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••••••• R••••• B••• I••
Latest filing Jan 29, 2026
First filing on the tape Dec 4, 2020 · 9 filings
SEC status approved since Jan 4, 2021
RAUM
$184M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$184M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$36.8M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$184M as of Jan 29, 2026
Feb 16, 2021$116M then
HNW client RAUM$121M as of Jan 29, 2026
Feb 28, 2022$81.1M then
State-registered IARs (5.B.3)5 as of Jan 29, 2026
Feb 16, 20213 then
Employees (5.A)7 as of Jan 29, 2026
Feb 16, 20214 then
Private funds: no history
RAUM +10% over the last fiscal year+13% a year over threeIARs 5 to 5offices 1 to 0
Practice profile
derived from the filing of Jan 29, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $36.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $220,225derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -36%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$121M66%
- Individuals$62.4M34%
- Individual clients
- 220reported
- HNW clients
- 62reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 835reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• W••• S•••••••Certified Financial Planner | Lansing, Mi | Mar 1, 2013 | 25 y | 1 |
| J•••••• A••• R••••• | Lansing, Mi | Jan 3, 2017 | 11 y | 0 |
| N••••••• F•••• N••••Certified Financial Planner | Lansing, Mi | Feb 7, 2019 | 20 y | 4 |
| A••••• M•••• S•••• | Lansing, Mi | Feb 12, 2024 | 14 y | 0 |
| C••• M•••••• W••••••• | Lansing, Mi | Jun 21, 2024 | 12 y | 0 |
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
- N••••••• F•••• N•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 7, 2019 · Affiliated broker-dealer or bank to independent RIA
- D•••• W••• S••••••• from O•••• I••••••••• I•••Mar 1, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• D••••• W••• · Presidentcontrolsince 04/2018 · owns 75% or more
- R•••••• J••••••• A••• · Ccosince 01/2017 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Lansing, Mi · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Cheboygan, MI1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Jan 29, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $167,148,208 to $183,887,687, advisors 5 to 5, private clients 438 to 282, offices 1 to 0 (2025-02-18 to 2026-01-29)peers: independent wealth managers, $100M to $500M (5,678)
- client count collapseChange between filings · filing Jan 29, 2026individual and HNW clients (Item 5.D) moved from 438.0 to 282.0 (-36.0%) between the annual amendments of 2025-02-18 and 2026-01-29; the peer median change was +3.0% (3309 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 3.2% percentile
What changed
consecutive filings, newest first
- Accounts · 720 to 835Aug 21, 2025 to Jan 29, 2026
- Advisory employees · 5 to 6Aug 21, 2025 to Jan 29, 2026
- HNW clients · 75 to 62Aug 21, 2025 to Jan 29, 2026
- Individual clients · 363 to 220Aug 21, 2025 to Jan 29, 2026
- Other offices · 1 to 0Aug 21, 2025 to Jan 29, 2026
- Discretionary RAUM · $167M to $184MAug 21, 2025 to Jan 29, 2026
- HNW RAUM · $89.0M to $121MAug 21, 2025 to Jan 29, 2026
- Individual RAUM · $78.1M to $62.4MAug 21, 2025 to Jan 29, 2026
- RAUM · $167M to $184MAug 21, 2025 to Jan 29, 2026
- Accounts · 669 to 720Mar 14, 2024 to Feb 18, 2025
- HNW clients · 46 to 75Mar 14, 2024 to Feb 18, 2025
- Individual clients · 355 to 363Mar 14, 2024 to Feb 18, 2025
- Employees · 6 to 7Mar 14, 2024 to Feb 18, 2025
- Financial planning clients · 101-250 to 101-250Mar 14, 2024 to Feb 18, 2025
- State-registered IARs · 3 to 5Mar 14, 2024 to Feb 18, 2025
- Discretionary RAUM · $145M to $167MMar 14, 2024 to Feb 18, 2025
- HNW RAUM · $47.9M to $89.0MMar 14, 2024 to Feb 18, 2025
- Individual RAUM · $97.0M to $78.1MMar 14, 2024 to Feb 18, 2025
- RAUM · $145M to $167MMar 14, 2024 to Feb 18, 2025
- Accounts · 652 to 669Apr 17, 2023 to Mar 14, 2024
- Advisory employees · 4 to 5Apr 17, 2023 to Mar 14, 2024
- HNW clients · unset to 46.0Apr 17, 2023 to Mar 14, 2024
- Individual clients · unset to 355.0Apr 17, 2023 to Mar 14, 2024
- Employees · 5 to 6Apr 17, 2023 to Mar 14, 2024
- Discretionary RAUM · $127M to $145MApr 17, 2023 to Mar 14, 2024
- HNW RAUM · unset to 47943013.0Apr 17, 2023 to Mar 14, 2024
- Individual RAUM · unset to 96972454.0Apr 17, 2023 to Mar 14, 2024
- RAUM · $127M to $145MApr 17, 2023 to Mar 14, 2024
- Accounts · 605 to 652Feb 28, 2022 to Mar 22, 2023
- HNW clients · 50.0 to unsetFeb 28, 2022 to Mar 22, 2023
- Individual clients · 158.0 to unsetFeb 28, 2022 to Mar 22, 2023
- Employees · 4 to 5Feb 28, 2022 to Mar 22, 2023
- Discretionary RAUM · $137M to $127MFeb 28, 2022 to Mar 22, 2023
- HNW RAUM · 81121000.0 to unsetFeb 28, 2022 to Mar 22, 2023
- Individual RAUM · 56266530.0 to unsetFeb 28, 2022 to Mar 22, 2023
- RAUM · $137M to $127MFeb 28, 2022 to Mar 22, 2023
- Accounts · 720 to 605Feb 16, 2021 to Feb 28, 2022
- Advisory employees · 2 to 4Feb 16, 2021 to Feb 28, 2022
- HNW clients · unset to 50.0Feb 16, 2021 to Feb 28, 2022
- Individual clients · 306 to 158Feb 16, 2021 to Feb 28, 2022
Signals
1 dated events
- S••••••• R••••• B••• I•• filed its initial SEC registration (Form ADV)Dec 4, 2020 · 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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 517-321-4832reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 517-321-4832reportedpublic record, Form ADV, Jan 29, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $36.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026