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••••• F•••••••• W•••••• W••• P••••• Y•• T••••
Legal name S••••• F•••••••• C••••••••• L••
Latest filing Apr 14, 2026
First filing on the tape Mar 8, 2022 · 15 filings
SEC status approved since Apr 7, 2022
RAUM
$185M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$184M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$30.8M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$185M as of Apr 14, 2026
Mar 14, 2023$94.7M then
HNW client RAUM$57.0M as of Apr 14, 2026
Mar 14, 2023$14.7M then
State-registered IARs (5.B.3)6 as of Apr 14, 2026
Mar 14, 20235 then
Employees (5.A)6 as of Apr 14, 2026
Mar 14, 20235 then
Private funds: no history
RAUM +51% over the last fiscal year+25% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Apr 14, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $30.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 180derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $695,551derivedHNW RAUM over HNW clients
- Average account
- $96,385derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +51%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$127M69%
- High-net-worth individuals$57.0M31%
- Corporations and businesses$274,7180.1%
- Individual clients
- 999reported
- HNW clients
- 82reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,916reported
- Financial planning clients
- 0reported
- 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=5.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• R••••• W••• | Sterling Heights, Mi | Dec 1, 2010 | 25 y | 1 |
| J•••• D•••• W••• | Sterling Heights, Mi | Dec 1, 2010 | 22 y | 1 |
| R••••• L•••• W••• | Sterling Heights, Mi | May 26, 2011 | 38 y | 1 |
| Z•••••• A•••• B••••••Certified Financial Planner | Sterling Heights, Mi | Feb 8, 2019 | 13 y | 0 |
| J•••• C•••••• B•••••• | Sterling Heights, Mi | Oct 29, 2021 | 15 y | 1 |
| D••••• A••• L••••••••Certified Financial Planner | Sterling Heights, Mi | Jul 29, 2024 | 13 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
- J•••••• W•••• H••••• to L•• F•••••••• L••May 12, 2014 · RIA to affiliated broker-dealer or bank
Joined, latest
- J•••• C•••••• B•••••• from T••••••••• A•••• M•••••••••Oct 29, 2021 · Other
- R••••• L•••• W••• from S••May 26, 2011 · Other
- K•••••• R••••• W••• from S••Dec 1, 2010 · Other
- J•••• D•••• W••• from S••Dec 1, 2010 · Other
- J•••••• W•••• H••••• from S••Nov 9, 2010 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••• K••••••• R••••• · Chief Compliance Officercontrolsince 12/2010 · owns less than 5%
- W•••• R•••••• L•••• · Ceo, Cfo, Coo And Clocontrolsince 12/2007 · owns 75% or more
Related persons
Schedule D 7.A
- S••••• H••••• S••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sterling Heights, Mi · principal | 6 | 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
- RAUM up 50 %Change between filings · filing Apr 14, 2026RAUM (Item 5.F) moved from $122,131,914 to $184,673,370 (+51.0%) between the annual amendments of 2025-03-04 and 2026-04-14; the peer median change was +15.0% (4550 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 1,850 to 1,916Feb 19, 2026 to Apr 14, 2026
- HNW clients · 75 to 82Feb 19, 2026 to Apr 14, 2026
- Individual clients · 896 to 999Feb 19, 2026 to Apr 14, 2026
- Discretionary RAUM · $173M to $185MFeb 19, 2026 to Apr 14, 2026
- HNW RAUM · $48.2M to $57.0MFeb 19, 2026 to Apr 14, 2026
- Individual RAUM · $124M to $127MFeb 19, 2026 to Apr 14, 2026
- RAUM · $173M to $185MFeb 19, 2026 to Apr 14, 2026
- Accounts · 1,539 to 1,850Jun 11, 2025 to Feb 19, 2026
- HNW clients · 41 to 75Jun 11, 2025 to Feb 19, 2026
- Discretionary RAUM · $122M to $173MJun 11, 2025 to Feb 19, 2026
- HNW RAUM · $20.0M to $48.2MJun 11, 2025 to Feb 19, 2026
- Individual RAUM · $102M to $124MJun 11, 2025 to Feb 19, 2026
- RAUM · $122M to $173MJun 11, 2025 to Feb 19, 2026
- Financial planning clients · 0 to 0Mar 4, 2025 to Jun 11, 2025
- Accounts · 1,564 to 1,539Oct 1, 2024 to Mar 4, 2025
- HNW clients · 40 to 41Oct 1, 2024 to Mar 4, 2025
- Individual clients · 902 to 896Oct 1, 2024 to Mar 4, 2025
- Discretionary RAUM · $115M to $122MOct 1, 2024 to Mar 4, 2025
- HNW RAUM · $20.3M to $20.0MOct 1, 2024 to Mar 4, 2025
- Individual RAUM · $94.5M to $102MOct 1, 2024 to Mar 4, 2025
- RAUM · $115M to $122MOct 1, 2024 to Mar 4, 2025
- Advisory employees · 5 to 6Jun 25, 2024 to Jul 29, 2024
- Employees · 5 to 6Jun 25, 2024 to Jul 29, 2024
- State-registered IARs · 5 to 6Jun 25, 2024 to Jul 29, 2024
- Accounts · 1,466 to 1,564Mar 19, 2024 to Jun 18, 2024
- Corporate clients · 2 to 4Mar 19, 2024 to Jun 18, 2024
- HNW clients · 35 to 40Mar 19, 2024 to Jun 18, 2024
- Individual clients · 880 to 902Mar 19, 2024 to Jun 18, 2024
- Discretionary RAUM · $98.3M to $115MMar 19, 2024 to Jun 18, 2024
- HNW RAUM · $14.5M to $20.3MMar 19, 2024 to Jun 18, 2024
- Individual RAUM · $89.8M to $94.5MMar 19, 2024 to Jun 18, 2024
- Non-discretionary RAUM · $6.2M to $0Mar 19, 2024 to Jun 18, 2024
- RAUM · $105M to $115MMar 19, 2024 to Jun 18, 2024
- Accounts · 1,434 to 1,466Sep 11, 2023 to Feb 7, 2024
- Corporate clients · unset to 2.0Sep 11, 2023 to Feb 7, 2024
- HNW clients · 33 to 35Sep 11, 2023 to Feb 7, 2024
- Individual clients · 847 to 880Sep 11, 2023 to Feb 7, 2024
- Discretionary RAUM · $93.4M to $98.3MSep 11, 2023 to Feb 7, 2024
- HNW RAUM · $14.5M to $14.5MSep 11, 2023 to Feb 7, 2024
- Individual RAUM · $85.5M to $89.8MSep 11, 2023 to Feb 7, 2024
Signals
1 dated events
- S••••• F•••••••• W•••••• W••• P••••• Y•• T•••• filed its initial SEC registration (Form ADV)Mar 8, 2022 · 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 phone
- 586-226-2100reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/summit-financial-consultingreportedpublic record, Form ADV, Sep 18, 2026
- Website
- rsvpsummit.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 586-226-2100reportedpublic record, Form ADV, Apr 14, 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
- $30.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026