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

C•••• L••

Former SEC-registered adviserLansing, MichiganCRD 148670SEC 801-69716IAPD
Latest filing Mar 29, 2017
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
$64.3M
reported, Item 5.F
Discretionary
100%
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$64.3M as of Mar 29, 2017
Mar 29, 2012$161M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 29, 2017
Mar 29, 20120 then
Employees (5.A)2 as of Mar 29, 2017
Mar 28, 20134 then
Private funds: no history
RAUM +3.1% over the last fiscal year-14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 29, 2017; every figure names its basis
RAUM per advisor
$64.3MderivedRAUM 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
$64.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+3.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, selection of other advisersreportedItem 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
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S•••••••• N•••••• A••• · Chief Compliance Officer
    since 01/2014 · owns less than 5%
Entity owners
  • R•••••• · Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list C•••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Saginaw, MI
What changed
consecutive filings, newest first
  • Employees · 3 to 2
    Mar 30, 2016 to Mar 29, 2017
  • Discretionary RAUM · $62.3M to $64.3M
    Mar 30, 2016 to Mar 29, 2017
  • RAUM · $62.3M to $64.3M
    Mar 30, 2016 to Mar 29, 2017
  • Discretionary RAUM · $79.4M to $62.3M
    Mar 11, 2015 to Mar 30, 2016
  • RAUM · $79.4M to $62.3M
    Mar 11, 2015 to Mar 30, 2016
  • Discretionary RAUM · $99.9M to $79.4M
    Mar 28, 2014 to Mar 11, 2015
  • RAUM · $99.9M to $79.4M
    Mar 28, 2014 to Mar 11, 2015
  • RAUM · $117M to $99.9M
    Jan 30, 2014 to Mar 28, 2014
  • Advisory employees · 2 to 1
    Jan 30, 2014 to Mar 28, 2014
  • Employees · 4 to 3
    Jan 30, 2014 to Mar 28, 2014
  • State-registered IARs · 2 to 1
    Jan 30, 2014 to Mar 28, 2014
  • Discretionary RAUM · $117M to $99.9M
    Jan 30, 2014 to Mar 28, 2014
  • Accounts · 2 to 1
    Mar 29, 2012 to Mar 28, 2013
  • Advisory employees · unset to 2.0
    Mar 29, 2012 to Mar 28, 2013
  • BD registered reps · 0 to 1
    Mar 29, 2012 to Mar 28, 2013
  • Employees · unset to 4.0
    Mar 29, 2012 to Mar 28, 2013
  • State-registered IARs · 0 to 2
    Mar 29, 2012 to Mar 28, 2013
  • Discretionary RAUM · $161M to $117M
    Mar 29, 2012 to Mar 28, 2013
  • RAUM · $161M to $117M
    Mar 29, 2012 to Mar 28, 2013
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