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
C••••••••• W••••• A•••••••• L••
Latest filing Sep 16, 2026
First filing on the tape May 18, 2018 · 41 filings
SEC status approved since Jun 18, 2018
RAUM
$397M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$397M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$39.7M
derived; firm RAUM over IAPD count
Employees
15
10 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$397M as of Jul 22, 2026
Mar 27, 2019$130M then
HNW client RAUM$105M as of Jul 22, 2026
Mar 27, 2019$53.4M then
State-registered IARs (5.B.3)10 as of Jul 22, 2026
Mar 27, 20198 then
Employees (5.A)15 as of Jul 22, 2026
Mar 27, 201914 then
Private funds: no history
RAUM +28% over the last fiscal year+20% a year over threeIARs 8 to 10offices 3 to 5
Practice profile
derived from the filing of Sep 16, 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
- $39.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 135derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $125,492derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $397M, 1,354 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)
- 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$292M73%
- High-net-worth individuals$105M27%
- State and municipal entities$99,7360.0%
- Individual clients
- 1,279reported
- HNW clients
- 74reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3,164reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $397M for 1,354 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• T••••• T••••• | Traverse City, Mi | Mar 9, 2012 | 15 y | 0 |
| A••••• R•••••• C••••••• | Traverse City, Mi | Jul 29, 2014 | 14 y | 0 |
| L••• L•••••• M••• | Traverse City, Mi | Jun 30, 2016 | 12 y | 0 |
| J••• C••••• K•••••• | Traverse City, Mi | Sep 24, 2018 | 20 y | 0 |
| N••••••• D•••• G••••••• | Traverse City, Mi | Feb 21, 2019 | 15 y | 0 |
| J••••• D••••• C••••••••Certified Financial Planner | Traverse City, Mi | Sep 20, 2023 | 12 y | 3 |
| A••••• S•• S•••••• | Traverse City, Mi | Aug 12, 2024 | 12 y | 0 |
| R•••••• J• J•••• | Traverse City, Mi | Jun 16, 2025 | 10 y | 0 |
| L••• N•••••• | Traverse City, Mi | Nov 6, 2025 | 12 y | 0 |
| B•••• N•••••• Z••••• | Marquette, Mi | Jul 17, 2026 | 24 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
- M•••••• D•••• R•••• to R••• F•••••••• G••••• L••Jan 12, 2022 · RIA to RIA
- E•••••••• M•••• T••••• to C••••••••• A•••••••• L••May 3, 2019 · RIA to RIA
- K•••• E••••• W••• to C••••••••• A•••••••• L••May 3, 2019 · RIA to RIA
- Z•••••• M•••••• Z•••• to A• W••••• M••••••••• L••Nov 2, 2016 · Other
Joined, latest
- J••••• D••••• C•••••••• from E•••••• A••••••• G••••• L••Sep 20, 2023 · Affiliated broker-dealer or bank to independent RIA
- E•••••••• M•••• T••••• from G••••• F•••••••• P•••••• C••••••• I•••Mar 30, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••••••• A•••••••• L••May 3, 2019 · Traverse City, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• A•••••• R•••••• · Membercontrolsince 01/2018 · owns 50% to 75%
- M•••• L•••• L•••••• · Chief Compliance Officercontrolsince 07/2019 · owns less than 5%
- T•••••• J•••••••• T••••• · Membercontrolsince 01/2018 · owns 50% to 75%
Related persons
Schedule D 7.A
- C•• F•••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Traverse City, Mi · principal | 10 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Gaylord, MI4 employees
- Petoskey, MI4 employees
- Mcbain, MI3 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJul 22, 2026 to Sep 16, 2026
- Other offices · 4 to 5Jul 22, 2026 to Sep 16, 2026
- Succession · false to unsetJul 22, 2026 to Sep 16, 2026
- Advisory employees · 9 to 10Apr 28, 2026 to Jul 22, 2026
- Employees · 14 to 15Apr 28, 2026 to Jul 22, 2026
- State-registered IARs · 9 to 10Apr 28, 2026 to Jul 22, 2026
- Advisory employees · 10 to 9Jan 21, 2026 to Apr 28, 2026
- Employees · 15 to 14Jan 21, 2026 to Apr 28, 2026
- State-registered IARs · 10 to 9Jan 21, 2026 to Apr 28, 2026
- Accounts · 2,723 to 3,164Nov 19, 2025 to Jan 21, 2026
- Corporate clients · 1 to 0Nov 19, 2025 to Jan 21, 2026
- HNW clients · 57 to 74Nov 19, 2025 to Jan 21, 2026
- Individual clients · 1,094 to 1,279Nov 19, 2025 to Jan 21, 2026
- Pension plan clients · 1 to 0Nov 19, 2025 to Jan 21, 2026
- Assets in custody · $311M to $397MNov 19, 2025 to Jan 21, 2026
- Other offices · 3 to 4Nov 19, 2025 to Jan 21, 2026
- Discretionary RAUM · $311M to $397MNov 19, 2025 to Jan 21, 2026
- HNW RAUM · $73.1M to $105MNov 19, 2025 to Jan 21, 2026
- Individual RAUM · $236M to $292MNov 19, 2025 to Jan 21, 2026
- Pension RAUM · $1.6M to $0Nov 19, 2025 to Jan 21, 2026
- RAUM · $311M to $397MNov 19, 2025 to Jan 21, 2026
- Advisory employees · 9 to 10Jun 26, 2025 to Nov 19, 2025
- Employees · 14 to 15Jun 26, 2025 to Nov 19, 2025
- State-registered IARs · 9 to 10Jun 26, 2025 to Nov 19, 2025
- Advisory employees · 8 to 9Jan 15, 2025 to Jun 26, 2025
- Employees · 13 to 14Jan 15, 2025 to Jun 26, 2025
- Financial planning clients · unset to Jan 15, 2025 to Jun 26, 2025
- State-registered IARs · 8 to 9Jan 15, 2025 to Jun 26, 2025
- Accounts · 2,397 to 2,723Aug 28, 2024 to Jan 15, 2025
- Corporate clients · 2 to 1Aug 28, 2024 to Jan 15, 2025
- HNW clients · 71 to 57Aug 28, 2024 to Jan 15, 2025
- Individual clients · 939 to 1,094Aug 28, 2024 to Jan 15, 2025
- Pension plan clients · 0 to 1Aug 28, 2024 to Jan 15, 2025
- Assets in custody · $245M to $311MAug 28, 2024 to Jan 15, 2025
- Discretionary RAUM · $245M to $311MAug 28, 2024 to Jan 15, 2025
- HNW RAUM · $75.7M to $73.1MAug 28, 2024 to Jan 15, 2025
- Individual RAUM · $168M to $236MAug 28, 2024 to Jan 15, 2025
- Pension RAUM · $0 to $1.6MAug 28, 2024 to Jan 15, 2025
- RAUM · $245M to $311MAug 28, 2024 to Jan 15, 2025
- Advisory employees · 7 to 8Jul 29, 2024 to Aug 28, 2024
Signals
5 dated events
- M•••••• D•••• R•••• left C••••••••• W••••• A•••••••• L•• for R••• F•••••••• G••••• L•• (registered 2014-01-03)Jan 12, 2022 · Advisor changed firm · fact
- D•••• M•••••• Reese (Managing Member) no longer on Schedule A of C••••••••• W••••• A•••••••• L•• (listed 2021-01-14, absent 2022-01-04)Jan 4, 2022 · Control person left · inference
- David Lawrence Flynn (Member) no longer on Schedule A of C••••••••• W••••• A•••••••• L•• (listed 2021-01-14, absent 2022-01-04)Jan 4, 2022 · Control person left · inference
- L•••••• L••• M••• (Chief Compliance Officer) appeared on Schedule A of C••••••••• W••••• A•••••••• L••Aug 9, 2019 · Control person joined · fact
- C••••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 18, 2018 · 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
- 231-995-9575reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 906-451-3044reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 231-995-9575reportedpublic record, Form ADV, Sep 16, 2026
- Team page
- cen-wealth.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $39.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026