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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SEC-registered adviser
S••• M••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 9, 2012 · 22 filings
SEC status approved since Sep 16, 2009
RAUM
$529M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
92%
$486M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$529M as of Mar 26, 2026
Mar 9, 2012$170M then
HNW client RAUM$461M as of Mar 26, 2026
Mar 14, 2018$339M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Mar 9, 20120 then
Employees (5.A)3 as of Mar 26, 2026
Mar 22, 20131 then
Private funds: no history
RAUM -17% over the last fiscal year+5.2% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $600,081derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- High-net-worth individuals$461M87%
- Charitable organizations$30.1M5.7%
- Individuals$25.0M4.7%
- Corporations and businesses$12.9M2.4%
- Individual clients
- 164reported
- HNW clients
- 90reported
- Pension plan clients
- 0reported
- Charitable clients
- 18reported
- Accounts
- 881reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• A••••• M••••Certified Financial Planner | Holland, Mi | Aug 25, 2010 | 30 y | 0 |
| B••••• L• P•••••• | Holland, Mi | May 16, 2018 | 24 y | 0 |
| R•••••• J•••• V••••••••Chartered Financial Consultant | Holland, Mi | Nov 8, 2018 | 16 y | 3 |
| L••• S••••• M•••• | Holland, Mi | Jan 9, 2026 | 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
- R•••••• J•••• V•••••••• from A••••••••• F•••••••• S•••••••• L••Nov 8, 2018 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• S•••••• A••••• · Managing Member/Chief Compliance Officercontrolsince 08/2009 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Holland, Mi · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 26, 2026discretionary share of RAUM moved from 51.0% to 81.0% between the annual amendments of 2025-03-12 and 2026-03-26peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 805 to 881Mar 12, 2025 to Mar 26, 2026
- Advisory employees · 2 to 3Mar 12, 2025 to Mar 26, 2026
- Charity clients · 12 to 18Mar 12, 2025 to Mar 26, 2026
- HNW clients · 83 to 90Mar 12, 2025 to Mar 26, 2026
- Individual clients · 169 to 164Mar 12, 2025 to Mar 26, 2026
- Employees · 2 to 3Mar 12, 2025 to Mar 26, 2026
- State-registered IARs · 2 to 3Mar 12, 2025 to Mar 26, 2026
- Discretionary RAUM · $327M to $427MMar 12, 2025 to Mar 26, 2026
- HNW RAUM · $572M to $461MMar 12, 2025 to Mar 26, 2026
- Individual RAUM · $27.8M to $25.0MMar 12, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $309M to $101MMar 12, 2025 to Mar 26, 2026
- RAUM · $636M to $529MMar 12, 2025 to Mar 26, 2026
- Accounts · 720 to 805Mar 28, 2024 to Mar 12, 2025
- Charity clients · 15 to 12Mar 28, 2024 to Mar 12, 2025
- Corporate clients · 7 to 10Mar 28, 2024 to Mar 12, 2025
- HNW clients · 84 to 83Mar 28, 2024 to Mar 12, 2025
- Individual clients · 135 to 169Mar 28, 2024 to Mar 12, 2025
- Financial planning clients · 101-250 to 101-250Mar 28, 2024 to Mar 12, 2025
- Discretionary RAUM · $277M to $327MMar 28, 2024 to Mar 12, 2025
- HNW RAUM · $515M to $572MMar 28, 2024 to Mar 12, 2025
- Individual RAUM · $30.7M to $27.8MMar 28, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $297M to $309MMar 28, 2024 to Mar 12, 2025
- RAUM · $574M to $636MMar 28, 2024 to Mar 12, 2025
- Accounts · 658 to 720Mar 7, 2023 to Mar 28, 2024
- Charity clients · 14 to 15Mar 7, 2023 to Mar 28, 2024
- Corporate clients · 8 to 7Mar 7, 2023 to Mar 28, 2024
- HNW clients · 71 to 84Mar 7, 2023 to Mar 28, 2024
- Individual clients · 140 to 135Mar 7, 2023 to Mar 28, 2024
- Discretionary RAUM · $235M to $277MMar 7, 2023 to Mar 28, 2024
- HNW RAUM · $401M to $515MMar 7, 2023 to Mar 28, 2024
- Individual RAUM · $29.8M to $30.7MMar 7, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $219M to $297MMar 7, 2023 to Mar 28, 2024
- RAUM · $454M to $574MMar 7, 2023 to Mar 28, 2024
- Accounts · 627 to 658Mar 9, 2022 to Mar 7, 2023
- Charity clients · 12 to 14Mar 9, 2022 to Mar 7, 2023
- Corporate clients · 6 to 8Mar 9, 2022 to Mar 7, 2023
- HNW clients · 70 to 71Mar 9, 2022 to Mar 7, 2023
- Individual clients · 116 to 140Mar 9, 2022 to Mar 7, 2023
- Discretionary RAUM · $267M to $235MMar 9, 2022 to Mar 7, 2023
- HNW RAUM · $490M to $401MMar 9, 2022 to Mar 7, 2023
Signals
1 dated events
- S••• M••••• L•• reported RAUM $573.9M, up 26% from $454.3M (2023-03-07 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
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
- 616-355-3500reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- s•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 616-355-3500reportedpublic record, Form ADV, Mar 26, 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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026