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
R••••••••• R••••••••• L••
Latest filing Mar 4, 2026
First filing on the tape Sep 27, 2018 · 11 filings
SEC status approved since Oct 29, 2018
RAUM
$166M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$166M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$41.5M
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
11 filings and snapshots on the tape
RAUM$166M as of Mar 4, 2026
Feb 21, 2019$112M then
HNW client RAUM$85.5M as of Mar 4, 2026
Feb 21, 2019$28.5M then
State-registered IARs (5.B.3)3 as of Mar 4, 2026
Feb 21, 20193 then
Employees (5.A)3 as of Mar 4, 2026
Feb 21, 20198 then
Private funds: no history
RAUM +16% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 4, 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
- 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
- $41.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $180,401derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$85.5M51%
- Individuals$80.7M49%
- Individual clients
- 356reported
- HNW clients
- 35reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 921reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| D••••• W•••• C•••••• | Auburn Hills, Mi | Oct 28, 2025 | 15 y | 0 |
| D•••• M••••• B••••Chartered Financial Consultant | Auburn Hills, Mi | Nov 13, 2025 | 40 y | 1 |
| D•••• J•••• B•••• | Auburn Hills, Mi | Nov 18, 2025 | 16 y | 1 |
| J•••• C•••• | Auburn Hills, Mi | Mar 2, 2026 | 10 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- S••••• R••• M•••••• to F••••• W••••• M••••••••• L•••Nov 2, 2023 · RIA to a newly registered adviser
- P•••• W•••••• D••••• to F•••••••• E••••• S•••••••• I•••Jun 19, 2015 · Other
Joined, latest
- D•••• J•••• B•••• from G••••• F•••••••• P•••••• C••••••• I•••Nov 18, 2025 · Other
- D•••• M••••• B•••• from G••••• F•••••••• P•••••• C••••••• I•••Nov 13, 2025 · Other
- P•••• W•••••• D••••• from G••••••• A•••••••• L••May 22, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• D••••• M••••• · Managing Member And Chief Compliance Officercontrolsince 10/2009 · 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 |
|---|---|---|---|---|---|
| Auburn Hills, Mi · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,008 to 921Jan 31, 2025 to Mar 4, 2026
- HNW clients · 31 to 35Jan 31, 2025 to Mar 4, 2026
- Individual clients · 343 to 356Jan 31, 2025 to Mar 4, 2026
- Financial planning clients · 251-500 to 0Jan 31, 2025 to Mar 4, 2026
- Discretionary RAUM · $143M to $166MJan 31, 2025 to Mar 4, 2026
- HNW RAUM · $63.8M to $85.5MJan 31, 2025 to Mar 4, 2026
- Individual RAUM · $79.2M to $80.7MJan 31, 2025 to Mar 4, 2026
- RAUM · $143M to $166MJan 31, 2025 to Mar 4, 2026
- Accounts · 981 to 1,008Feb 27, 2024 to Jan 31, 2025
- HNW clients · 29 to 31Feb 27, 2024 to Jan 31, 2025
- Individual clients · 323 to 343Feb 27, 2024 to Jan 31, 2025
- Financial planning clients · 251-500 to 251-500Feb 27, 2024 to Jan 31, 2025
- Discretionary RAUM · $129M to $143MFeb 27, 2024 to Jan 31, 2025
- HNW RAUM · $50.7M to $63.8MFeb 27, 2024 to Jan 31, 2025
- Individual RAUM · $78.5M to $79.2MFeb 27, 2024 to Jan 31, 2025
- RAUM · $129M to $143MFeb 27, 2024 to Jan 31, 2025
- Accounts · 1,047 to 981Feb 13, 2023 to Feb 27, 2024
- Individual clients · 332 to 323Feb 13, 2023 to Feb 27, 2024
- Discretionary RAUM · $119M to $129MFeb 13, 2023 to Feb 27, 2024
- HNW RAUM · $47.9M to $50.7MFeb 13, 2023 to Feb 27, 2024
- Individual RAUM · $70.6M to $78.5MFeb 13, 2023 to Feb 27, 2024
- RAUM · $119M to $129MFeb 13, 2023 to Feb 27, 2024
- Accounts · 1,061 to 1,047Mar 2, 2022 to Feb 13, 2023
- HNW clients · 38 to 29Mar 2, 2022 to Feb 13, 2023
- Individual clients · 327 to 332Mar 2, 2022 to Feb 13, 2023
- Discretionary RAUM · $146M to $119MMar 2, 2022 to Feb 13, 2023
- HNW RAUM · $68.9M to $47.9MMar 2, 2022 to Feb 13, 2023
- Individual RAUM · $77.3M to $70.6MMar 2, 2022 to Feb 13, 2023
- RAUM · $146M to $119MMar 2, 2022 to Feb 13, 2023
- Accounts · 1,049 to 1,061Feb 24, 2021 to Mar 2, 2022
- HNW clients · 33 to 38Feb 24, 2021 to Mar 2, 2022
- Individual clients · 345 to 327Feb 24, 2021 to Mar 2, 2022
- Employees · 10 to 3Feb 24, 2021 to Mar 2, 2022
- Discretionary RAUM · $134M to $146MFeb 24, 2021 to Mar 2, 2022
- HNW RAUM · $56.5M to $68.9MFeb 24, 2021 to Mar 2, 2022
- Individual RAUM · $77.1M to $77.3MFeb 24, 2021 to Mar 2, 2022
- RAUM · $134M to $146MFeb 24, 2021 to Mar 2, 2022
- Accounts · 1,138 to 1,049Jun 18, 2020 to Feb 24, 2021
- HNW clients · 19 to 33Jun 18, 2020 to Feb 24, 2021
- Individual clients · 357 to 345Jun 18, 2020 to Feb 24, 2021
Signals
2 dated events
- S••••• R••• M•••••• left R••••••••• R••••••••• L•• for F••••• W••••• M••••••••• L••• (registered 2023-11-13)Nov 2, 2023 · Advisor changed firm · fact
- R••••••••• R••••••••• L•• filed its initial SEC registration (Form ADV)Sep 27, 2018 · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 877-732-5751reportedpublic record, Form ADV, Mar 4, 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
- $41.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026