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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Former SEC-registered adviser

J•••••• C•••••• M••••••••• I•••

Former SEC-registered adviserTroy, MichiganCRD 132150SEC 801-63928IAPD
Latest filing Mar 14, 2019
First filing on the tape Feb 9, 2012 · 14 filings
RAUM
$105M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$94.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$105M as of Mar 14, 2019
Feb 9, 2012$94.0M then
HNW client RAUM$74.7M as of Mar 14, 2019
Mar 14, 2018$83.5M then
State-registered IARs (5.B.3)1 as of Mar 14, 2019
Feb 9, 20120 then
Employees (5.A)2 as of Mar 14, 2019
Jan 31, 20132 then
Private funds: no history
RAUM -5.6% over the last fiscal year+7.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 14, 2019; every figure names its basis
RAUM per advisor
$105MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
99derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.4MderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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
+46%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$74.7M71%
  • Individuals$19.8M19%
  • Charitable organizations$10.7M10%
Individual clients
82reported
HNW clients
17reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
101reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D••••••• G•••••• R••••• · Presidentcontrol
      since 06/2004 · owns less than 5%
    • S•••••••• R•••••• T••••• · Chief Compliance Officercontrol
      since 07/2018 · owns 75% or more
    • S•••••••• R•••••• T••••• · Indirect Shareholdercontrol
      since 01/2017 · owns 75% or more of S••• H•••••••• L••
    Entity owners
    • S••• H•••••••• L•• · Shareholder
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 107 to 101
      Jul 18, 2018 to Mar 14, 2019
    • HNW clients · 15 to 17
      Jul 18, 2018 to Mar 14, 2019
    • Individual clients · 53 to 82
      Jul 18, 2018 to Mar 14, 2019
    • Discretionary RAUM · $111M to $105M
      Jul 18, 2018 to Mar 14, 2019
    • HNW RAUM · $83.5M to $74.7M
      Jul 18, 2018 to Mar 14, 2019
    • Individual RAUM · $17.0M to $19.8M
      Jul 18, 2018 to Mar 14, 2019
    • RAUM · $111M to $105M
      Jul 18, 2018 to Mar 14, 2019
    • Accounts · 110 to 107
      Dec 6, 2017 to Mar 14, 2018
    • HNW clients · unset to 15.0
      Dec 6, 2017 to Mar 14, 2018
    • Individual clients · unset to 53.0
      Dec 6, 2017 to Mar 14, 2018
    • Discretionary RAUM · $92.5M to $111M
      Dec 6, 2017 to Mar 14, 2018
    • HNW RAUM · unset to 83528538.0
      Dec 6, 2017 to Mar 14, 2018
    • Individual RAUM · unset to 16980141.0
      Dec 6, 2017 to Mar 14, 2018
    • RAUM · $92.5M to $111M
      Dec 6, 2017 to Mar 14, 2018
    • Other offices · unset to 0.0
      Mar 14, 2017 to Dec 6, 2017
    • Accounts · 112 to 110
      May 10, 2016 to Jan 19, 2017
    • Employees · 3 to 2
      May 10, 2016 to Jan 19, 2017
    • Discretionary RAUM · $90.2M to $92.5M
      May 10, 2016 to Jan 19, 2017
    • RAUM · $90.2M to $92.5M
      May 10, 2016 to Jan 19, 2017
    • Related adviser · false to true
      May 10, 2016 to Jan 19, 2017
    • Accounts · 107 to 112
      Feb 24, 2016 to May 10, 2016
    • Discretionary RAUM · $85.7M to $90.2M
      Feb 24, 2016 to May 10, 2016
    • RAUM · $85.7M to $90.2M
      Feb 24, 2016 to May 10, 2016
    • Accounts · 108 to 107
      Feb 9, 2015 to Feb 24, 2016
    • Discretionary RAUM · $95.3M to $85.7M
      Feb 9, 2015 to Feb 24, 2016
    • RAUM · $95.3M to $85.7M
      Feb 9, 2015 to Feb 24, 2016
    • Accounts · 114 to 108
      Apr 14, 2014 to Feb 9, 2015
    • Employees · 2 to 3
      Apr 14, 2014 to Feb 9, 2015
    • Discretionary RAUM · $99.4M to $95.3M
      Apr 14, 2014 to Feb 9, 2015
    • RAUM · $99.4M to $95.3M
      Apr 14, 2014 to Feb 9, 2015
    • Accounts · 118 to 114
      Jan 31, 2013 to Feb 13, 2014
    • Discretionary RAUM · $92.9M to $99.4M
      Jan 31, 2013 to Feb 13, 2014
    • RAUM · $92.9M to $99.4M
      Jan 31, 2013 to Feb 13, 2014
    • Accounts · 124 to 118
      Feb 9, 2012 to Jan 31, 2013
    • Advisory employees · unset to 1.0
      Feb 9, 2012 to Jan 31, 2013
    • Employees · unset to 2.0
      Feb 9, 2012 to Jan 31, 2013
    • State-registered IARs · 0 to 1
      Feb 9, 2012 to Jan 31, 2013
    • Discretionary RAUM · $94.0M to $92.9M
      Feb 9, 2012 to Jan 31, 2013
    • RAUM · $94.0M to $92.9M
      Feb 9, 2012 to Jan 31, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026