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
O•• M•••••• I••••••••• C••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 2, 2012 · 34 filings
SEC status approved since May 17, 2006
RAUM
$929M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
93%
$863M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$116M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$929M as of Mar 27, 2026
Feb 2, 2012$283M then
HNW client RAUM$155M as of Mar 27, 2026
Mar 20, 2018$25.2M then
State-registered IARs (5.B.3)9 as of Mar 27, 2026
Feb 2, 20120 then
Employees (5.A)10 as of Mar 27, 2026
Jan 23, 20136 then
Private funds: no history
RAUM +4.3% over the last fiscal year+16% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $116MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $464,053derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 7.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, otherreportedItem 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
- 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
- Individuals$707M76%
- High-net-worth individuals$155M17%
- Insurance companies$55.1M5.9%
- Charitable organizations$11.2M1.2%
- Individual clients
- 988reported
- HNW clients
- 63reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 2,002reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• A•••• J•••••• | Traverse City, Mi | Jul 21, 2010 | 28 y | 1 |
| K••• A••••• S•••••• | Traverse City, Mi | Jul 21, 2010 | 34 y | 2 |
| C••••••••• M•••• L••• | Traverse City, Mi | Oct 16, 2012 | 32 y | 2 |
| C•••• A••• T•••••••Certified Financial Planner | Traverse City, Mi | Mar 2, 2015 | 11 y | 0 |
| R••• W•••••• K••••••• | Traverse City, Mi | Mar 31, 2025 | 11 y | 3 |
| S•••• W••••••••Certified Financial Planner | Traverse City, Mi | Apr 28, 2025 | 21 y | 0 |
| K•••• P•••••• O•••••• | Traverse City, Mi | Oct 23, 2025 | 39 y | 0 |
| L•••••• F•••••••••Certified Financial Planner | Traverse City, Mi | Dec 18, 2025 | 13 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- K••••• R•••• R••••• to F••••• I•••••••• G••••Mar 20, 2024 · RIA to RIA
- C••••••••• R••••• C•••• to F••••• I•••••••• G••••Mar 5, 2024 · RIA to RIA
- D••••• O••••• M••••••• to C•••••• S••••• • C••• I•••Nov 4, 2015 · Other
Joined, latest
- L•••••• F••••••••• from R•••••• W•••••Dec 18, 2025 · RIA to RIA
- R••• W•••••• K••••••• from S•••••• F•••••••• P•••••••• L••Mar 31, 2025 · RIA to RIA
- C••••••••• R••••• C•••• from F•••• T•••• S••••••••• I•••Nov 7, 2023 · Other
- C••••••••• M•••• L••• from W•••• F•••• A•••••••Oct 16, 2012 · Other
- K••• A••••• S•••••• from W•••• F•••• A•••••••Jul 21, 2010 · Other
- J•••••• A•••• J•••••• from W•••• F•••• A•••••••Jul 21, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• J••••••• A•••• · Managing Member / Chief Compliance Officercontrolsince 05/2006 · owns 25% to 50%
- L•••• C••••••••• M•••• · Managing Membercontrolsince 05/2006 · owns 25% to 50%
- S••••••• K•••• A••••• · Managing Membercontrolsince 05/2006 · owns 25% to 50%
- T•••••••• C••••• A••• · Managing Membercontrolsince 07/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
- O•• M•••••• T•••• C•••••• L••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Traverse City, Mi · principal | 8 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Alpena, MI1 employees
- Petoskey, MI1 employees
What changed
consecutive filings, newest first
- Accounts · 2,052 to 2,002Nov 26, 2025 to Mar 27, 2026
- Charity clients · 2 to 3Nov 26, 2025 to Mar 27, 2026
- HNW clients · 61 to 63Nov 26, 2025 to Mar 27, 2026
- Individual clients · 918 to 988Nov 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $754M to $856MNov 26, 2025 to Mar 27, 2026
- HNW RAUM · $152M to $155MNov 26, 2025 to Mar 27, 2026
- Individual RAUM · $679M to $707MNov 26, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $136M to $72.8MNov 26, 2025 to Mar 27, 2026
- RAUM · $891M to $929MNov 26, 2025 to Mar 27, 2026
- Financial planning clients · 11-25 to 11-25Apr 21, 2025 to May 21, 2025
- Accounts · 1,751 to 2,052Feb 5, 2024 to Feb 6, 2025
- HNW clients · 49 to 61Feb 5, 2024 to Feb 6, 2025
- Individual clients · 844 to 918Feb 5, 2024 to Feb 6, 2025
- Discretionary RAUM · $573M to $754MFeb 5, 2024 to Feb 6, 2025
- HNW RAUM · $111M to $152MFeb 5, 2024 to Feb 6, 2025
- Individual RAUM · $516M to $679MFeb 5, 2024 to Feb 6, 2025
- Non-discretionary RAUM · $106M to $136MFeb 5, 2024 to Feb 6, 2025
- RAUM · $679M to $891MFeb 5, 2024 to Feb 6, 2025
- Accounts · 1,678 to 1,751Mar 7, 2023 to Feb 5, 2024
- Individual clients · 828 to 844Mar 7, 2023 to Feb 5, 2024
- State-registered IARs · 8 to 9Mar 7, 2023 to Feb 5, 2024
- Other offices · 1 to 2Mar 7, 2023 to Feb 5, 2024
- Discretionary RAUM · $414M to $573MMar 7, 2023 to Feb 5, 2024
- HNW RAUM · $90.0M to $111MMar 7, 2023 to Feb 5, 2024
- Individual RAUM · $499M to $516MMar 7, 2023 to Feb 5, 2024
- Non-discretionary RAUM · $188M to $106MMar 7, 2023 to Feb 5, 2024
- RAUM · $602M to $679MMar 7, 2023 to Feb 5, 2024
- Accounts · 1,663 to 1,678Aug 29, 2022 to Mar 7, 2023
- Charity clients · unset to 2.0Aug 29, 2022 to Mar 7, 2023
- Individual clients · 826 to 828Aug 29, 2022 to Mar 7, 2023
- Discretionary RAUM · $426M to $414MAug 29, 2022 to Mar 7, 2023
- HNW RAUM · $91.8M to $90.0MAug 29, 2022 to Mar 7, 2023
- Individual RAUM · $455M to $499MAug 29, 2022 to Mar 7, 2023
- Non-discretionary RAUM · $155M to $188MAug 29, 2022 to Mar 7, 2023
- RAUM · $582M to $602MAug 29, 2022 to Mar 7, 2023
- Accounts · 1,321 to 1,663Feb 9, 2022 to Mar 14, 2022
- BD registered reps · 1 to 0Feb 9, 2022 to Mar 14, 2022
- HNW clients · 47 to 49Feb 9, 2022 to Mar 14, 2022
- Individual clients · 788 to 826Feb 9, 2022 to Mar 14, 2022
- Employees · 8 to 10Feb 9, 2022 to Mar 14, 2022
Signals
5 dated events
- O•• M•••••• I••••••••• C••••••• L•• reported RAUM $890.8M, up 31% from $679.5M (2024-02-05 to 2025-02-06)Feb 6, 2025 · ria raum c••••e · derived
- K••••• R•••• R••••• left O•• M•••••• I••••••••• C••••••• L•• for F••••• I•••••••• G•••• (registered 2024-03-19)Mar 20, 2024 · advisor firm c••••e · fact
- C••••••••• R••••• C•••• left O•• M•••••• I••••••••• C••••••• L•• for F••••• I•••••••• G•••• (registered 2025-01-01)Mar 5, 2024 · advisor firm c••••e · fact
- Anne Carey Tafelsky (Managing Member) appeared on Schedule A of O•• M•••••• I••••••••• C••••••• L••Mar 14, 2022 · Control person joined · fact
- Wayne Robert Stibbs (Managing Member) no longer on Schedule A of O•• M•••••• I••••••••• C••••••• L•• (listed 2019-03-26, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
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 email
- g••••@o••••.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- l••••••••@o••••.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- t•••••••@o••••.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-587-4100reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 231-929-4100reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.o••••.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 231-929-4100reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- o••••.netreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- o••••.netreportedpublished 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
- $116Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026