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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Former SEC-registered adviser

W•• A•••••••• L••

Former SEC-registered adviserNorthville, MichiganCRD 154761SEC 801-71775IAPD
Latest filing Mar 16, 2021
First filing on the tape Mar 20, 2012 · 21 filings
RAUM
$471M
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
45%
$211M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$471M as of Mar 16, 2021
Mar 20, 2012$131M then
HNW client RAUM$125M as of Mar 16, 2021
Mar 14, 2018$97.9M then
State-registered IARs (5.B.3)3 as of Mar 16, 2021
Mar 21, 20132 then
Employees (5.A)6 as of Mar 16, 2021
Mar 21, 20134 then
Private funds: no history
RAUM +0.2% over the last fiscal year+6.7% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 16, 2021; every figure names its basis
RAUM per advisor
$157MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
71derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$615,135derivedRAUM over accounts (5.F.2.f)
Discretionary
58%derivedof RAUM
Institutional
44%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.2%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
-20%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, 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
  • 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)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$200M48%
  • High-net-worth individuals$125M30%
  • Individuals$85.9M21%
  • Charitable organizations$6.8M1.6%
Individual clients
161reported
HNW clients
53reported
Pension plan clients
21reported
Charitable clients
1reported
Accounts
766reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W••••• D•••••• J••• · Managing Membercontrol
      since 07/2010 · owns 50% to 75%
    • W••••• J••••• M•••••• · Managing Member, Chief Compliance Officercontrol
      since 07/2010 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 767 to 766
      Jun 22, 2020 to Mar 16, 2021
    • Advisory employees · 4 to 3
      Jun 22, 2020 to Mar 16, 2021
    • BD registered reps · 5 to 2
      Jun 22, 2020 to Mar 16, 2021
    • Charity clients · unset to 1.0
      Jun 22, 2020 to Mar 16, 2021
    • HNW clients · 49 to 53
      Jun 22, 2020 to Mar 16, 2021
    • Individual clients · 217 to 161
      Jun 22, 2020 to Mar 16, 2021
    • Pension plan clients · 23 to 21
      Jun 22, 2020 to Mar 16, 2021
    • Employees · 8 to 6
      Jun 22, 2020 to Mar 16, 2021
    • State-registered IARs · 4 to 3
      Jun 22, 2020 to Mar 16, 2021
    • Discretionary RAUM · $257M to $271M
      Jun 22, 2020 to Mar 16, 2021
    • HNW RAUM · $113M to $125M
      Jun 22, 2020 to Mar 16, 2021
    • Individual RAUM · $90.4M to $85.9M
      Jun 22, 2020 to Mar 16, 2021
    • Non-discretionary RAUM · $213M to $200M
      Jun 22, 2020 to Mar 16, 2021
    • Pension RAUM · $213M to $200M
      Jun 22, 2020 to Mar 16, 2021
    • RAUM · $470M to $471M
      Jun 22, 2020 to Mar 16, 2021
    • Accounts · 617 to 767
      Jan 27, 2020 to Mar 4, 2020
    • Advisory employees · 2 to 4
      Jan 27, 2020 to Mar 4, 2020
    • Advisory activities · 5 to 6
      Jan 27, 2020 to Mar 4, 2020
    • BD registered reps · 4 to 5
      Jan 27, 2020 to Mar 4, 2020
    • HNW clients · 58 to 49
      Jan 27, 2020 to Mar 4, 2020
    • Individual clients · 186 to 217
      Jan 27, 2020 to Mar 4, 2020
    • Pension plan clients · 21 to 23
      Jan 27, 2020 to Mar 4, 2020
    • Assets in custody · 202430658.0 to unset
      Jan 27, 2020 to Mar 4, 2020
    • Custody of client assets · true to false
      Jan 27, 2020 to Mar 4, 2020
    • Employees · 6 to 8
      Jan 27, 2020 to Mar 4, 2020
    • State-registered IARs · 2 to 4
      Jan 27, 2020 to Mar 4, 2020
    • Discretionary RAUM · $202M to $257M
      Jan 27, 2020 to Mar 4, 2020
    • HNW RAUM · $98.0M to $113M
      Jan 27, 2020 to Mar 4, 2020
    • Individual RAUM · $60.5M to $90.4M
      Jan 27, 2020 to Mar 4, 2020
    • Non-discretionary RAUM · $177M to $213M
      Jan 27, 2020 to Mar 4, 2020
    • Pension RAUM · $177M to $213M
      Jan 27, 2020 to Mar 4, 2020
    • RAUM · $379M to $470M
      Jan 27, 2020 to Mar 4, 2020
    • Accounts · 543 to 617
      Oct 19, 2018 to Mar 8, 2019
    • BD registered reps · 3 to 4
      Oct 19, 2018 to Mar 8, 2019
    • HNW clients · 52 to 58
      Oct 19, 2018 to Mar 8, 2019
    • Individual clients · 174 to 186
      Oct 19, 2018 to Mar 8, 2019
    • Pension plan clients · 22 to 21
      Oct 19, 2018 to Mar 8, 2019
    • Assets in custody · $150M to $202M
      Oct 19, 2018 to Mar 8, 2019
    • Employees · 5 to 6
      Oct 19, 2018 to Mar 8, 2019
    • Discretionary RAUM · $203M to $202M
      Oct 19, 2018 to Mar 8, 2019
    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