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
E•••••••• W••••• M••••••••• L••
Latest filing Dec 10, 2024
First filing on the tape Mar 28, 2012 · 62 filings
SEC status approved since Jul 13, 2006
RAUM
$1.4B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$1.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
60
29 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
62 filings and snapshots on the tape
RAUM$1.4B as of Mar 21, 2024
Mar 28, 2012$286M then
HNW client RAUM$575M as of Mar 21, 2024
Mar 15, 2018$318M then
State-registered IARs (5.B.3)30 as of Mar 21, 2024
Mar 28, 201318 then
Employees (5.A)60 as of Mar 21, 2024
Mar 28, 201322 then
Private funds: no history
RAUM +22% over the last fiscal year+9.3% a year over threeIARs 26 to 30
Practice profile
derived from the filing of Dec 10, 2024; every figure names its basis
- RAUM per advisor
- $48.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 125derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $189,881derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.7derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +15%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 2,000reportedItem 5.H
- Custody
- $57.0M, 243 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$821M57%
- High-net-worth individuals$575M40%
- Pension and profit-sharing plans$32.5M2.3%
- State and municipal entities$7.5M0.5%
- Corporations and businesses$1.3M0.1%
- Charitable organizations$1.1M0.1%
- Individual clients
- 3,368reported
- HNW clients
- 383reported
- Pension plan clients
- 14reported
- Charitable clients
- 4reported
- Accounts
- 7,577reported
- Financial planning clients
- 2,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $57.0M for 243 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- A••••• P•••••• H••••• to E• W••••• A•••••••Mar 14, 2025 · RIA to RIA
- M•••••• J•••• L•• to E• W••••• A•••••••Mar 14, 2025 · RIA to RIA
- A••••• P•••••• H••••• to 4••• G••• L••Mar 14, 2025 · Other
- M•••••• R••••• C•••••• to 4••• G••• L••Jan 22, 2025 · Other
- M•••• M••••• H•••••• to E• W••••• A•••••••Jan 21, 2025 · RIA to RIA
- K•••• E••••• C•••• to I••••• F•••••••• C•••••••••Jan 21, 2025 · Other
- J••• L••••••• B••••••• to E• W••••• A•••••••Jan 21, 2025 · RIA to RIA
- R••••• B••••• L••••• to E• W••••• A•••••••Jan 21, 2025 · RIA to RIA
- D•••• M•••••• L••••••• to E• W••••• A•••••••Jan 21, 2025 · RIA to RIA
- S•••• A•••• F••••• to C••••••• P•••••••Jan 21, 2025 · RIA to RIA
- A••••• J•••• Z•••••• to E• W••••• A•••••••Jan 21, 2025 · RIA to RIA
- C••••••••• R••••• H•••••• to E• W••••• A•••••••Jan 21, 2025 · RIA to RIA
- Z•••••• B• M•••••• to E• W••••• A•••••••Jan 21, 2025 · RIA to RIA
- J•••• R•• S•••• to E• W••••• A•••••••Jan 21, 2025 · RIA to RIA
- A••• R• K•••••• to 4••• G••• L••Jan 21, 2025 · Other
Joined, latest
- M•••••• C•••• S•••••• from W••••••• F•••••••• S•••••••• I•••Apr 24, 2023 · Affiliated broker-dealer or bank to independent RIA
- M•••• M••••• H•••••• from D•••••• W••••• S•••••••• L••Mar 10, 2023 · Other
- D•••• M•••••• L••••••• from D•••••• W••••• S•••••••• L••Feb 16, 2023 · Other
- C••••••••• R••••• H•••••• from T• A••••••••• I•••Mar 3, 2022 · Other
- D•••• H•••• from N••• F•••••••• G••••• I•••Sep 28, 2021 · Affiliated broker-dealer or bank to independent RIA
- B•••••• L•••• from C••••••• S••••••••• I•••Jun 2, 2021 · Affiliated broker-dealer or bank to independent RIA
- D•••• A•••••• J•••••• from T• A••••••••• I••••••••• M••••••••• L••Nov 16, 2020 · RIA to RIA
- S•••• A••• L••••• from C•••••• S••••• • C••• I•••May 13, 2019 · Affiliated broker-dealer or bank to independent RIA
- T••• A•••••• P•••• from V•••••• F•••••••• S••••••• L••Jan 31, 2019 · RIA to RIA
- A••••• P•••••• H••••• from W•••• F•••• A•••••••Jan 2, 2018 · Other
- C••••••••• W••••• K••••• from H••••••••• F•••••••• A•••••••Jun 15, 2017 · Other
- J•••• R•• S•••• from C••••• I••••••••• A••••••• L••Jun 2, 2017 · Other
- K•••• E••••• C•••• from O•••• W•••••• I•••Dec 19, 2016 · Other
- J••••• J••• D•••••••• from I••••• F•••••••• C•••••••••Nov 21, 2016 · Other
- J••• R•••••• O••••• from L•• F•••••••• L••Nov 4, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for E• W••••• A•••••••Mar 14, 2025 · Brighton, Mi
- 15 left for E• W••••• A•••••••Jan 21, 2025 · Brighton, Mi · Firm absorbed
- 3 left for S••••• C•••• A••••••• L••Oct 3, 2016 · Brighton, Mi
- 2 joined from D•••••• W••••• S•••••••• L••Mar 3, 2023 · Southfield, Mi
- 2 joined from I••••• F•••••••• C•••••••••Feb 14, 2018 · W••••••Ston, Mi
- 7 joined from I••••• F•••••••• C•••••••••Jun 2, 2017 · Brighton, Mi
- 2 joined from I••••• F•••••••• C•••••••••Aug 24, 2016 · Bloomfield Hills, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• G••••••• J••••• · Board Of Managerscontrolsince 01/2023 · owns less than 5%
- C••••••• M••••••• R••••• · Board Of Managerscontrolsince 02/2017 · owns less than 5%
- H•••••• A•••••• P•••••• · Board Of Managerscontrolsince 02/2017 · owns less than 5%
- H•••••• A•••••• P•••••• · Board Of Managerscontrolsince 01/2022 · owns less than 5%
- K••••••• A•••• R• · Board Of Managerscontrolsince 02/2017 · owns less than 5%
- L•••••• R•••••• B••••• · Board Of Managerscontrolsince 01/2022 · owns less than 5%
- L•••••• S••••• A••• · Chief Client S•••••••• Officercontrolsince 01/2022 · owns less than 5%
- L••• M••••••• J•••• · Managing Director, Chief Compliance Officer, Board Of Managerscontrolsince 01/2023 · owns less than 5%
- M••••••• Z••••••• B• · Board Of Managerscontrolsince 01/2022 · owns less than 5%
- P••••••• J••••• A•••• · Board Of Managerscontrolsince 01/2022 · owns less than 5%
- L•••••• N•••••• J• · Chief I•••••Ment Officersince 01/2022 · owns less than 5%
- W••••••• C•••• E••••• · Chief Information Security Officersince 11/2015 · owns less than 5%
Entity owners
- E•• C••••••• L•• · Michigan Limited Liability Company/Interest Holderdirect · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Brighton, Mi · principal | 0 | 0 | 0 | ||
| Frankenmuth, Mi | 0 | 0 | 0 | ||
| Jackson, Mi | 0 | 0 | 0 | ||
| Ludington, Mi | 0 | 0 | 0 | ||
| Northville, Mi | 0 | 0 | 0 | ||
| Siesta Key, Fl | 0 | 0 | 0 | ||
| Niorthville, Mi | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Northville, MI4 employees
- Jackson, MI2 employees
- Ludington, MI2 employees
- Venice, FL1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Pension plan clients · 12 to 14Mar 22, 2024 to Jun 4, 2024
- Pooled vehicle clients · 2.0 to unsetMar 22, 2024 to Jun 4, 2024
- Pension RAUM · $32.2M to $32.5MMar 22, 2024 to Jun 4, 2024
- Pooled vehicle RAUM · 262389.0 to unsetMar 22, 2024 to Jun 4, 2024
- Accounts · 7,269 to 7,577Dec 7, 2023 to Mar 21, 2024
- Advisory employees · 25 to 29Dec 7, 2023 to Mar 21, 2024
- Advisory activities · 7 to 6Dec 7, 2023 to Mar 21, 2024
- BD registered reps · 2 to 0Dec 7, 2023 to Mar 21, 2024
- Charity clients · unset to 4.0Dec 7, 2023 to Mar 21, 2024
- Corporate clients · 9 to 7Dec 7, 2023 to Mar 21, 2024
- HNW clients · 350 to 383Dec 7, 2023 to Mar 21, 2024
- Individual clients · 3,196 to 3,368Dec 7, 2023 to Mar 21, 2024
- Pension plan clients · 10 to 12Dec 7, 2023 to Mar 21, 2024
- Pooled vehicle clients · unset to 2.0Dec 7, 2023 to Mar 21, 2024
- Assets in custody · $37.7M to $57.0MDec 7, 2023 to Mar 21, 2024
- Employees · 31 to 60Dec 7, 2023 to Mar 21, 2024
- State-registered IARs · 26 to 30Dec 7, 2023 to Mar 21, 2024
- Discretionary RAUM · $1.2B to $1.4BDec 7, 2023 to Mar 21, 2024
- HNW RAUM · $465M to $575MDec 7, 2023 to Mar 21, 2024
- Individual RAUM · $685M to $821MDec 7, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $24.0M to $26.1MDec 7, 2023 to Mar 21, 2024
- Pension RAUM · $23.3M to $32.2MDec 7, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · unset to 262389.0Dec 7, 2023 to Mar 21, 2024
- RAUM · $1.2B to $1.4BDec 7, 2023 to Mar 21, 2024
- Accounts · 6,960 to 7,269Jan 17, 2023 to Feb 24, 2023
- Advisory employees · 28 to 25Jan 17, 2023 to Feb 24, 2023
- BD registered reps · 22 to 2Jan 17, 2023 to Feb 24, 2023
- Corporate clients · 8 to 9Jan 17, 2023 to Feb 24, 2023
- HNW clients · 313 to 350Jan 17, 2023 to Feb 24, 2023
- Individual clients · 2,906 to 3,196Jan 17, 2023 to Feb 24, 2023
- Pension plan clients · 12 to 10Jan 17, 2023 to Feb 24, 2023
- Assets in custody · $465M to $37.7MJan 17, 2023 to Feb 24, 2023
- State-registered IARs · 28 to 26Jan 17, 2023 to Feb 24, 2023
- Discretionary RAUM · $1.3B to $1.2BJan 17, 2023 to Feb 24, 2023
- HNW RAUM · $527M to $465MJan 17, 2023 to Feb 24, 2023
- Individual RAUM · $762M to $685MJan 17, 2023 to Feb 24, 2023
- Non-discretionary RAUM · $31.1M to $24.0MJan 17, 2023 to Feb 24, 2023
- Pension RAUM · $31.4M to $23.3MJan 17, 2023 to Feb 24, 2023
- RAUM · $1.3B to $1.2BJan 17, 2023 to Feb 24, 2023
- Accounts · 7,159 to 6,960Jan 28, 2022 to Feb 17, 2022
Signals
39 dated events
- E•••••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $1.4B)May 2, 2025 · Left the SEC roster · derived
- A••••• P•••••• H••••• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-01-02)Mar 14, 2025 · Advisor changed firm · fact
- A••••• P•••••• H••••• left E•••••••• W••••• M••••••••• L•• for 4••• G••• L•• (registered 2011-10-05)Mar 14, 2025 · Advisor changed firm · fact
- M•••••• J•••• L•• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-01-02)Mar 14, 2025 · Advisor changed firm · fact
- 2 advisors left E•••••••• W••••• M••••••••• L•• (Brighton, MI) for E• W••••• A••••••• on the same dayMar 14, 2025 · Team lift-out · derived
- M•••••• R••••• C•••••• left E•••••••• W••••• M••••••••• L•• for 4••• G••• L•• (registered 2011-10-05)Jan 22, 2025 · Advisor changed firm · fact
- M•••••• C•••• S•••••• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2026-08-31)Jan 21, 2025 · Advisor changed firm · fact
- J•••• A•••• P•••••• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-01-02)Jan 21, 2025 · Advisor changed firm · fact
- M•••••• R•••••• B••••• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-01-02)Jan 21, 2025 · Advisor changed firm · fact
- T••• A•••••• P•••• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-01-02)Jan 21, 2025 · Advisor changed firm · fact
- R••••• B••••• L••••• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-01-02)Jan 21, 2025 · Advisor changed firm · fact
- D•••• M•••••• L••••••• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-01-16)Jan 21, 2025 · Advisor changed firm · fact
- A••••• J•••• Z•••••• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-01-02)Jan 21, 2025 · Advisor changed firm · fact
- A••••• R•••• S•••• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-01-03)Jan 21, 2025 · Advisor changed firm · fact
- K•••• E••••• C•••• left E•••••••• W••••• M••••••••• L•• for I••••• F•••••••• C••••••••• (registered 2017-01-27)Jan 21, 2025 · Advisor changed firm · fact
- S•••• A•••• F••••• left E•••••••• W••••• M••••••••• L•• for C••••••• P••••••• (registered 2026-03-02)Jan 21, 2025 · Advisor changed firm · fact
- M•••• M••••• H•••••• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-01-02)Jan 21, 2025 · Advisor changed firm · fact
- C••••••••• R••••• H•••••• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-01-02)Jan 21, 2025 · Advisor changed firm · fact
- S•••• A••• L••••• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-01-03)Jan 21, 2025 · Advisor changed firm · fact
- Z•••••• B• M•••••• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-01-03)Jan 21, 2025 · Advisor changed firm · fact
- J•••• R•• S•••• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-01-02)Jan 21, 2025 · Advisor changed firm · fact
- J••• L••••••• B••••••• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-01-16)Jan 21, 2025 · Advisor changed firm · fact
- D••••• C••• W••••• left E•••••••• W••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-01-16)Jan 21, 2025 · Advisor changed firm · fact
- A••• R• K•••••• left E•••••••• W••••• M••••••••• L•• for 4••• G••• L•• (registered 2011-10-05)Jan 21, 2025 · Advisor changed firm · fact
- E•••••••• W••••• M••••••••• L••'s advisors moved to E• W••••• A••••••• (Brighton, MI): 15 of 22 registered, on the same dayJan 21, 2025 · Firm absorbed (people side) · derived
- D•••• A•••••• J•••••• left E•••••••• W••••• M••••••••• L•• for C••••••••• P•••••••• R••••• C••• (registered 2024-11-08)Nov 11, 2024 · Advisor changed firm · fact
- V•••••• M•••• T••••• left E•••••••• W••••• M••••••••• L•• for F••••• W••••• M••••••••• L••• (registered 2024-09-06)Aug 23, 2024 · Advisor changed firm · fact
- D•••• H•••• left E•••••••• W••••• M••••••••• L•• for E•••••• F•••••••• E•••••• (registered 2023-11-09)Oct 3, 2023 · Advisor changed firm · fact
- 2 advisors left D•••••• W••••• S•••••••• L•• (Southfield, MI) for E•••••••• W••••• M••••••••• L•• on the same dayMar 3, 2023 · Team lift-out · derived
- Allan James Plaskey (Board Of Managers) appeared on Schedule A of E•••••••• W••••• M••••••••• L••Feb 24, 2023 · 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