DFX Intelligence
RIA Intelligence
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SEC-registered adviser
F•••••••• C•••••• M••••••••• A•••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Mar 19, 2015 · 18 filings
SEC status approved since Mar 30, 2015
RAUM
$351M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$292M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$351M as of Mar 24, 2026
Feb 3, 2016$127M then
HNW client RAUM$254M as of Mar 24, 2026
Mar 21, 2018$52.8M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Feb 3, 20161 then
Employees (5.A)10 as of Mar 24, 2026
Feb 3, 20165 then
Private funds: no history
RAUM +13% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 179derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $337,919derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Financial planning clients
- 500reportedItem 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$254M73%
- Pension and profit-sharing plans$51.0M15%
- Individuals$38.5M11%
- Insurance companies$3.4M1.0%
- State and municipal entities$2.7M0.8%
- Corporations and businesses$171,1730.0%
- Individual clients
- 288reported
- HNW clients
- 249reported
- Pension plan clients
- 31reported
- Charitable clients
- n/areported
- Accounts
- 1,039reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••• S•• S•••••••Certified Financial Planner, Personal Financial Specialist | Saline, Mi | Jan 7, 2010 | 18 y | 0 |
| P•••••• L••• C•••••Certified Financial Planner | Saline, Mi | Dec 22, 2020 | 12 y | 0 |
| D••••• M•••••• S••••••••Certified Financial Planner | Saline, Mi | Feb 15, 2023 | 10 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• G•••••• P••• · Shareholdercontrolsince 02/2008 · owns 25% to 50%
- S•••••••• L•••••• S•• · President/Chief Compliance Officercontrolsince 02/2008 · 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 |
|---|---|---|---|---|---|
| Saline, Mi · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Grand Rapids, MI3 employees
What changed
consecutive filings, newest first
- Accounts · 987 to 1,039Mar 20, 2025 to Mar 24, 2026
- Advisory employees · 8 to 9Mar 20, 2025 to Mar 24, 2026
- HNW clients · 242 to 249Mar 20, 2025 to Mar 24, 2026
- Individual clients · 277 to 288Mar 20, 2025 to Mar 24, 2026
- Pension plan clients · 22 to 31Mar 20, 2025 to Mar 24, 2026
- Employees · 9 to 10Mar 20, 2025 to Mar 24, 2026
- Discretionary RAUM · $308M to $349MMar 20, 2025 to Mar 24, 2026
- HNW RAUM · $216M to $254MMar 20, 2025 to Mar 24, 2026
- Individual RAUM · $35.2M to $38.5MMar 20, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $1.9M to $1.6MMar 20, 2025 to Mar 24, 2026
- Pension RAUM · $50.7M to $51.0MMar 20, 2025 to Mar 24, 2026
- RAUM · $310M to $351MMar 20, 2025 to Mar 24, 2026
- Accounts · 915 to 987Mar 19, 2024 to Mar 20, 2025
- Advisory employees · 6 to 8Mar 19, 2024 to Mar 20, 2025
- HNW clients · 211 to 242Mar 19, 2024 to Mar 20, 2025
- Individual clients · 262 to 277Mar 19, 2024 to Mar 20, 2025
- Pension plan clients · 24 to 22Mar 19, 2024 to Mar 20, 2025
- Employees · 7 to 9Mar 19, 2024 to Mar 20, 2025
- Financial planning clients · More than 500 to More than 500Mar 19, 2024 to Mar 20, 2025
- Other offices · 1 to 0Mar 19, 2024 to Mar 20, 2025
- Discretionary RAUM · $251M to $308MMar 19, 2024 to Mar 20, 2025
- HNW RAUM · $163M to $216MMar 19, 2024 to Mar 20, 2025
- Individual RAUM · $32.8M to $35.2MMar 19, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $1.2M to $1.9MMar 19, 2024 to Mar 20, 2025
- Pension RAUM · $50.9M to $50.7MMar 19, 2024 to Mar 20, 2025
- RAUM · $253M to $310MMar 19, 2024 to Mar 20, 2025
- Accounts · 726 to 915Nov 21, 2023 to Mar 19, 2024
- Advisory employees · 7 to 6Nov 21, 2023 to Mar 19, 2024
- HNW clients · 199 to 211Nov 21, 2023 to Mar 19, 2024
- Individual clients · 261 to 262Nov 21, 2023 to Mar 19, 2024
- Pension plan clients · 25 to 24Nov 21, 2023 to Mar 19, 2024
- Employees · 8 to 7Nov 21, 2023 to Mar 19, 2024
- Financial planning clients · 251-500 to More than 500Nov 21, 2023 to Mar 19, 2024
- Discretionary RAUM · $211M to $251MNov 21, 2023 to Mar 19, 2024
- HNW RAUM · $125M to $163MNov 21, 2023 to Mar 19, 2024
- Individual RAUM · $27.3M to $32.8MNov 21, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $1.2M to $1.2MNov 21, 2023 to Mar 19, 2024
- Pension RAUM · $53.9M to $50.9MNov 21, 2023 to Mar 19, 2024
- RAUM · $212M to $253MNov 21, 2023 to Mar 19, 2024
- Advisory employees · 8 to 7Mar 25, 2022 to Mar 28, 2023
Signals
1 dated events
- F•••••••• C•••••• M••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Mar 19, 2015 · 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
- 734-429-4680reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-429-4686reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-429-4690reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- f•••••••••.netreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 877-429-4690reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- f•••••••••.netreportedpublished by the firm, firm site, Sep 16, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026