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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
J•• F•••••••• S•••••••• I•••
Latest filing Feb 9, 2026
First filing on the tape Feb 24, 2015 · 16 filings
SEC status approved since Mar 4, 2015
RAUM
$277M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$277M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$138M
derived; firm RAUM over IAPD count
Employees
11
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$277M as of Feb 9, 2026
Mar 22, 2016$136M then
HNW client RAUM$152M as of Feb 9, 2026
Feb 6, 2018$55.8M then
State-registered IARs (5.B.3)2 as of Feb 9, 2026
Mar 22, 20163 then
Employees (5.A)11 as of Feb 9, 2026
Mar 22, 201610 then
Private funds: no history
RAUM +5.6% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 9, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $138MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 299derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $360,683derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, otherreportedItem 5.G
- Financial planning clients
- 598reportedItem 5.H
- 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$152M55%
- Individuals$125M45%
- Individual clients
- 483reported
- HNW clients
- 114reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 767reported
- Financial planning clients
- 598reported
- 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=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• R••••• S•••••• | Trenton, Mi | Oct 29, 2010 | 31 y | 1 |
| J••• F••••••• R••••••Certified Financial Planner | Trenton, Mi | Nov 10, 2021 | 42 y | 1 |
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
- J••• L•••• D••• to E•••••••• A•••••••• L••Jan 6, 2021 · RIA to affiliated broker-dealer or bank
- T••••• T•••••• L••••• to L•• F•••••••• L••Oct 17, 2013 · Other
Joined, latest
- J••• F••••••• R•••••• from L•• F•••••••• L••Nov 10, 2021 · Other
- J••• L•••• D••• from E•••• S••••••••• L••Sep 13, 2017 · Other
- T••••• T•••••• L••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 4, 2010 · Other
- C•••• R••••• S•••••• from L•• F•••••••• L••Oct 29, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• J•••• F••••••• · President And Chief Compliance Officercontrolsince 04/2003 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Trenton, Mi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 734 to 767Jan 2, 2025 to Feb 9, 2026
- Corporate clients · 0.0 to unsetJan 2, 2025 to Feb 9, 2026
- HNW clients · 79 to 114Jan 2, 2025 to Feb 9, 2026
- Individual clients · 504 to 483Jan 2, 2025 to Feb 9, 2026
- Employees · 9 to 11Jan 2, 2025 to Feb 9, 2026
- Discretionary RAUM · $262M to $277MJan 2, 2025 to Feb 9, 2026
- HNW RAUM · $149M to $152MJan 2, 2025 to Feb 9, 2026
- Individual RAUM · $112M to $125MJan 2, 2025 to Feb 9, 2026
- RAUM · $262M to $277MJan 2, 2025 to Feb 9, 2026
- Accounts · 855 to 734Sep 19, 2024 to Jan 2, 2025
- HNW clients · 57 to 79Sep 19, 2024 to Jan 2, 2025
- Individual clients · 436 to 504Sep 19, 2024 to Jan 2, 2025
- Employees · 3 to 9Sep 19, 2024 to Jan 2, 2025
- Financial planning clients · 251-500 to More than 500Sep 19, 2024 to Jan 2, 2025
- Discretionary RAUM · $227M to $262MSep 19, 2024 to Jan 2, 2025
- HNW RAUM · $99.0M to $149MSep 19, 2024 to Jan 2, 2025
- Individual RAUM · $128M to $112MSep 19, 2024 to Jan 2, 2025
- RAUM · $227M to $262MSep 19, 2024 to Jan 2, 2025
- Accounts · 705 to 855Jan 18, 2023 to Feb 28, 2024
- HNW clients · 76 to 57Jan 18, 2023 to Feb 28, 2024
- Individual clients · 357 to 436Jan 18, 2023 to Feb 28, 2024
- Discretionary RAUM · $205M to $227MJan 18, 2023 to Feb 28, 2024
- HNW RAUM · $110M to $99.0MJan 18, 2023 to Feb 28, 2024
- Individual RAUM · $94.2M to $128MJan 18, 2023 to Feb 28, 2024
- RAUM · $205M to $227MJan 18, 2023 to Feb 28, 2024
- Accounts · 785 to 705Jan 21, 2022 to Jan 18, 2023
- HNW clients · 72 to 76Jan 21, 2022 to Jan 18, 2023
- Individual clients · 353 to 357Jan 21, 2022 to Jan 18, 2023
- Discretionary RAUM · $253M to $205MJan 21, 2022 to Jan 18, 2023
- HNW RAUM · $135M to $110MJan 21, 2022 to Jan 18, 2023
- Individual RAUM · $118M to $94.2MJan 21, 2022 to Jan 18, 2023
- RAUM · $253M to $205MJan 21, 2022 to Jan 18, 2023
- Accounts · 720 to 785Feb 16, 2021 to Jan 21, 2022
- HNW clients · 63 to 72Feb 16, 2021 to Jan 21, 2022
- Individual clients · 312 to 353Feb 16, 2021 to Jan 21, 2022
- Discretionary RAUM · $236M to $253MFeb 16, 2021 to Jan 21, 2022
- HNW RAUM · $128M to $135MFeb 16, 2021 to Jan 21, 2022
- Individual RAUM · $108M to $118MFeb 16, 2021 to Jan 21, 2022
- RAUM · $236M to $253MFeb 16, 2021 to Jan 21, 2022
- Accounts · 637 to 720Jun 10, 2020 to Feb 16, 2021
Signals
1 dated events
- J•• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Feb 24, 2015 · 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
- c•••••••••@j•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 734-692-1421reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 734-692-1902reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.j•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 734-692-1421reportedpublic record, Form ADV, Feb 9, 2026
- Contact form
- j•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- j•••••••••.comreportedpublished by the firm, firm site, Sep 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
- $138Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026