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
F•••••••• F•••••••• A••••••• C•••••••••
Latest filing Jan 15, 2026
First filing on the tape Nov 16, 2023 · 9 filings
SEC status approved since Dec 18, 2023
RAUM
$378M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
95%
$359M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$94.4M
derived; firm RAUM over IAPD count
Employees
7
4 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$378M as of Jan 15, 2026
Apr 30, 2024$273M then
HNW client RAUM$163M as of Jan 15, 2026
Apr 30, 2024$115M then
State-registered IARs (5.B.3)4 as of Jan 15, 2026
Apr 30, 20244 then
Employees (5.A)7 as of Jan 15, 2026
Apr 30, 20247 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Jan 15, 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
- RAUM per advisor
- $94.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 201derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $350,315derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- +12%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $44.4M, 105 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$196M52%
- High-net-worth individuals$163M43%
- Pension and profit-sharing plans$18.4M4.9%
- Individual clients
- 730reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,078reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $44.4M for 105 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• R• B•••••Chartered Financial Consultant | East Lansing, Mi | Jan 26, 2010 | 46 y | 1 |
| R••••• C• A••••••• | East Lansing, Mi | Jun 6, 2017 | 19 y | 1 |
| J••••••• R••• B••••• | East Lansing, Mi | Mar 7, 2018 | 10 y | 0 |
| J••••• S•••• R•••••• | East Lansing, Mi | Feb 13, 2019 | 10 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
- R••••• C• A••••••• from A•••• P•••• A•••••••Jun 6, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• R•••••• C• · Chief Compliance Officercontrolsince 08/2011 · owns less than 5%
- B•••••• J•••••• R• · Presidentcontrolsince 10/1996 · owns 75% or more
- B•••••• J•••••••• R••• · Investment Advisor Representativesince 01/2023 · owns 5% to 10%
- R••••••• J•••••• S•••• · Investment Advisor Representativesince 01/2023 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| East Lansing, Mi · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,027 to 1,078Feb 4, 2025 to Jan 15, 2026
- HNW clients · 59 to 75Feb 4, 2025 to Jan 15, 2026
- Individual clients · 662 to 730Feb 4, 2025 to Jan 15, 2026
- Assets in custody · $139M to $44.4MFeb 4, 2025 to Jan 15, 2026
- Discretionary RAUM · $307M to $358MFeb 4, 2025 to Jan 15, 2026
- HNW RAUM · $145M to $163MFeb 4, 2025 to Jan 15, 2026
- Individual RAUM · $166M to $196MFeb 4, 2025 to Jan 15, 2026
- Non-discretionary RAUM · $16.0M to $19.6MFeb 4, 2025 to Jan 15, 2026
- Pension RAUM · $12.0M to $18.4MFeb 4, 2025 to Jan 15, 2026
- RAUM · $323M to $378MFeb 4, 2025 to Jan 15, 2026
- Financial planning clients · 0 to 0Jan 31, 2025 to Feb 4, 2025
- Accounts · 994 to 1,027Sep 9, 2024 to Jan 31, 2025
- HNW clients · 41 to 59Sep 9, 2024 to Jan 31, 2025
- Individual clients · 696 to 662Sep 9, 2024 to Jan 31, 2025
- Assets in custody · $112M to $139MSep 9, 2024 to Jan 31, 2025
- Financial planning clients · 1-10 to 0Sep 9, 2024 to Jan 31, 2025
- Discretionary RAUM · $260M to $307MSep 9, 2024 to Jan 31, 2025
- HNW RAUM · $115M to $145MSep 9, 2024 to Jan 31, 2025
- Individual RAUM · $149M to $166MSep 9, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $12.8M to $16.0MSep 9, 2024 to Jan 31, 2025
- Pension RAUM · $9.1M to $12.0MSep 9, 2024 to Jan 31, 2025
- RAUM · $273M to $323MSep 9, 2024 to Jan 31, 2025
- Accounts · 1,070 to 994Jan 2, 2024 to Apr 30, 2024
- Individual clients · 876 to 696Jan 2, 2024 to Apr 30, 2024
- Assets in custody · unset to 111902119.0Jan 2, 2024 to Apr 30, 2024
- Custody of client assets · false to trueJan 2, 2024 to Apr 30, 2024
- Discretionary RAUM · $243M to $260MJan 2, 2024 to Apr 30, 2024
- HNW RAUM · $95.6M to $115MJan 2, 2024 to Apr 30, 2024
- Individual RAUM · $151M to $149MJan 2, 2024 to Apr 30, 2024
- Non-discretionary RAUM · $10.6M to $12.8MJan 2, 2024 to Apr 30, 2024
- Pension RAUM · $6.4M to $9.1MJan 2, 2024 to Apr 30, 2024
- RAUM · $253M to $273MJan 2, 2024 to Apr 30, 2024
Signals
1 dated events
- F•••••••• F•••••••• A••••••• C••••••••• filed its initial SEC registration (Form ADV)Nov 16, 2023 · 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
- Website
- F••••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 517-332-2900reportedpublic record, Form ADV, Jan 15, 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
- $94.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026