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
R•••• A•••••••• L••
Latest filing Feb 18, 2016
First filing on the tape Dec 15, 2011 · 15 filings
RAUM
$217M
reported, Item 5.F
Discretionary
2.8%
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
29
19 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$217M as of Feb 18, 2016
Mar 15, 2012$145M then
HNW client RAUM: no history
State-registered IARs (5.B.3)19 as of Feb 18, 2016
Mar 15, 20120 then
Employees (5.A)29 as of Feb 18, 2016
Feb 14, 201333 then
Private funds: no history
RAUM -26% over the last fiscal year+4.7% a year over threeIARs 23 to 19
Practice profile
derived from the filing of Feb 18, 2016; every figure names its basis
- RAUM per advisor
- $11.4MderivedRAUM 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
- $127,440derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 2.8%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
- 6.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -26%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- 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
- is a broker-dealer (6.A.1)
- 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
- 1,702reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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•••• M•••••• O•••••• to S••••••• I••••••••• I•••Dec 31, 2016 · Other
- J•••• I• T••••••• to S••••••• I••••••••• I•••Dec 31, 2016 · Other
- D••••• W•••• K••••••• to S••••••• I••••••••• I•••Dec 31, 2016 · Other
- M••••• L•••• A••••••• to S••••••• I••••••••• I•••Dec 31, 2016 · Other
- P•••••• A• V••••••• to S••••••• I••••••••• I•••Dec 31, 2016 · Other
- L•••• A••••••• to L••• K••• • C••••••Dec 31, 2016 · Other
- S•••••• C••••• C••••• to S••••••• I••••••••• I•••Dec 31, 2016 · Other
- C••••••••• A•••• O••••• to S••••••• I••••••••• I•••Dec 31, 2016 · Other
- M•••••• J•• N••••••••• to S••••••• I••••••••• I•••Dec 31, 2016 · Other
- D•••• G••••• M•••••• to S••••••• I••••••••• I•••Dec 31, 2016 · Other
- C••• E••• W•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 8, 2015 · Other
- J•••• E• W••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 8, 2015 · Other
- W•••••• C••••• K•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 8, 2015 · Other
- G••• M•••• B•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 27, 2015 · Other
- E••••• G••••• D•••••• to M•• A•••• M••••••••• S•••••••• L••Apr 1, 2015 · Other
Joined, latest
- M•••••• J•• N••••••••• from F•••• T•••• S••••••••• I•••Sep 24, 2014 · Other
- S•••••• C••••• C••••• from R•••• I••••••••• A••••••• L••May 5, 2014 · Other
- J•••• E• W••••••••• from O•••• F•• I•••Mar 19, 2014 · Other
- V•••••• T•••• L• from E••••• J••••Sep 19, 2013 · Other
- M••• B•••••• K•••• from W•••• F•••• A•••••••May 22, 2012 · Other
- L•••• A••••••• from O••••••••• • C•• I•••Dec 10, 2010 · Other
- B•••••• W• R••••• from E••••• J••••Jan 20, 2010 · Other
- R•••••• R••••• J••••• from P•••• S••••••••• L••Dec 15, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 9 left for S••••••• I••••••••• I•••Dec 31, 2016 · Grandville, Mi · Firm absorbed
- 3 left for R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 8, 2015 · Grandville, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• M•••••• L•••• · Executive Senior Vice President, Membercontrolsince 09/2007 · owns less than 5%
- H•••••• T••••• A•••• · Partner, Membercontrolsince 09/2007 · owns less than 5%
- M••••••• D••••• G••••• · Executive Secretary, Membercontrolsince 09/2007 · owns less than 5%
- N••••••••• R•••• A•• · Partner, Membercontrolsince 09/2012 · owns less than 5%
- O•••••• C••••••••• A•••• · Partner, Membercontrolsince 09/2007 · owns less than 5%
- W••••• J•••• L••••••• · Partner, Membercontrolsince 09/2007 · owns less than 5%
- A•••••••• M•••••• L•••• · 23.26% Owner Of R•• H•••••••• I••• (6 Other Persons Own 12.79% Each)controlsince 09/2007 · owns 25% to 50% of R•• H•••••••• I•••
- D••••• T••••••• V•• H•••••• · President/Chief Operations Officersince 09/2011 · owns less than 5%
- M•••••• M••••• A• · Chief Compliance Officersince 06/2012 · owns less than 5%
- O••••••• A••••• M• · Executive Treasurer, Membersince 12/2014 · owns less than 5%
Entity owners
- R•• H•••••••• I••• · Owner, 100% (8) Shareholders)direct · owns 75% or more
Related persons
Schedule D 7.A
- R•••• S••••••••• C••••••broker-dealeryRAUM $500M
Offices
Schedule D 1.F, the 25 largest
- Grand Rapids, MI
- Holland, MI
What changed
consecutive filings, newest first
- Accounts · 1,963 to 1,702Dec 16, 2015 to Feb 18, 2016
- Advisory employees · 23 to 19Dec 16, 2015 to Feb 18, 2016
- BD registered reps · 34 to 29Dec 16, 2015 to Feb 18, 2016
- Employees · 34 to 29Dec 16, 2015 to Feb 18, 2016
- Financial planning clients · 0 to More than 500Dec 16, 2015 to Feb 18, 2016
- State-registered IARs · 23 to 19Dec 16, 2015 to Feb 18, 2016
- Discretionary RAUM · $8.2M to $6.2MDec 16, 2015 to Feb 18, 2016
- Non-discretionary RAUM · $285M to $211MDec 16, 2015 to Feb 18, 2016
- RAUM · $293M to $217MDec 16, 2015 to Feb 18, 2016
- Accounts · 1,684 to 1,963Feb 20, 2014 to Mar 4, 2015
- Advisory employees · 22 to 23Feb 20, 2014 to Mar 4, 2015
- BD registered reps · 33 to 34Feb 20, 2014 to Mar 4, 2015
- Employees · 33 to 34Feb 20, 2014 to Mar 4, 2015
- State-registered IARs · 22 to 23Feb 20, 2014 to Mar 4, 2015
- Discretionary RAUM · $419,588 to $8.2MFeb 20, 2014 to Mar 4, 2015
- Non-discretionary RAUM · $246M to $285MFeb 20, 2014 to Mar 4, 2015
- RAUM · $246M to $293MFeb 20, 2014 to Mar 4, 2015
- Accounts · 1,539 to 1,684Feb 14, 2013 to Feb 5, 2014
- Advisory employees · 23 to 22Feb 14, 2013 to Feb 5, 2014
- State-registered IARs · 23 to 22Feb 14, 2013 to Feb 5, 2014
- Discretionary RAUM · $4.9M to $419,588Feb 14, 2013 to Feb 5, 2014
- Non-discretionary RAUM · $184M to $246MFeb 14, 2013 to Feb 5, 2014
- RAUM · $189M to $246MFeb 14, 2013 to Feb 5, 2014
- Accounts · 1,250 to 1,539Oct 24, 2012 to Feb 14, 2013
- Advisory employees · unset to 23.0Oct 24, 2012 to Feb 14, 2013
- BD registered reps · unset to 33.0Oct 24, 2012 to Feb 14, 2013
- Employees · unset to 33.0Oct 24, 2012 to Feb 14, 2013
- State-registered IARs · 0 to 23Oct 24, 2012 to Feb 14, 2013
- Discretionary RAUM · $5.0M to $4.9MOct 24, 2012 to Feb 14, 2013
- Non-discretionary RAUM · $140M to $184MOct 24, 2012 to Feb 14, 2013
- RAUM · $145M to $189MOct 24, 2012 to Feb 14, 2013
- Accounts · 1,158 to 1,250Dec 22, 2011 to Mar 15, 2012
- Advisory activities · 2 to 3Dec 22, 2011 to Mar 15, 2012
- Insurance-licensed employees · unset to 0.0Dec 22, 2011 to Mar 15, 2012
- Non-discretionary RAUM · $115M to $140MDec 22, 2011 to Mar 15, 2012
- RAUM · $120M to $145MDec 22, 2011 to Mar 15, 2012
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