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Former SEC-registered adviser

A•••• W•••••• I•••

Former SEC-registered adviserJackson, MichiganCRD 147943SEC 801-120078IAPD
Latest filing Mar 1, 2024
First filing on the tape Dec 3, 2020 · 7 filings
RAUM
$202M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$189M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$202M as of Mar 1, 2024
Apr 1, 2021$167M then
HNW client RAUM$91.7M as of Mar 1, 2024
Apr 1, 2021$65.3M then
State-registered IARs (5.B.3)3 as of Mar 1, 2024
Apr 1, 20211 then
Employees (5.A)5 as of Mar 1, 2024
Apr 1, 20212 then
Private funds: no history
RAUM +10% over the last fiscal year+6.5% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 1, 2024; every figure names its basis
RAUM per advisor
$67.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
128derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$193,946derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
6.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+10%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-12%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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
  • 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
  • Individuals$97.6M48%
  • High-net-worth individuals$91.7M45%
  • Pension and profit-sharing plans$12.4M6.2%
Individual clients
335reported
HNW clients
49reported
Pension plan clients
10reported
Charitable clients
n/areported
Accounts
1,040reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R••••• D•••••• A•••• · President And Chief Compliance Officercontrol
      since 07/2008 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Jackson, Mi · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 963 to 1,040
      Sep 5, 2023 to Mar 1, 2024
    • Advisory activities · 4 to 5
      Sep 5, 2023 to Mar 1, 2024
    • Charity clients · 1.0 to unset
      Sep 5, 2023 to Mar 1, 2024
    • HNW clients · 44 to 49
      Sep 5, 2023 to Mar 1, 2024
    • Individual clients · 392 to 335
      Sep 5, 2023 to Mar 1, 2024
    • Pension plan clients · 12 to 10
      Sep 5, 2023 to Mar 1, 2024
    • Financial planning clients · 0 to 251-500
      Sep 5, 2023 to Mar 1, 2024
    • Discretionary RAUM · $183M to $202M
      Sep 5, 2023 to Mar 1, 2024
    • HNW RAUM · $79.2M to $91.7M
      Sep 5, 2023 to Mar 1, 2024
    • Individual RAUM · $83.7M to $97.6M
      Sep 5, 2023 to Mar 1, 2024
    • Pension RAUM · $20.3M to $12.4M
      Sep 5, 2023 to Mar 1, 2024
    • RAUM · $183M to $202M
      Sep 5, 2023 to Mar 1, 2024
    • Advisory employees · 2 to 3
      Mar 27, 2023 to Sep 5, 2023
    • State-registered IARs · 2 to 3
      Mar 27, 2023 to Sep 5, 2023
    • Accounts · 881 to 963
      Oct 11, 2022 to Mar 27, 2023
    • Advisory activities · 3 to 4
      Oct 11, 2022 to Mar 27, 2023
    • Charity clients · unset to 1.0
      Oct 11, 2022 to Mar 27, 2023
    • HNW clients · 42 to 44
      Oct 11, 2022 to Mar 27, 2023
    • Individual clients · 259 to 392
      Oct 11, 2022 to Mar 27, 2023
    • Pension plan clients · 9 to 12
      Oct 11, 2022 to Mar 27, 2023
    • Employees · 4 to 5
      Oct 11, 2022 to Mar 27, 2023
    • Financial planning clients · 251-500 to 0
      Oct 11, 2022 to Mar 27, 2023
    • State-registered IARs · 1 to 2
      Oct 11, 2022 to Mar 27, 2023
    • Discretionary RAUM · $180M to $183M
      Oct 11, 2022 to Mar 27, 2023
    • HNW RAUM · $78.2M to $79.2M
      Oct 11, 2022 to Mar 27, 2023
    • Individual RAUM · $79.4M to $83.7M
      Oct 11, 2022 to Mar 27, 2023
    • Non-discretionary RAUM · $281,689 to $0
      Oct 11, 2022 to Mar 27, 2023
    • Pension RAUM · $22.7M to $20.3M
      Oct 11, 2022 to Mar 27, 2023
    • RAUM · $180M to $183M
      Oct 11, 2022 to Mar 27, 2023
    • Employees · 2 to 4
      Mar 30, 2022 to Oct 11, 2022
    • Accounts · 873 to 881
      Apr 1, 2021 to Mar 30, 2022
    • HNW clients · 37 to 42
      Apr 1, 2021 to Mar 30, 2022
    • Individual clients · 284 to 259
      Apr 1, 2021 to Mar 30, 2022
    • Pension plan clients · 11 to 9
      Apr 1, 2021 to Mar 30, 2022
    • Discretionary RAUM · $165M to $180M
      Apr 1, 2021 to Mar 30, 2022
    • HNW RAUM · $65.3M to $78.2M
      Apr 1, 2021 to Mar 30, 2022
    • Non-discretionary RAUM · $2.0M to $281,689
      Apr 1, 2021 to Mar 30, 2022
    • Pension RAUM · $22.2M to $22.7M
      Apr 1, 2021 to Mar 30, 2022
    • RAUM · $167M to $180M
      Apr 1, 2021 to Mar 30, 2022
    • Accounts · 829 to 873
      Dec 3, 2020 to Apr 1, 2021
    Signals
    5 dated events
    • A•••••• R•••••• F••• left A•••• W•••••• I••• for C••• L•• (registered 2024-06-10)
      Dec 16, 2024 · Advisor changed firm · fact
    • B•••• T••••• O••••• left A•••• W•••••• I••• for C••• L•• (registered 2024-06-10)
      Dec 16, 2024 · Advisor changed firm · fact
    • D••••• A•••• R•••• left A•••• W•••••• I••• for C••• L•• (registered 2024-06-10)
      Dec 16, 2024 · Advisor changed firm · fact
    • A•••• W•••••• I•••'s advisors moved to C••• L•• (Jackson, MI): 3 of 3 registered, on the same day
      Dec 16, 2024 · Firm absorbed (people side) · derived
    • A•••• W•••••• I••• filed its initial SEC registration (Form ADV)
      Dec 3, 2020 · 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.
    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