DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

S•••••• A•••••••

Former SEC-registered adviserPortage, MichiganCRD 151388SEC 801-119924IAPD

Legal name S•••••• A••••••• S•••••••• L••

Latest filing Mar 30, 2023

First filing on the tape Nov 4, 2020 · 9 filings

RAUM

n/a

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM$958M as of Mar 22, 2022

Feb 24, 2021$821M then

HNW client RAUM$680M as of Mar 22, 2022

Feb 24, 2021$538M then

State-registered IARs (5.B.3)1 as of Mar 30, 2023

Feb 24, 20217 then

Employees (5.A)4 as of Mar 30, 2023

Feb 24, 20217 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 8 to 1

Practice profile

derived from the filing of Mar 30, 2023; every figure names its basis

RAUM per advisor: unknownderivedRAUM 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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 4.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: -88%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

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: n/areported
Financial planning clients: 0reported
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

M••••••• B•••••• to M••••• G••••• A••••••• I•••
Jul 5, 2023 · Other
L••• J• B•••••• to M••••• G••••• A••••••• I•••
Jul 5, 2023 · Other
K•••••• A•• C•••••• to M••••• G••••• A••••••• I•••
Jul 5, 2023 · Other
S•••• M•••••• W••••••• to M••••• G••••• A••••••• I•••
Mar 10, 2023 · RIA to RIA
B•••• W••••• K••••••••• to M••••• G••••• A••••••• I•••
Mar 10, 2023 · RIA to RIA
S•••••• N••••••••• B••• to M••••• G••••• A••••••• I•••
Mar 10, 2023 · RIA to RIA
E•••••••• F•••••• Y••••• to M••••• G••••• A••••••• I•••
Mar 10, 2023 · RIA to RIA

Joined, latest

E•••••••• F•••••• Y••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Feb 7, 2020 · Affiliated broker-dealer or bank to independent RIA
L••• J• B•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Nov 20, 2015 · Affiliated broker-dealer or bank to independent RIA
S•••••• N••••••••• B••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
May 9, 2012 · Affiliated broker-dealer or bank to independent RIA
S•••• M•••••• W••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Sep 28, 2010 · Affiliated broker-dealer or bank to independent RIA
B•••• W••••• K••••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Sep 28, 2010 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 left for M••••• G••••• A••••••• I•••
Jul 5, 2023 · Portage, Mi · Firm absorbed
4 left for M••••• G••••• A••••••• I•••
Mar 10, 2023 · Portage, Mi · Firm absorbed

4 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Oct 16, 2020 · Portage, Mi

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••••• L•••• J• · Chief Compliance Officercontrol
since 10/2020 · owns less than 5%
K••••••••• B••••• W••••• · Membercontrol
since 08/2009 · owns less than 5%
S••••••• T•••• A••••• · Managing Membercontrol
since 08/2009 · owns less than 5%
W•••••••• S••••• M•••••• · Membercontrol
since 08/2009 · owns less than 5%

Entity owners

M••••• G••••• A••••••• I••• · Parent Company
direct · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 2739.0 to unset
May 13, 2022 to Mar 30, 2023
Advisory employees · 7 to 3
May 13, 2022 to Mar 30, 2023
Charity clients · 14.0 to unset
May 13, 2022 to Mar 30, 2023
Corporate clients · 5.0 to unset
May 13, 2022 to Mar 30, 2023
HNW clients · 280.0 to unset
May 13, 2022 to Mar 30, 2023
Individual clients · 797.0 to unset
May 13, 2022 to Mar 30, 2023
Pension plan clients · 18.0 to unset
May 13, 2022 to Mar 30, 2023
Assets in custody · 54854778.0 to unset
May 13, 2022 to Mar 30, 2023
Custody of client assets · true to false
May 13, 2022 to Mar 30, 2023
Employees · 8 to 4
May 13, 2022 to Mar 30, 2023
Insurance-licensed employees · 0 to 3
May 13, 2022 to Mar 30, 2023
Financial planning clients · 26-50 to 0
May 13, 2022 to Mar 30, 2023
State-registered IARs · 8 to 1
May 13, 2022 to Mar 30, 2023
Discretionary RAUM · 936529701.0 to unset
May 13, 2022 to Mar 30, 2023
HNW RAUM · 679696177.0 to unset
May 13, 2022 to Mar 30, 2023
Individual RAUM · 250972226.0 to unset
May 13, 2022 to Mar 30, 2023
Non-discretionary RAUM · 21091601.0 to unset
May 13, 2022 to Mar 30, 2023
Pension RAUM · 7068405.0 to unset
May 13, 2022 to Mar 30, 2023
RAUM · 957621302.0 to unset
May 13, 2022 to Mar 30, 2023
Accounts · 2,550 to 2,739
Jun 25, 2021 to Mar 22, 2022
Corporate clients · unset to 5.0
Jun 25, 2021 to Mar 22, 2022
HNW clients · 236 to 280
Jun 25, 2021 to Mar 22, 2022
Pension plan clients · 6 to 18
Jun 25, 2021 to Mar 22, 2022
Assets in custody · $72.9M to $54.9M
Jun 25, 2021 to Mar 22, 2022
Employees · 7 to 8
Jun 25, 2021 to Mar 22, 2022
Financial planning clients · 11-25 to 26-50
Jun 25, 2021 to Mar 22, 2022
State-registered IARs · 7 to 8
Jun 25, 2021 to Mar 22, 2022
Discretionary RAUM · $801M to $937M
Jun 25, 2021 to Mar 22, 2022
HNW RAUM · $538M to $680M
Jun 25, 2021 to Mar 22, 2022
Individual RAUM · $263M to $251M
Jun 25, 2021 to Mar 22, 2022
Non-discretionary RAUM · $20.4M to $21.1M
Jun 25, 2021 to Mar 22, 2022
Pension RAUM · $4.1M to $7.1M
Jun 25, 2021 to Mar 22, 2022
RAUM · $821M to $958M
Jun 25, 2021 to Mar 22, 2022
Accounts · 1,029 to 2,550
Dec 15, 2020 to Feb 24, 2021
HNW clients · 145 to 236
Dec 15, 2020 to Feb 24, 2021
Individual clients · 856 to 797
Dec 15, 2020 to Feb 24, 2021
Pension plan clients · 5 to 6
Dec 15, 2020 to Feb 24, 2021
Assets in custody · unset to 72863573.0
Dec 15, 2020 to Feb 24, 2021
Custody of client assets · false to true
Dec 15, 2020 to Feb 24, 2021
Financial planning clients · 1-10 to 11-25
Dec 15, 2020 to Feb 24, 2021

Signals

10 dated events

K•••••• A•• C•••••• left S•••••• A••••••• for M••••• G••••• A••••••• I••• (registered 2022-05-26)
Jul 5, 2023 · Advisor changed firm · fact
M••••••• B•••••• left S•••••• A••••••• for M••••• G••••• A••••••• I••• (registered 2024-09-17)
Jul 5, 2023 · Advisor changed firm · fact
L••• J• B•••••• left S•••••• A••••••• for M••••• G••••• A••••••• I••• (registered 2022-06-17)
Jul 5, 2023 · Advisor changed firm · fact
S•••••• A•••••••'s advisors moved to M••••• G••••• A••••••• I••• (Portage, MI): 3 of 3 registered, on the same day
Jul 5, 2023 · Firm absorbed (people side) · derived
S•••••• N••••••••• B••• left S•••••• A••••••• for M••••• G••••• A••••••• I••• (registered 2022-05-25)
Mar 10, 2023 · Advisor changed firm · fact
E•••••••• F•••••• Y••••• left S•••••• A••••••• for M••••• G••••• A••••••• I••• (registered 2022-05-24)
Mar 10, 2023 · Advisor changed firm · fact
S•••• M•••••• W••••••• left S•••••• A••••••• for M••••• G••••• A••••••• I••• (registered 2022-05-24)
Mar 10, 2023 · Advisor changed firm · fact
B•••• W••••• K••••••••• left S•••••• A••••••• for M••••• G••••• A••••••• I••• (registered 2022-05-24)
Mar 10, 2023 · Advisor changed firm · fact
S•••••• A•••••••'s advisors moved to M••••• G••••• A••••••• I••• (Portage, MI): 4 of 7 registered, on the same day
Mar 10, 2023 · Firm absorbed (people side) · derived
S•••••• A••••••• S••••••• filed its initial SEC registration (Form ADV)
Nov 4, 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