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
A•••• F•••••••• M•••••••••
Legal name A•••• F•••••••• M••••••••• L••
Latest filing Mar 4, 2026
First filing on the tape Jan 24, 2012 · 4 filings
SEC status approved since May 20, 2025
RAUM
$121M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$121M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$121M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$121M as of Mar 4, 2026
Jan 24, 2012$50.0M then
HNW client RAUM$76.8M as of Mar 4, 2026
Apr 18, 2025$51.5M then
State-registered IARs (5.B.3)1 as of Mar 4, 2026
Jan 24, 20120 then
Employees (5.A)1 as of Mar 4, 2026
Apr 18, 20251 then
Private funds: no history
RAUM +5.8% over the last fiscal yearIARs 1 to 1
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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 288derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $226,136derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $37.4M, 127 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$76.8M63%
- Individuals$44.4M37%
- Individual clients
- 250reported
- HNW clients
- 38reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 536reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $37.4M for 127 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• S•••••• A••••Certified Financial Planner | Oxford, Mi | Nov 17, 2010 | 17 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• K••••••• S•••••• · Managing Membercontrolsince 03/2010 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 4, 2026HNW share of RAUM moved from 45.0% to 63.0% between the annual amendments of 2025-04-18 and 2026-03-04peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 433 to 536Apr 18, 2025 to Mar 4, 2026
- HNW clients · 25 to 38Apr 18, 2025 to Mar 4, 2026
- Individual clients · 222 to 250Apr 18, 2025 to Mar 4, 2026
- Assets in custody · $4.0M to $37.4MApr 18, 2025 to Mar 4, 2026
- Discretionary RAUM · $115M to $121MApr 18, 2025 to Mar 4, 2026
- HNW RAUM · $51.5M to $76.8MApr 18, 2025 to Mar 4, 2026
- Individual RAUM · $63.1M to $44.4MApr 18, 2025 to Mar 4, 2026
- RAUM · $115M to $121MApr 18, 2025 to Mar 4, 2026
- Accounts · 600 to 433Mar 28, 2012 to Apr 18, 2025
- Advisory employees · unset to 1.0Mar 28, 2012 to Apr 18, 2025
- Advisory activities · 2 to 1Mar 28, 2012 to Apr 18, 2025
- BD registered reps · unset to 1.0Mar 28, 2012 to Apr 18, 2025
- Business name · A•••• F•••••••• M••••••••• L•• to A•••• F•••••••• M•••••••••Mar 28, 2012 to Apr 18, 2025
- HNW clients · unset to 25.0Mar 28, 2012 to Apr 18, 2025
- Individual clients · unset to 222.0Mar 28, 2012 to Apr 18, 2025
- Assets in custody · unset to 3950000.0Mar 28, 2012 to Apr 18, 2025
- Custody of client assets · false to trueMar 28, 2012 to Apr 18, 2025
- Employees · unset to 1.0Mar 28, 2012 to Apr 18, 2025
- Financial planning clients · 1-10 to Mar 28, 2012 to Apr 18, 2025
- State-registered IARs · 0 to 1Mar 28, 2012 to Apr 18, 2025
- Other offices · unset to 0.0Mar 28, 2012 to Apr 18, 2025
- Discretionary RAUM · $50.0M to $115MMar 28, 2012 to Apr 18, 2025
- HNW RAUM · unset to 51483050.0Mar 28, 2012 to Apr 18, 2025
- Individual RAUM · unset to 63102288.0Mar 28, 2012 to Apr 18, 2025
- RAUM · $50.0M to $115MMar 28, 2012 to Apr 18, 2025
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.
How to reach
public business contact points only, each with its source
- Business email
- s•••••@a••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- s••••@a••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 248-572-4731reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-207-3536reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.a••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 248-572-4731reportedpublic 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
- $121Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026