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Former SEC-registered adviser

T•• F••••• G••••• L••

Former SEC-registered adviserSouthfield, MichiganCRD 154065SEC 801-71807IAPD
Latest filing Mar 27, 2018
First filing on the tape Mar 23, 2012 · 12 filings
RAUM
$731M
reported, Item 5.F
Discretionary
16%
of RAUM
Private clients
48%
$354M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$119M gross assets
History
12 filings and snapshots on the tape
RAUM$731M as of Mar 27, 2018
Mar 23, 2012$690M then
HNW client RAUM: $352M
State-registered IARs (5.B.3)1 as of Mar 27, 2018
Mar 23, 20120 then
Employees (5.A)11 as of Mar 27, 2018
Mar 21, 201312 then
Private funds2 as of Mar 27, 2018
Mar 23, 20122 then
RAUM -2.1% over the last fiscal year-3.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2018; every figure names its basis
RAUM per advisor
$731MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$18.6MderivedHNW RAUM over HNW clients
Average account
$27.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
16%derivedof RAUM
Institutional
34%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
11.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.1%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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$611M, 24 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$352M48%
  • Charitable organizations$250M34%
  • Pooled investment vehicles$119M16%
  • Corporations and businesses$7.8M1.1%
  • Individuals$1.0M0.1%
Individual clients
n/areported
HNW clients
19reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
27reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$611M for 24 clientsreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• F••••• F•••••• F•••• L•Hedge Fund$62.8M26Mar 23, 2012
      T•• F••••• F•••••• M••••• F•••• L••Hedge Fund$56.4M3Mar 23, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• P••••• D•••• · Board Of M••••••Scontrol
        since 06/2007 · owns less than 5%
      • F•••••• P••••••• W•••••• · Board Of M••••••Scontrol
        since 05/2010 · owns less than 5%
      • H•••••• J••••• L•• · Chief Financial Officercontrol
        since 05/2012 · owns less than 5%
      • J••••• I••• J••• · Chief Executive Officer / Board Of M••••••Scontrol
        since 06/2007 · owns less than 5%
      • S••••••• J•••• F••••• · Board Of M••••••Scontrol
        since 06/2007 · owns less than 5%
      • W••••• B••••• B••••••• · Chief Compliance Officercontrol
        since 08/2010 · owns less than 5%
      • C•••••••• J••••• F••••• · Trusteecontrol
        since 05/2005 · owns F of J•••• F• C••••••• R•••••••• T••••
      • F•••••• M•••••••• M••••• · Trusteecontrol
        since 10/2005 · owns F of M••••••• M• F••••• R•••••••• T••••
      • F•••••• P••••••• W•••••• · Trusteecontrol
        since 09/1997 · owns F of P•••••• W•• F••••• R•••••••• T••••
      • S••••••• D••••• L••••••• · Trusteecontrol
        since 10/2006 · owns F of S•••••• F••••• M••••••••• T••••
      Entity owners
      • F•• M••••••• I••• · Managing Member
        direct · owns less than 5%
      • T•• H•••••••• I••• · Owner
        direct · owns 75% or more
      • J•••• F• C••••••• R•••••••• T•••• · Shareholder
        indirect · owns F of T•• H•••••••• I•••
      • M••••••• M• F••••• R•••••••• T•••• · Shareholder
        indirect · owns F of T•• H•••••••• I•••
      • P•••••• W•• F••••• R•••••••• T•••• · Shareholder
        indirect · owns F of T•• H•••••••• I•••
      • S•••••• F••••• M••••••••• T•••• · Shareholder
        indirect · owns F of T•• H•••••••• I•••
      Related persons
      Schedule D 7.A
      • F•• G•• L••
        pooled vehicle sponsorn
      • F•• M••••••• I•••
        pooled vehicle sponsorn
      • I•• J• J••••
        n
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 19 to 27
        Nov 13, 2017 to Mar 27, 2018
      • Advisory employees · 6 to 3
        Nov 13, 2017 to Mar 27, 2018
      • HNW clients · unset to 19.0
        Nov 13, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 3.0
        Nov 13, 2017 to Mar 27, 2018
      • Assets in custody · $631M to $611M
        Nov 13, 2017 to Mar 27, 2018
      • Employees · 15 to 11
        Nov 13, 2017 to Mar 27, 2018
      • Discretionary RAUM · $115M to $119M
        Nov 13, 2017 to Mar 27, 2018
      • HNW RAUM · unset to 352478664.0
        Nov 13, 2017 to Mar 27, 2018
      • Individual RAUM · unset to 1023637.0
        Nov 13, 2017 to Mar 27, 2018
      • Non-discretionary RAUM · $631M to $611M
        Nov 13, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 119264238.0
        Nov 13, 2017 to Mar 27, 2018
      • RAUM · $746M to $731M
        Nov 13, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Jun 1, 2017 to Nov 13, 2017
      • Accounts · 17 to 19
        Mar 23, 2016 to Mar 22, 2017
      • Advisory employees · 4 to 6
        Mar 23, 2016 to Mar 22, 2017
      • Assets in custody · $625M to $631M
        Mar 23, 2016 to Mar 22, 2017
      • Employees · 14 to 15
        Mar 23, 2016 to Mar 22, 2017
      • Discretionary RAUM · $127M to $115M
        Mar 23, 2016 to Mar 22, 2017
      • Non-discretionary RAUM · $625M to $631M
        Mar 23, 2016 to Mar 22, 2017
      • RAUM · $752M to $746M
        Mar 23, 2016 to Mar 22, 2017
      • Accounts · 16 to 17
        Oct 16, 2015 to Mar 23, 2016
      • Assets in custody · $682M to $625M
        Oct 16, 2015 to Mar 23, 2016
      • Employees · 13 to 14
        Oct 16, 2015 to Mar 23, 2016
      • Discretionary RAUM · $140M to $127M
        Oct 16, 2015 to Mar 23, 2016
      • Non-discretionary RAUM · $682M to $625M
        Oct 16, 2015 to Mar 23, 2016
      • RAUM · $822M to $752M
        Oct 16, 2015 to Mar 23, 2016
      • Assets in custody · $670M to $682M
        Jun 3, 2014 to Mar 23, 2015
      • Employees · 12 to 13
        Jun 3, 2014 to Mar 23, 2015
      • Discretionary RAUM · $142M to $140M
        Jun 3, 2014 to Mar 23, 2015
      • Non-discretionary RAUM · $670M to $682M
        Jun 3, 2014 to Mar 23, 2015
      • RAUM · $812M to $822M
        Jun 3, 2014 to Mar 23, 2015
      • Assets in custody · $645M to $670M
        Mar 21, 2013 to Mar 17, 2014
      • Discretionary RAUM · $134M to $142M
        Mar 21, 2013 to Mar 17, 2014
      • Non-discretionary RAUM · $645M to $670M
        Mar 21, 2013 to Mar 17, 2014
      • RAUM · $779M to $812M
        Mar 21, 2013 to Mar 17, 2014
      • Accounts · 17 to 16
        Jul 9, 2012 to Mar 21, 2013
      • Advisory employees · unset to 4.0
        Jul 9, 2012 to Mar 21, 2013
      • Advisory activities · 3 to 4
        Jul 9, 2012 to Mar 21, 2013
      • Assets in custody · $557M to $645M
        Jul 9, 2012 to Mar 21, 2013
      • Employees · unset to 12.0
        Jul 9, 2012 to Mar 21, 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