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

A•••••• • C••••••

Former SEC-registered adviserGrand Rapids, MichiganCRD 122750SEC 801-67547IAPD
Latest filing Mar 22, 2021
First filing on the tape Mar 8, 2012 · 15 filings
RAUM
$136M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
100%
$136M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$136M as of Mar 22, 2021
Mar 8, 2012$125M then
HNW client RAUM$134M as of Mar 22, 2021
Mar 13, 2018$163M then
State-registered IARs (5.B.3)1 as of Mar 22, 2021
Mar 8, 20120 then
Employees (5.A)1 as of Mar 22, 2021
Mar 7, 20132 then
Private funds: no history
RAUM -13% over the last fiscal year-6.8% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 22, 2021; every figure names its basis
RAUM per advisor
$136MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
30derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.1MderivedHNW RAUM over HNW clients
Average account
$3.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
57%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-14%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, otherreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$134M98%
  • Individuals$2.2M1.6%
Individual clients
4reported
HNW clients
26reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
36reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Left, latest
none on the tape
    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
      • A••••••• S••••• E••••• · President And Chief Compliance Officercontrol
        since 09/2020 · 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 · 43 to 36
        Jun 29, 2020 to Mar 22, 2021
      • Advisory employees · 2 to 1
        Jun 29, 2020 to Mar 22, 2021
      • HNW clients · 31 to 26
        Jun 29, 2020 to Mar 22, 2021
      • Employees · 2 to 1
        Jun 29, 2020 to Mar 22, 2021
      • State-registered IARs · 2 to 1
        Jun 29, 2020 to Mar 22, 2021
      • Discretionary RAUM · $75.3M to $76.9M
        Jun 29, 2020 to Mar 22, 2021
      • HNW RAUM · $153M to $134M
        Jun 29, 2020 to Mar 22, 2021
      • Individual RAUM · $2.4M to $2.2M
        Jun 29, 2020 to Mar 22, 2021
      • Non-discretionary RAUM · $80.3M to $59.0M
        Jun 29, 2020 to Mar 22, 2021
      • RAUM · $156M to $136M
        Jun 29, 2020 to Mar 22, 2021
      • Accounts · 55 to 43
        Mar 5, 2019 to Mar 5, 2020
      • HNW clients · 39 to 31
        Mar 5, 2019 to Mar 5, 2020
      • Discretionary RAUM · $66.1M to $75.3M
        Mar 5, 2019 to Mar 5, 2020
      • HNW RAUM · $150M to $153M
        Mar 5, 2019 to Mar 5, 2020
      • Individual RAUM · $2.2M to $2.4M
        Mar 5, 2019 to Mar 5, 2020
      • Non-discretionary RAUM · $86.0M to $80.3M
        Mar 5, 2019 to Mar 5, 2020
      • RAUM · $152M to $156M
        Mar 5, 2019 to Mar 5, 2020
      • Accounts · 49 to 55
        Mar 13, 2018 to Mar 5, 2019
      • HNW clients · 41 to 39
        Mar 13, 2018 to Mar 5, 2019
      • Individual clients · 8 to 4
        Mar 13, 2018 to Mar 5, 2019
      • Discretionary RAUM · $74.6M to $66.1M
        Mar 13, 2018 to Mar 5, 2019
      • HNW RAUM · $163M to $150M
        Mar 13, 2018 to Mar 5, 2019
      • Individual RAUM · $4.5M to $2.2M
        Mar 13, 2018 to Mar 5, 2019
      • Non-discretionary RAUM · $93.3M to $86.0M
        Mar 13, 2018 to Mar 5, 2019
      • RAUM · $168M to $152M
        Mar 13, 2018 to Mar 5, 2019
      • Accounts · 51 to 49
        Sep 14, 2017 to Mar 13, 2018
      • HNW clients · unset to 41.0
        Sep 14, 2017 to Mar 13, 2018
      • Individual clients · unset to 8.0
        Sep 14, 2017 to Mar 13, 2018
      • Other offices · unset to 0.0
        Sep 14, 2017 to Mar 13, 2018
      • Discretionary RAUM · $72.1M to $74.6M
        Sep 14, 2017 to Mar 13, 2018
      • HNW RAUM · unset to 163357143.0
        Sep 14, 2017 to Mar 13, 2018
      • Individual RAUM · unset to 4476273.0
        Sep 14, 2017 to Mar 13, 2018
      • Non-discretionary RAUM · $99.6M to $93.3M
        Sep 14, 2017 to Mar 13, 2018
      • RAUM · $172M to $168M
        Sep 14, 2017 to Mar 13, 2018
      • Accounts · 47 to 51
        Mar 8, 2017 to Sep 14, 2017
      • Discretionary RAUM · $68.0M to $72.1M
        Mar 8, 2017 to Sep 14, 2017
      • Non-discretionary RAUM · $90.8M to $99.6M
        Mar 8, 2017 to Sep 14, 2017
      • RAUM · $159M to $172M
        Mar 8, 2017 to Sep 14, 2017
      • Accounts · 45 to 47
        Mar 22, 2016 to Mar 8, 2017
      • Financial planning clients · 26-50 to 0
        Mar 22, 2016 to Mar 8, 2017
      Signals
      1 dated events
      • Edward Charles Andrews (President And Chief Compliance Officer) no longer on Schedule A of A•••••• • C•••••• (listed 2020-06-29, absent 2021-03-22)
        Mar 22, 2021 · Control person left · inference
      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