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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

A••• F••••••••

Former SEC-registered adviserPlymouth, MichiganCRD 119569SEC 801-110577IAPD
Legal name A••• F•••••••• A••••••• S•••••••• L••
Latest filing May 18, 2021
First filing on the tape Mar 16, 2012 · 17 filings
RAUM
$212M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$190M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$212M as of Mar 29, 2021
Mar 16, 2012$38.3M then
HNW client RAUM$136M as of Mar 29, 2021
Mar 28, 2018$70.9M then
State-registered IARs (5.B.3)3 as of Mar 29, 2021
Mar 16, 20120 then
Employees (5.A)7 as of Mar 29, 2021
Mar 28, 20189 then
Private funds: no history
RAUM +12% over the last fiscal year+18% a year over threeIARs 4 to 3
Practice profile
derived from the filing of May 18, 2021; every figure names its basis
RAUM per advisor
$70.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
88derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$214,971derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
9.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.4%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, educational seminars, otherreportedItem 5.G
Custody
$9.7M, 39 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
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$136M64%
  • Individuals$54.4M26%
  • Pension and profit-sharing plans$19.3M9.1%
  • Charitable organizations$1.5M0.7%
  • Corporations and businesses$838,1340.4%
Individual clients
188reported
HNW clients
77reported
Pension plan clients
14reported
Charitable clients
1reported
Accounts
986reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$9.7M for 39 clientsreported
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
    • T••••• W••••• B•••• · Executive Officer/Chief Compliance Officercontrol
      since 01/2002 · owns 75% or more
    • T••••• W••••• B•••• · Membercontrol
      since 01/2021 · owns 75% or more of A••• F•••••• H•••••••
    Entity owners
    • A••• F•••••• H••••••• · Direct Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • A••• B••••••• A••••••• S•••••••• P•••••
      insurancen
    Advisers that list A••• F•••••••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 269 to 986
      Nov 17, 2020 to Mar 29, 2021
    • Advisory employees · 4 to 3
      Nov 17, 2020 to Mar 29, 2021
    • Advisory activities · 5 to 6
      Nov 17, 2020 to Mar 29, 2021
    • HNW clients · 56 to 77
      Nov 17, 2020 to Mar 29, 2021
    • Individual clients · 193 to 188
      Nov 17, 2020 to Mar 29, 2021
    • Pension plan clients · 17 to 14
      Nov 17, 2020 to Mar 29, 2021
    • Assets in custody · $4.1M to $9.7M
      Nov 17, 2020 to Mar 29, 2021
    • State-registered IARs · 4 to 3
      Nov 17, 2020 to Mar 29, 2021
    • Discretionary RAUM · $189M to $212M
      Nov 17, 2020 to Mar 29, 2021
    • HNW RAUM · $104M to $136M
      Nov 17, 2020 to Mar 29, 2021
    • Individual RAUM · $63.2M to $54.4M
      Nov 17, 2020 to Mar 29, 2021
    • Pension RAUM · $18.3M to $19.3M
      Nov 17, 2020 to Mar 29, 2021
    • RAUM · $189M to $212M
      Nov 17, 2020 to Mar 29, 2021
    • Accounts · 237 to 269
      Jan 2, 2020 to Apr 7, 2020
    • Charity clients · 2 to 1
      Jan 2, 2020 to Apr 7, 2020
    • HNW clients · 38 to 56
      Jan 2, 2020 to Apr 7, 2020
    • Individual clients · 182 to 193
      Jan 2, 2020 to Apr 7, 2020
    • Pension plan clients · 13 to 17
      Jan 2, 2020 to Apr 7, 2020
    • Assets in custody · $3.0M to $4.1M
      Jan 2, 2020 to Apr 7, 2020
    • Financial planning clients · 101-250 to 251-500
      Jan 2, 2020 to Apr 7, 2020
    • Discretionary RAUM · $136M to $189M
      Jan 2, 2020 to Apr 7, 2020
    • HNW RAUM · $63.9M to $104M
      Jan 2, 2020 to Apr 7, 2020
    • Individual RAUM · $57.5M to $63.2M
      Jan 2, 2020 to Apr 7, 2020
    • Pension RAUM · $12.9M to $18.3M
      Jan 2, 2020 to Apr 7, 2020
    • RAUM · $136M to $189M
      Jan 2, 2020 to Apr 7, 2020
    • Related adviser · true to false
      Jan 2, 2020 to Apr 7, 2020
    • Accounts · 193 to 237
      Mar 28, 2018 to Mar 29, 2019
    • Charity clients · 0 to 2
      Mar 28, 2018 to Mar 29, 2019
    • Corporate clients · 7 to 2
      Mar 28, 2018 to Mar 29, 2019
    • Individual clients · 138 to 182
      Mar 28, 2018 to Mar 29, 2019
    • Pension plan clients · 10 to 13
      Mar 28, 2018 to Mar 29, 2019
    • Assets in custody · unset to 3010581.0
      Mar 28, 2018 to Mar 29, 2019
    • Custody of client assets · false to true
      Mar 28, 2018 to Mar 29, 2019
    • Employees · 9 to 7
      Mar 28, 2018 to Mar 29, 2019
    • Discretionary RAUM · $130M to $136M
      Mar 28, 2018 to Mar 29, 2019
    • HNW RAUM · $70.9M to $63.9M
      Mar 28, 2018 to Mar 29, 2019
    • Individual RAUM · $46.7M to $57.5M
      Mar 28, 2018 to Mar 29, 2019
    • Pension RAUM · $10.7M to $12.9M
      Mar 28, 2018 to Mar 29, 2019
    • RAUM · $130M to $136M
      Mar 28, 2018 to Mar 29, 2019
    • Accounts · 186 to 193
      May 5, 2017 to Mar 28, 2018
    Signals
    1 dated events
    • A••• F•••••••• filed its initial SEC registration (Form ADV)
      May 5, 2017 · First SEC registration · 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