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

T••••••• A••••••••• G••••• L••

Former SEC-registered adviserBirmingham, MichiganCRD 132451SEC 801-64810IAPD
Latest filing Mar 30, 2017
First filing on the tape Mar 30, 2012 · 17 filings
RAUM
$20.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$20.4M as of Mar 30, 2017
Mar 30, 2012$450M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2017
Mar 28, 20134 then
Employees (5.A)1 as of Mar 30, 2017
Mar 28, 201315 then
Private funds: 1
RAUM -79% over the last fiscal year-61% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 30, 2017; every figure names its basis
RAUM per advisor
$20.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$308,591derivedRAUM 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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-79%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
66reported
Financial planning clients
11-25reported
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
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
T•• F••••• M••••• F•••• L••no longer reportedHedge Fund$10.8M23Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • P•••••• J••••• F• · Chief Executive Officer, Managing Membercontrol
    since 12/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 422 to 66
    Dec 21, 2016 to Mar 30, 2017
  • Advisory employees · 3 to 0
    Dec 21, 2016 to Mar 30, 2017
  • Assets in custody · 2538832.0 to unset
    Dec 21, 2016 to Mar 30, 2017
  • Custody of client assets · true to false
    Dec 21, 2016 to Mar 30, 2017
  • Employees · 5 to 1
    Dec 21, 2016 to Mar 30, 2017
  • Insurance-licensed employees · 0 to 1
    Dec 21, 2016 to Mar 30, 2017
  • State-registered IARs · 2 to 1
    Dec 21, 2016 to Mar 30, 2017
  • Discretionary RAUM · $98.9M to $20.4M
    Dec 21, 2016 to Mar 30, 2017
  • RAUM · $98.9M to $20.4M
    Dec 21, 2016 to Mar 30, 2017
  • Accounts · 611 to 422
    Sep 25, 2015 to Mar 30, 2016
  • Advisory employees · 4 to 3
    Sep 25, 2015 to Mar 30, 2016
  • Assets in custody · $4.0M to $2.5M
    Sep 25, 2015 to Mar 30, 2016
  • Employees · 7 to 5
    Sep 25, 2015 to Mar 30, 2016
  • Financial planning clients · 51-100 to 11-25
    Sep 25, 2015 to Mar 30, 2016
  • State-registered IARs · 3 to 2
    Sep 25, 2015 to Mar 30, 2016
  • Discretionary RAUM · $174M to $98.9M
    Sep 25, 2015 to Mar 30, 2016
  • RAUM · $174M to $98.9M
    Sep 25, 2015 to Mar 30, 2016
  • Accounts · 999 to 611
    Jul 3, 2014 to Mar 30, 2015
  • Advisory employees · 6 to 4
    Jul 3, 2014 to Mar 30, 2015
  • Assets in custody · $3.6M to $4.0M
    Jul 3, 2014 to Mar 30, 2015
  • Employees · 15 to 7
    Jul 3, 2014 to Mar 30, 2015
  • Financial planning clients · 26-50 to 51-100
    Jul 3, 2014 to Mar 30, 2015
  • State-registered IARs · 5 to 3
    Jul 3, 2014 to Mar 30, 2015
  • Discretionary RAUM · $335M to $174M
    Jul 3, 2014 to Mar 30, 2015
  • RAUM · $335M to $174M
    Jul 3, 2014 to Mar 30, 2015
  • Accounts · 1,314 to 999
    Apr 19, 2013 to Mar 28, 2014
  • Advisory employees · 5 to 6
    Apr 19, 2013 to Mar 28, 2014
  • Assets in custody · $4.3M to $3.6M
    Apr 19, 2013 to Mar 28, 2014
  • State-registered IARs · 4 to 5
    Apr 19, 2013 to Mar 28, 2014
  • Discretionary RAUM · $449M to $335M
    Apr 19, 2013 to Mar 28, 2014
  • RAUM · $449M to $335M
    Apr 19, 2013 to Mar 28, 2014
  • Accounts · 1,438 to 1,314
    Oct 4, 2012 to Mar 28, 2013
  • Advisory employees · unset to 5.0
    Oct 4, 2012 to Mar 28, 2013
  • Assets in custody · $5.1M to $4.3M
    Oct 4, 2012 to Mar 28, 2013
  • Employees · unset to 15.0
    Oct 4, 2012 to Mar 28, 2013
  • Financial planning clients · 11-25 to 26-50
    Oct 4, 2012 to Mar 28, 2013
  • State-registered IARs · unset to 4.0
    Oct 4, 2012 to Mar 28, 2013
  • Private funds · 1 to unset
    Oct 4, 2012 to Mar 28, 2013
  • Discretionary RAUM · $450M to $449M
    Oct 4, 2012 to Mar 28, 2013
  • RAUM · $450M to $449M
    Oct 4, 2012 to Mar 28, 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