary RAUM · $552M to $456M
      Mar 10, 2022 to Mar 7, 2023
    • Pension RAUM · $349M to $289M
      Mar 10, 2022 to Mar 7, 2023
    • RAUM · $723M to $600M
      Mar 10, 2022 to Mar 7, 2023
    • Accounts · 107 to 113
      Mar 5, 2021 to Mar 10, 2022
    • Advisory employees · 2 to 3
      Mar 5, 2021 to Mar 10, 2022
    • HNW clients · 59 to 61
      Mar 5, 2021 to Mar 10, 2022
    • Individual clients · 31 to 37
      Mar 5, 2021 to Mar 10, 2022
    • Pension plan clients · 8 to 7
      Mar 5, 2021 to Mar 10, 2022
    • Employees · 2 to 3
      Mar 5, 2021 to Mar 10, 2022
    • Discretionary RAUM · $153M to $171M
      Mar 5, 2021 to Mar 10, 2022
    • HNW RAUM · $238M to $266M
      Mar 5, 2021 to Mar 10, 2022
    • Individual RAUM · $10.6M to $10.8M
      Mar 5, 2021 to Mar 10, 2022
    • Non-discretionary RAUM · $503M to $552M
      Mar 5, 2021 to Mar 10, 2022
    • Pension RAUM · $319M to $349M
      Mar 5, 2021 to Mar 10, 2022
    • RAUM · $656M to $723M
      Mar 5, 2021 to Mar 10, 2022
    • HNW clients · 33 to 59
      Jun 25, 2020 to Mar 5, 2021
    • Individual clients · 58 to 31
      Jun 25, 2020 to Mar 5, 2021
    • Discretionary RAUM · $144M to $153M
      Jun 25, 2020 to Mar 5, 2021
    • HNW RAUM · $184M to $238M
      Jun 25, 2020 to Mar 5, 2021
    • Individual RAUM · $46.2M to $10.6M
      Jun 25, 2020 to Mar 5, 2021
    • Non-discretionary RAUM · $460M to $503M
      Jun 25, 2020 to Mar 5, 2021
    • Pension RAUM · $299M to $319M
      Jun 25, 2020 to Mar 5, 2021
    • RAUM · $604M to $656M
      Jun 25, 2020 to Mar 5, 2021
    • Accounts · 108 to 107
      Feb 21, 2019 to Mar 20, 2020
    • Advisory activities · 3 to 2
      Feb 21, 2019 to Mar 20, 2020
    • HNW clients · 42 to 33
      Feb 21, 2019 to Mar 20, 2020
    • Individual clients · 50 to 58
      Feb 21, 2019 to Mar 20, 2020
    • Pension plan clients · 9 to 8
      Feb 21, 2019 to Mar 20, 2020
    • Pooled vehicle clients · unset to 0.0
      Feb 21, 2019 to Mar 20, 2020
    • Employees · 3 to 2
      Feb 21, 2019 to Mar 20, 2020
    • Discretionary RAUM · $116M to $144M
      Feb 21, 2019 to Mar 20, 2020
    • HNW RAUM · $171M to $184M
      Feb 21, 2019 to Mar 20, 2020
    • Individual RAUM · $21.1M to $46.2M
      Feb 21, 2019 to Mar 20, 2020
    Signals
    1 dated events
    • N••••• C•••••• L••• left R••••••••• F•••••• A••••••• I••• for G•••••••• F•••••••• G••••• L•• (registered 2023-08-28)
      Sep 5, 2023 · Advisor changed firm · fact
    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