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•••••••• R••••••••
Legal name S••••••• F•••••••• R••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 7, 2012 · 14 filings
SEC status approved since Aug 23, 2022
RAUM
$235M
reported, Item 5.F
Discretionary
37%
of RAUM
Private clients
100%
$235M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$47.1M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$235M as of Mar 30, 2026
Mar 7, 2012$47.7M then
HNW client RAUM$91.5M as of Mar 30, 2026
Mar 28, 2023$47.4M then
State-registered IARs (5.B.3)5 as of Mar 30, 2026
Mar 7, 20120 then
Employees (5.A)6 as of Mar 30, 2026
Mar 28, 20236 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $47.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 145derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $658,472derivedHNW RAUM over HNW clients
- Average account
- $202,504derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 37%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $16.5M, 64 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)
- compensates persons for client referrals (8.G.1)
- 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$144M61%
- High-net-worth individuals$91.5M39%
- Charitable organizations$97,9370.0%
- Individual clients
- 584reported
- HNW clients
- 139reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 1,162reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $16.5M for 64 clientsreported
- 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=6.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• T••••• H•••• | Troy, Mi | Sep 24, 2010 | 43 y | 0 |
| J•••• D••••• W••••••• | St. Clair Shores, Mi | Sep 15, 2014 | 26 y | 2 |
| K•••• F•••••• M••••••• | Grosse Pointe Farms, Mi | Jun 1, 2020 | 27 y | 3 |
| L••••• C••••••••• H••••• | St. Clair Shores, Mi | Oct 6, 2025 | 23 y | 2 |
| D•••• J••• L•••••• | Troy, Mi | Aug 20, 2026 | 26 y | 3 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- N••••••• L••••• to C••••••• A•••• M••••••••• L••Jun 26, 2024 · RIA to affiliated broker-dealer or bank
- R••••• P••• A•••••• to S••Sep 21, 2022 · RIA to affiliated broker-dealer or bank
- C••• D••••• G••• to E••••••• P••••••••• I••••••••• G••••• L••Dec 4, 2015 · Other
Joined, latest
- D•••• J••• L•••••• from N••• F•••••••• G••••• I•••Aug 20, 2026 · Other
- L••••• C••••••••• H••••• from S••••••••• A•••••• A•••••••• I•••Oct 6, 2025 · Other
- N••••••• L••••• from U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Sep 21, 2022 · RIA to RIA
- K•••• F•••••• M••••••• from J••• M••••• S••••••••• L••Jun 1, 2020 · Other
- R••••• P••• A•••••• from A••••••••• F•••••••• S•••••••• L••Oct 2, 2014 · Other
- J•••• D••••• W••••••• from J••• M••••• S••••••••• L••Sep 15, 2014 · Other
- C••• D••••• G••• from A•••• A•••••••• L••Jan 11, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• D•••••• T••••• · Managing Member/Chief Compliance Officercontrolsince 10/2009 · owns 50% to 75%
- S••••••••• J•••• A•• · Managing Membercontrolsince 10/2009 · owns 50% to 75%
Related persons
Schedule D 7.A
- B•••• T•• S••••••insurancen
- L•• O•••••• O• D•••• J• L•••••• P•n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| St Clair Shores, Mi | 2 | 1 | 0 | ||
| Troy, Mi · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- St. Clair Shores, MI2 employees
- Grosse Pointe Farms, MI1 employees
What changed
consecutive filings, newest first
- Accounts · 1,188 to 1,162Apr 21, 2025 to Mar 30, 2026
- BD registered reps · 5 to 6Apr 21, 2025 to Mar 30, 2026
- Charity clients · 0.0 to unsetApr 21, 2025 to Mar 30, 2026
- HNW clients · 112 to 139Apr 21, 2025 to Mar 30, 2026
- Individual clients · 433 to 584Apr 21, 2025 to Mar 30, 2026
- Assets in custody · $16.2M to $16.5MApr 21, 2025 to Mar 30, 2026
- Employees · 5 to 6Apr 21, 2025 to Mar 30, 2026
- Discretionary RAUM · $87.2M to $87.5MApr 21, 2025 to Mar 30, 2026
- HNW RAUM · $73.5M to $91.5MApr 21, 2025 to Mar 30, 2026
- Individual RAUM · $133M to $144MApr 21, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $119M to $148MApr 21, 2025 to Mar 30, 2026
- RAUM · $207M to $235MApr 21, 2025 to Mar 30, 2026
- Accounts · 1,046 to 1,188Jan 6, 2025 to Apr 21, 2025
- Advisory employees · 6 to 5Jan 6, 2025 to Apr 21, 2025
- BD registered reps · 6 to 5Jan 6, 2025 to Apr 21, 2025
- HNW clients · 55 to 112Jan 6, 2025 to Apr 21, 2025
- Individual clients · 256 to 433Jan 6, 2025 to Apr 21, 2025
- Assets in custody · $63.7M to $16.2MJan 6, 2025 to Apr 21, 2025
- Employees · 6 to 5Jan 6, 2025 to Apr 21, 2025
- Financial planning clients · 0 to 0Jan 6, 2025 to Apr 21, 2025
- State-registered IARs · 6 to 5Jan 6, 2025 to Apr 21, 2025
- Discretionary RAUM · $93.2M to $87.2MJan 6, 2025 to Apr 21, 2025
- HNW RAUM · $61.6M to $73.5MJan 6, 2025 to Apr 21, 2025
- Individual RAUM · $136M to $133MJan 6, 2025 to Apr 21, 2025
- Non-discretionary RAUM · $104M to $119MJan 6, 2025 to Apr 21, 2025
- RAUM · $197M to $207MJan 6, 2025 to Apr 21, 2025
- Accounts · 962 to 1,046Mar 28, 2023 to Mar 26, 2024
- HNW clients · 87 to 55Mar 28, 2023 to Mar 26, 2024
- Individual clients · 201 to 256Mar 28, 2023 to Mar 26, 2024
- Assets in custody · $52.3M to $63.7MMar 28, 2023 to Mar 26, 2024
- Financial planning clients · 1-10 to 0Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $81.4M to $93.2MMar 28, 2023 to Mar 26, 2024
- HNW RAUM · $47.4M to $61.6MMar 28, 2023 to Mar 26, 2024
- Individual RAUM · $109M to $136MMar 28, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $75.5M to $104MMar 28, 2023 to Mar 26, 2024
- RAUM · $157M to $197MMar 28, 2023 to Mar 26, 2024
- Accounts · 911 to 962Sep 21, 2022 to Mar 28, 2023
- Advisory employees · 7 to 6Sep 21, 2022 to Mar 28, 2023
- BD registered reps · 7 to 6Sep 21, 2022 to Mar 28, 2023
- HNW clients · 104 to 87Sep 21, 2022 to Mar 28, 2023
Signals
3 dated events
- N••••••• L••••• left S••••••• F•••••••• R•••••••• for C••••••• A•••• M••••••••• L•• (registered 2024-07-12)Jun 26, 2024 · Advisor changed firm · fact
- R••••• P••• A•••••• left S••••••• F•••••••• R•••••••• for Spc (registered 2022-09-15)Sep 21, 2022 · Advisor changed firm · fact
- S••••••• F•••••••• R•••••••• filed its initial SEC registration (Form ADV)Jun 29, 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
- 248-643-0033reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 248-643-0066reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 313-458-8973reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••••FR.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 248-643-0033reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- spectrumfr.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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $47.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026