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
M•••••• C•••••• A•••••••• L••
Latest filing May 15, 2026
First filing on the tape Mar 30, 2012 · 29 filings
SEC status approved since May 2, 2014
RAUM
$1.4B
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
26%
$347M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$170M
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.4B as of May 15, 2026
Mar 30, 2012$62.7M then
HNW client RAUM$291M as of May 15, 2026
Mar 15, 2018$53.1M then
State-registered IARs (5.B.3)8 as of May 15, 2026
Mar 30, 20120 then
Employees (5.A)11 as of May 15, 2026
Mar 18, 20156 then
Private funds: no history
RAUM +20% over the last fiscal year+21% a year over threeIARs 7 to 8
Practice profile
derived from the filing of May 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $170MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 73%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $59.6M, 101 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$837M62%
- High-net-worth individuals$291M21%
- State and municipal entities$155M11%
- Individuals$55.9M4.1%
- Corporations and businesses$12.5M0.9%
- Charitable organizations$5.1M0.4%
- Individual clients
- 140reported
- HNW clients
- 125reported
- Pension plan clients
- 65reported
- Charitable clients
- n/areported
- Accounts
- 971reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $59.6M for 101 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.26 fund_share=0.0 institutional_share=0.73 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D•••• D••••••• | Grand Rapids, Mi | Jul 2, 2010 | 16 y | 0 |
| J••• N••••••• T••••Certified Financial Planner | Grand Rapids, Mi | Mar 17, 2014 | 12 y | 0 |
| M••• R•••••• S•••••••Certified Financial Planner | Grand Rapids, Mi | Jan 22, 2015 | 20 y | 1 |
| S•••• M•••••• M••• | Grand Rapids, Mi | Feb 28, 2023 | 10 y | 5 |
| O••••• M••••• | Grand Rapids, Mi | Dec 22, 2023 | 12 y | 0 |
| K•••••• S••••• S•••••• | Grand Rapids, Mi | Sep 26, 2024 | 11 y | 1 |
| J••••• A• W•••••• | Grand Rapids, Mi | Aug 26, 2025 | 12 y | 1 |
| B•••••• T•••••Certified Financial Planner | Grand Rapids, Mi | Aug 26, 2025 | 13 y | 4 |
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 headcount3 left over 36 months
Left, latest
- J•••••• C••••• F••••••• to F•••• P••••••• W•••••• L••Apr 11, 2025 · RIA to RIA
- S•••••• J•• W•••• to E••••• F•••••••• N••••••• I•••Oct 18, 2024 · RIA to RIA
- L•••• A•• T••• C••••••• to E••••• F•••••••• N••••••• I•••Feb 26, 2024 · RIA to RIA
- A••••• M•••••• C••••• to T••••••••• G••••• I••••••••• L••Jul 21, 2011 · Other
Joined, latest
- J••••• A• W•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 26, 2025 · Wirehouse to independent RIA
- B•••••• T••••• from J••• M••••• S••••••••• L••Aug 26, 2025 · Wirehouse to independent RIA
- K•••••• S••••• S•••••• from E•••••••• A•••••••• L••Sep 26, 2024 · Affiliated broker-dealer or bank to independent RIA
- S•••• M•••••• M••• from C••••• A•••••• N••••••• L••Feb 28, 2023 · Other
- J•••••• C••••• F••••••• from S•••••••• F••••••••• I•••Jul 9, 2021 · Affiliated broker-dealer or bank to independent RIA
- S•••••• J•• W•••• from B••••••••• A•••• M••••••••• L••Apr 2, 2020 · RIA to RIA
- L•••• A•• T••• C••••••• from C••• F•••••••• S•••••••• L•••Oct 4, 2018 · Other
- M••• R•••••• S••••••• from A••••••••• F•••••••• S•••••••• L••Jan 22, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• M••••••• D•••• · Member, Managercontrolsince 01/2014 · owns 25% to 50%
- S•••••••• M•••• R•••••• · Membercontrolsince 01/2019 · owns 25% to 50%
- T••••• J•••• N••••••• · Membercontrolsince 01/2019 · owns 25% to 50%
- G••••••• J••••••• A• · Membersince 01/2003 · owns less than 5%
- S••••• H••••• G••••••• · Membersince 01/2003 · 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 |
|---|---|---|---|---|---|
| Grand Rapids, Mi · principal | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing May 15, 2026institutional share of RAUM of 73% against a peer median of 3% (1362 comparable advisers, 99.0th percentile, 17.6 robust deviations)peers: independent wealth managers, $1B to $5B (1,362) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 867 to 971Aug 26, 2025 to Mar 20, 2026
- Advisory employees · 7 to 8Aug 26, 2025 to Mar 20, 2026
- Charity clients · 10.0 to unsetAug 26, 2025 to Mar 20, 2026
- Individual clients · 127 to 140Aug 26, 2025 to Mar 20, 2026
- Pension plan clients · 59 to 65Aug 26, 2025 to Mar 20, 2026
- Assets in custody · $3.8M to $59.6MAug 26, 2025 to Mar 20, 2026
- Employees · 9 to 11Aug 26, 2025 to Mar 20, 2026
- Financial planning clients · 101-250 to More than 500Aug 26, 2025 to Mar 20, 2026
- State-registered IARs · 7 to 8Aug 26, 2025 to Mar 20, 2026
- Discretionary RAUM · $925M to $1.1BAug 26, 2025 to Mar 20, 2026
- HNW RAUM · $240M to $291MAug 26, 2025 to Mar 20, 2026
- Individual RAUM · $38.2M to $55.9MAug 26, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $201M to $246MAug 26, 2025 to Mar 20, 2026
- Pension RAUM · $798M to $837MAug 26, 2025 to Mar 20, 2026
- RAUM · $1.1B to $1.4BAug 26, 2025 to Mar 20, 2026
- Accounts · 891 to 867Oct 18, 2024 to Mar 18, 2025
- Charity clients · 5 to 10Oct 18, 2024 to Mar 18, 2025
- Corporate clients · 2 to 0Oct 18, 2024 to Mar 18, 2025
- HNW clients · 100 to 125Oct 18, 2024 to Mar 18, 2025
- Individual clients · 214 to 127Oct 18, 2024 to Mar 18, 2025
- Pension plan clients · 52 to 59Oct 18, 2024 to Mar 18, 2025
- Assets in custody · $4.9M to $3.8MOct 18, 2024 to Mar 18, 2025
- Employees · 8 to 9Oct 18, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 101-250Oct 18, 2024 to Mar 18, 2025
- Discretionary RAUM · $779M to $925MOct 18, 2024 to Mar 18, 2025
- HNW RAUM · $180M to $240MOct 18, 2024 to Mar 18, 2025
- Individual RAUM · $54.8M to $38.2MOct 18, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $168M to $201MOct 18, 2024 to Mar 18, 2025
- Pension RAUM · $575M to $798MOct 18, 2024 to Mar 18, 2025
- RAUM · $947M to $1.1BOct 18, 2024 to Mar 18, 2025
- Accounts · 780 to 891Mar 21, 2023 to Mar 27, 2024
- HNW clients · 87 to 100Mar 21, 2023 to Mar 27, 2024
- Individual clients · 210 to 214Mar 21, 2023 to Mar 27, 2024
- Assets in custody · $5.1M to $4.9MMar 21, 2023 to Mar 27, 2024
- Discretionary RAUM · $631M to $779MMar 21, 2023 to Mar 27, 2024
- HNW RAUM · $136M to $180MMar 21, 2023 to Mar 27, 2024
- Individual RAUM · $41.8M to $54.8MMar 21, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $136M to $168MMar 21, 2023 to Mar 27, 2024
- Pension RAUM · $473M to $575MMar 21, 2023 to Mar 27, 2024
- RAUM · $767M to $947MMar 21, 2023 to Mar 27, 2024
Signals
7 dated events
- J•••••• C••••• F••••••• left M•••••• C•••••• A•••••••• L•• for F•••• P••••••• W•••••• L•• (registered 2025-04-09)Apr 11, 2025 · a•••••• firm change · fact
- S•••••• J•• W•••• left M•••••• C•••••• A•••••••• L•• for E••••• F•••••••• N••••••• I••• (registered 2025-04-09)Oct 18, 2024 · a•••••• firm change · fact
- Jay S•••••• W•••• (Chief Compliance Officer) no longer on Schedule A of M•••••• C•••••• A•••••••• L•• (listed 2024-06-17, absent 2024-10-18)Oct 18, 2024 · Control person left · inference
- L•••• A•• T••• C••••••• left M•••••• C•••••• A•••••••• L•• for E••••• F•••••••• N••••••• I••• (registered 2024-03-28)Feb 26, 2024 · a•••••• firm change · fact
- M•••••• C•••••• A•••••••• L•• reported RAUM $760.1M, up 34% from $567.8M (2022-01-05 to 2022-03-08)Mar 8, 2022 · RAUM change · derived
- M•••••• C•••••• A•••••••• L•• reported RAUM $481.7M, up 33% from $362.7M (2019-10-08 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- M•••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 23, 2014 · 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
- info@midwestcap.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-269-4032reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 616-454-9600reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 616-454-9608reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/midwest-capital-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••S://WWW.M•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 616-454-9600reportedpublic record, Form ADV, May 15, 2026
- Contact form
- midwestcap.com/contactreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $170Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026