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
C••••• W••••• M••••••••• L••
Latest filing Feb 6, 2025
First filing on the tape Mar 1, 2012 · 25 filings
SEC status approved since Mar 3, 2005
RAUM
$442M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$442M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$442M as of Feb 6, 2025
Mar 1, 2012$110M then
HNW client RAUM$426M as of Feb 6, 2025
Feb 28, 2018$194M then
State-registered IARs (5.B.3)2 as of Feb 6, 2025
Mar 1, 20120 then
Employees (5.A)4 as of Feb 6, 2025
Feb 21, 20132 then
Private funds: no history
RAUM +17% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 6, 2025; every figure names its basis
- RAUM per advisor
- $221MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $415,527derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $67.5M, 51 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$426M96%
- Individuals$16.2M3.7%
- Individual clients
- 38reported
- HNW clients
- 109reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,064reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $67.5M for 51 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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
Left, latest
- V••••••• A•• D••••••••• to E•••••• F•••••••• E••••••May 1, 2025 · RIA to RIA
- R••• D••••• C••••• to E•••••• F•••••••• E••••••May 1, 2025 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for E•••••• F•••••••• E••••••May 1, 2025 · Portage, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• L•••• A•• · Managing Membercontrolsince 02/2015 · owns 50% to 75%
- C•••••• R•••• D••••• · Managing Member/Chief Compliance Officercontrolsince 03/2007 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Portage, Mi · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 975 to 1,064Mar 14, 2024 to Feb 6, 2025
- HNW clients · 99 to 109Mar 14, 2024 to Feb 6, 2025
- Individual clients · 21 to 38Mar 14, 2024 to Feb 6, 2025
- Assets in custody · unset to 67534623.0Mar 14, 2024 to Feb 6, 2025
- Custody of client assets · false to trueMar 14, 2024 to Feb 6, 2025
- Discretionary RAUM · $378M to $442MMar 14, 2024 to Feb 6, 2025
- HNW RAUM · $369M to $426MMar 14, 2024 to Feb 6, 2025
- Individual RAUM · $9.0M to $16.2MMar 14, 2024 to Feb 6, 2025
- RAUM · $378M to $442MMar 14, 2024 to Feb 6, 2025
- Accounts · 925 to 975Dec 19, 2023 to Mar 14, 2024
- HNW clients · 82 to 99Dec 19, 2023 to Mar 14, 2024
- Individual clients · 40 to 21Dec 19, 2023 to Mar 14, 2024
- Discretionary RAUM · $321M to $378MDec 19, 2023 to Mar 14, 2024
- HNW RAUM · $297M to $369MDec 19, 2023 to Mar 14, 2024
- Individual RAUM · $24.4M to $9.0MDec 19, 2023 to Mar 14, 2024
- RAUM · $321M to $378MDec 19, 2023 to Mar 14, 2024
- Accounts · 861 to 925Feb 11, 2022 to Mar 17, 2023
- Advisory activities · 3 to 2Feb 11, 2022 to Mar 17, 2023
- HNW clients · 97 to 82Feb 11, 2022 to Mar 17, 2023
- Individual clients · 81 to 40Feb 11, 2022 to Mar 17, 2023
- Discretionary RAUM · $330M to $321MFeb 11, 2022 to Mar 17, 2023
- HNW RAUM · $298M to $297MFeb 11, 2022 to Mar 17, 2023
- Individual RAUM · $31.7M to $24.4MFeb 11, 2022 to Mar 17, 2023
- RAUM · $330M to $321MFeb 11, 2022 to Mar 17, 2023
- Accounts · 774 to 861Mar 8, 2021 to Feb 11, 2022
- HNW clients · 94 to 97Mar 8, 2021 to Feb 11, 2022
- Individual clients · 80 to 81Mar 8, 2021 to Feb 11, 2022
- Employees · 3 to 4Mar 8, 2021 to Feb 11, 2022
- Discretionary RAUM · $293M to $330MMar 8, 2021 to Feb 11, 2022
- HNW RAUM · $266M to $298MMar 8, 2021 to Feb 11, 2022
- Individual RAUM · $27.7M to $31.7MMar 8, 2021 to Feb 11, 2022
- RAUM · $293M to $330MMar 8, 2021 to Feb 11, 2022
- Accounts · 691 to 774Jun 30, 2020 to Mar 8, 2021
- HNW clients · 82 to 94Jun 30, 2020 to Mar 8, 2021
- Individual clients · 82 to 80Jun 30, 2020 to Mar 8, 2021
- Discretionary RAUM · $258M to $293MJun 30, 2020 to Mar 8, 2021
- HNW RAUM · $229M to $266MJun 30, 2020 to Mar 8, 2021
- Individual RAUM · $28.3M to $27.7MJun 30, 2020 to Mar 8, 2021
- RAUM · $258M to $293MJun 30, 2020 to Mar 8, 2021
- Accounts · 694 to 691Apr 25, 2019 to Mar 10, 2020
Signals
5 dated events
- C••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $442.1M)May 2, 2025 · Left the SEC roster · derived
- R••• D••••• C••••• left C••••• W••••• M••••••••• L•• for E•••••• F•••••••• E•••••• (registered 2025-04-25)May 1, 2025 · Advisor changed firm · fact
- V••••••• A•• D••••••••• left C••••• W••••• M••••••••• L•• for E•••••• F•••••••• E•••••• (registered 2025-04-25)May 1, 2025 · Advisor changed firm · fact
- 2 advisors left C••••• W••••• M••••••••• L•• (Portage, MI) for E•••••• F•••••••• E•••••• on the same dayMay 1, 2025 · Team lift-out · derived
- Ann Lisa C••••• (Managing Member) appeared on Schedule A of C••••• W••••• M••••••••• L••Apr 25, 2019 · Control person joined · fact
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