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
G•• A•••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 16, 2012 · 26 filings
SEC status approved since Jan 18, 2007
RAUM
$628M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$550M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$157M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$628M as of Mar 30, 2026
Mar 16, 2012$103M then
HNW client RAUM$397M as of Mar 30, 2026
Mar 15, 2018$139M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Mar 16, 20120 then
Employees (5.A)4 as of Mar 30, 2026
Mar 25, 20133 then
Private funds: no history
RAUM +18% over the last fiscal year+17% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Mar 30, 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
- $157MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 123derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $462,148derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $22,649, 1 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
- 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
- High-net-worth individuals$397M63%
- Individuals$153M24%
- Charitable organizations$76.3M12%
- Corporations and businesses$2.0M0.3%
- Individual clients
- 395reported
- HNW clients
- 95reported
- Pension plan clients
- 0reported
- Charitable clients
- 16reported
- Accounts
- 1,359reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $22,649 for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• E••••• A•••••••••Certified Financial Planner | Plymouth, Mi | Oct 13, 2017 | 24 y | 1 |
| S••••• T•••••• S•••• | Plymouth, Mi | Jan 5, 2018 | 23 y | 0 |
| L••• M•••• C••••Certified Financial Planner | Plymouth, Mi | Jan 18, 2018 | 32 y | 0 |
| B•••••• O••• H••••••• | Plymouth, Mi | Nov 11, 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 headcount1 left over 36 months
Left, latest
- D•••• A••••• L•••••• to F••••• W••••• M••••••••• L•••Mar 20, 2025 · RIA to RIA
- S•••• A•• H••••••• to W••••• W••••• P••••••• L••Jun 9, 2016 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• S••••• E••••• · Managing Member, Chief Compliance Officercontrolsince 11/2001 · owns 50% to 75%
- S••••• S•••••• T•••••• · Membercontrolsince 07/2003 · 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 |
|---|---|---|---|---|---|
| Plymouth, Mi · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 30, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 4.0 (-33.0%) between the annual amendments of 2025-03-07 and 2026-03-30; the peer median change was 0.0% (795 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $500M to $1B (795) · 1.6% percentile
- business activity changedChange between filings · filing Mar 30, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-03-07, yes on the filing of 2026-03-30peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,298 to 1,359Mar 7, 2025 to Mar 30, 2026
- Advisory employees · 6 to 4Mar 7, 2025 to Mar 30, 2026
- Advisory activities · 2 to 4Mar 7, 2025 to Mar 30, 2026
- HNW clients · 94 to 95Mar 7, 2025 to Mar 30, 2026
- Individual clients · 381 to 395Mar 7, 2025 to Mar 30, 2026
- Assets in custody · $21,917 to $22,649Mar 7, 2025 to Mar 30, 2026
- Employees · 6 to 4Mar 7, 2025 to Mar 30, 2026
- Financial planning clients · 101-250 to 251-500Mar 7, 2025 to Mar 30, 2026
- State-registered IARs · 6 to 4Mar 7, 2025 to Mar 30, 2026
- Discretionary RAUM · $530M to $628MMar 7, 2025 to Mar 30, 2026
- HNW RAUM · $345M to $397MMar 7, 2025 to Mar 30, 2026
- Individual RAUM · $125M to $153MMar 7, 2025 to Mar 30, 2026
- Pension RAUM · 3186844.0 to unsetMar 7, 2025 to Mar 30, 2026
- RAUM · $530M to $628MMar 7, 2025 to Mar 30, 2026
- Accounts · 1,212 to 1,298Apr 30, 2024 to Mar 7, 2025
- Advisory employees · 5 to 6Apr 30, 2024 to Mar 7, 2025
- Charity clients · 15 to 16Apr 30, 2024 to Mar 7, 2025
- Corporate clients · 5 to 0Apr 30, 2024 to Mar 7, 2025
- HNW clients · 93 to 94Apr 30, 2024 to Mar 7, 2025
- Individual clients · 366 to 381Apr 30, 2024 to Mar 7, 2025
- Assets in custody · $41,183 to $21,917Apr 30, 2024 to Mar 7, 2025
- Employees · 5 to 6Apr 30, 2024 to Mar 7, 2025
- Financial planning clients · 101-250 to 101-250Apr 30, 2024 to Mar 7, 2025
- State-registered IARs · 5 to 6Apr 30, 2024 to Mar 7, 2025
- Discretionary RAUM · $461M to $530MApr 30, 2024 to Mar 7, 2025
- HNW RAUM · $303M to $345MApr 30, 2024 to Mar 7, 2025
- Individual RAUM · $105M to $125MApr 30, 2024 to Mar 7, 2025
- Pension RAUM · $0 to $3.2MApr 30, 2024 to Mar 7, 2025
- RAUM · $461M to $530MApr 30, 2024 to Mar 7, 2025
- Accounts · 1,099 to 1,212Jul 11, 2023 to Mar 5, 2024
- Corporate clients · unset to 5.0Jul 11, 2023 to Mar 5, 2024
- HNW clients · 71 to 93Jul 11, 2023 to Mar 5, 2024
- Individual clients · 356 to 366Jul 11, 2023 to Mar 5, 2024
- Pension plan clients · unset to 0.0Jul 11, 2023 to Mar 5, 2024
- Assets in custody · $55,770 to $41,183Jul 11, 2023 to Mar 5, 2024
- Discretionary RAUM · $389M to $461MJul 11, 2023 to Mar 5, 2024
- HNW RAUM · $239M to $303MJul 11, 2023 to Mar 5, 2024
- Individual RAUM · $105M to $105MJul 11, 2023 to Mar 5, 2024
- Pension RAUM · $2.3M to $0Jul 11, 2023 to Mar 5, 2024
- RAUM · $389M to $461MJul 11, 2023 to Mar 5, 2024
Signals
1 dated events
- D•••• A••••• L•••••• left G•• A•••• M••••••••• L•• for F••••• W••••• M••••••••• L••• (registered 2025-09-22)Mar 20, 2025 · Advisor changed firm · 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
- info@gemasset.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 734-737-9108reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/gem-asset-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- GEMASSET.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 734-737-9108reportedpublic record, Form ADV, Mar 30, 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
- $157Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026