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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SEC-registered adviser
S••••••• F•••• F••••••••
Legal name S••••••• F•••• F•••••••• I•••
Latest filing Mar 17, 2026
First filing on the tape Mar 8, 2012 · 21 filings
SEC status approved since May 23, 2014
RAUM
$300M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$299M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$150M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$300M as of Mar 17, 2026
Mar 8, 2012$58.2M then
HNW client RAUM$106M as of Mar 17, 2026
Feb 15, 2018$22.2M then
State-registered IARs (5.B.3)1 as of Mar 17, 2026
Mar 8, 20120 then
Employees (5.A)2 as of Mar 17, 2026
Jan 12, 20152 then
Private funds: no history
RAUM +12% over the last fiscal year+10% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $150MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 320derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $178,286derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 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 securities (9.A.1.b)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$193M64%
- High-net-worth individuals$106M36%
- Corporations and businesses$122,1850.0%
- Individual clients
- 572reported
- HNW clients
- 67reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,680reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• H••••• H•••••• | Swartz Creek, Mi | Sep 14, 2010 | 27 y | 0 |
| E••••• C• I••••Certified Financial Planner | Swartz Creek, Mi | Jun 15, 2025 | 27 y | 6 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- E••••• C• I•••• from T••••••• I••••••••• M••••••••• I•••Jun 15, 2025 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• E••••••• M•••• · Vice Presidentcontrolsince 10/2000 · owns 50% to 75%
- H••••••• M•••• H••••• · President And Chief Compliance Officercontrolsince 10/2000 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Swartz Creek, Mi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,568 to 1,680Sep 5, 2025 to Feb 6, 2026
- Advisory employees · 1 to 2Sep 5, 2025 to Feb 6, 2026
- HNW clients · 61 to 67Sep 5, 2025 to Feb 6, 2026
- Individual clients · 558 to 572Sep 5, 2025 to Feb 6, 2026
- Assets in custody · $49.2M to $30.0MSep 5, 2025 to Feb 6, 2026
- Employees · 1 to 2Sep 5, 2025 to Feb 6, 2026
- Discretionary RAUM · $269M to $300MSep 5, 2025 to Feb 6, 2026
- HNW RAUM · $91.5M to $106MSep 5, 2025 to Feb 6, 2026
- Individual RAUM · $177M to $193MSep 5, 2025 to Feb 6, 2026
- RAUM · $269M to $300MSep 5, 2025 to Feb 6, 2026
- Assets in custody · unset to 49238273.0Jun 19, 2025 to Sep 5, 2025
- Financial planning clients · 0 to 0Jun 19, 2025 to Sep 5, 2025
- Accounts · 1,394 to 1,568Feb 6, 2024 to Jan 16, 2025
- Charity clients · 1.0 to unsetFeb 6, 2024 to Jan 16, 2025
- HNW clients · 54 to 61Feb 6, 2024 to Jan 16, 2025
- Individual clients · 564 to 558Feb 6, 2024 to Jan 16, 2025
- Discretionary RAUM · $238M to $269MFeb 6, 2024 to Jan 16, 2025
- HNW RAUM · $88.5M to $91.5MFeb 6, 2024 to Jan 16, 2025
- Individual RAUM · $150M to $177MFeb 6, 2024 to Jan 16, 2025
- RAUM · $238M to $269MFeb 6, 2024 to Jan 16, 2025
- Accounts · 1,520 to 1,394Feb 10, 2023 to Feb 6, 2024
- Charity clients · 2 to 1Feb 10, 2023 to Feb 6, 2024
- HNW clients · 83 to 54Feb 10, 2023 to Feb 6, 2024
- Individual clients · 509 to 564Feb 10, 2023 to Feb 6, 2024
- Discretionary RAUM · $224M to $238MFeb 10, 2023 to Feb 6, 2024
- HNW RAUM · $111M to $88.5MFeb 10, 2023 to Feb 6, 2024
- Individual RAUM · $113M to $150MFeb 10, 2023 to Feb 6, 2024
- RAUM · $224M to $238MFeb 10, 2023 to Feb 6, 2024
- Accounts · 1,516 to 1,520Feb 12, 2022 to Feb 10, 2023
- Corporate clients · 2 to 1Feb 12, 2022 to Feb 10, 2023
- HNW clients · 106 to 83Feb 12, 2022 to Feb 10, 2023
- Individual clients · 485 to 509Feb 12, 2022 to Feb 10, 2023
- Discretionary RAUM · $260M to $224MFeb 12, 2022 to Feb 10, 2023
- HNW RAUM · $153M to $111MFeb 12, 2022 to Feb 10, 2023
- Individual RAUM · $106M to $113MFeb 12, 2022 to Feb 10, 2023
- RAUM · $260M to $224MFeb 12, 2022 to Feb 10, 2023
- Accounts · 1,378 to 1,516Feb 8, 2021 to Feb 12, 2022
- Charity clients · 1 to 2Feb 8, 2021 to Feb 12, 2022
- HNW clients · 68 to 106Feb 8, 2021 to Feb 12, 2022
- Individual clients · 470 to 485Feb 8, 2021 to Feb 12, 2022
Signals
2 dated events
- M•••• E•••••• H•••••• (Vice President) appeared on Schedule A of S••••••• F•••• F••••••••Feb 8, 2021 · Control person joined · fact
- S••••••• F•••• F•••••••• filed its initial SEC registration (Form ADV)Apr 23, 2014 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 810-655-2129reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- M•••H••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 810-655-2129reportedpublic record, Form ADV, Mar 17, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $150Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026