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
L••••• P••••••• • A••••••••• I•••
Latest filing Oct 30, 2023
First filing on the tape Jan 18, 2022 · 13 filings
RAUM
$112M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
85%
$95.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$112M as of Mar 22, 2023
Mar 14, 2022$106M then
HNW client RAUM$66.5M as of Mar 22, 2023
Mar 14, 2022$59.8M then
State-registered IARs (5.B.3)3 as of Mar 22, 2023
Mar 14, 20224 then
Employees (5.A)3 as of Mar 22, 2023
Mar 14, 20224 then
Private funds: no history
RAUM +6.1% over the last fiscal yearIARs 4 to 1
Practice profile
derived from the filing of Oct 30, 2023; every figure names its basis
- RAUM per advisor
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 130derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $850,837derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $87.3MreportedItem 5.I
- Custody
- $81.4M, 108 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$66.5M59%
- Individuals$29.0M26%
- Pension and profit-sharing plans$16.8M15%
- Individual clients
- 106reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 132reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $81.4M for 108 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- E•••••••• A••• B•••••• to A••••••• A•••••••• L••Dec 31, 2021 · RIA to RIA
- M•••••• R••••••• C••• to A••••••• A•••••••• L••Dec 31, 2021 · RIA to RIA
- J••• D•••• H••••••• to R•••• I••••••••• A••••••• L••Jun 27, 2018 · RIA to affiliated broker-dealer or bank
- V•••••• T•••• L• to O••••••••• • C•• I•••Feb 10, 2017 · Other
- M•••••• P••••• E••••••• to R••••••••• C•••••• M••••••••• L••Feb 9, 2017 · Other
Joined, latest
- E•••••••• A••• B•••••• from V••• F•••••••• A•••••••• I•••Jan 27, 2020 · Affiliated broker-dealer or bank to independent RIA
- J••• D•••• H••••••• from W•••• F•••• A•••••••Dec 13, 2017 · Wirehouse to independent RIA
- V•••••• T•••• L• from R•••• A•••••••• L••Jan 14, 2015 · Other
- M•••••• P••••• E••••••• from R•••• I••••••••• A••••••• L••Oct 17, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A••••••• A•••••••• L••Dec 31, 2021 · Grand Rapids, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••• M••••••• L•• · President, Trustee, Ccocontrolsince 09/2022 · owns less than 5%
- W•••• C••••• S•• · Trusteesince 09/2022 · owns less than 5%
Entity owners
- M•••••• W••• A•• C•••• W••• C••••••••• T•••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- M•••••• L• W•••real estaten
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 3 to 1May 9, 2023 to May 22, 2023
- Employees · 3 to 1May 9, 2023 to May 22, 2023
- Insurance-licensed employees · 2 to 1May 9, 2023 to May 22, 2023
- State-registered IARs · 3 to 1May 9, 2023 to May 22, 2023
- Accounts · 348 to 132Nov 7, 2022 to Mar 22, 2023
- Individual clients · 99 to 106Nov 7, 2022 to Mar 22, 2023
- Assets in custody · $21.3M to $81.4MNov 7, 2022 to Mar 22, 2023
- Insurance-licensed employees · 0 to 2Nov 7, 2022 to Mar 22, 2023
- Discretionary RAUM · $85.3M to $95.5MNov 7, 2022 to Mar 22, 2023
- HNW RAUM · $59.8M to $66.5MNov 7, 2022 to Mar 22, 2023
- Individual RAUM · $26.8M to $29.0MNov 7, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $20.6M to $16.8MNov 7, 2022 to Mar 22, 2023
- Pension RAUM · $19.3M to $16.8MNov 7, 2022 to Mar 22, 2023
- RAUM · $106M to $112MNov 7, 2022 to Mar 22, 2023
- Related adviser · false to trueNov 7, 2022 to Mar 22, 2023
- Advisory employees · 4 to 3Sep 6, 2022 to Nov 7, 2022
- Employees · 4 to 3Sep 6, 2022 to Nov 7, 2022
- State-registered IARs · 4 to 3Sep 6, 2022 to Nov 7, 2022
- Accounts · 370 to 348Feb 22, 2022 to Mar 14, 2022
- HNW clients · unset to 24.0Feb 22, 2022 to Mar 14, 2022
- Individual clients · 125 to 99Feb 22, 2022 to Mar 14, 2022
- Assets in custody · $65.0M to $21.3MFeb 22, 2022 to Mar 14, 2022
- Discretionary RAUM · $102M to $85.3MFeb 22, 2022 to Mar 14, 2022
- HNW RAUM · unset to 59816185.0Feb 22, 2022 to Mar 14, 2022
- Individual RAUM · $102M to $26.8MFeb 22, 2022 to Mar 14, 2022
- Non-discretionary RAUM · $21.0M to $20.6MFeb 22, 2022 to Mar 14, 2022
- Pension RAUM · $21.0M to $19.3MFeb 22, 2022 to Mar 14, 2022
- RAUM · $123M to $106MFeb 22, 2022 to Mar 14, 2022
Signals
3 dated events
- E•••••••• A••• B•••••• no longer registered at L••••• P••••••• • A••••••••• I•••; no later IA registration on IAPDMay 22, 2023 · Advisor departure · fact
- M•••••• R••••••• C••• no longer registered at L••••• P••••••• • A••••••••• I•••; no later IA registration on IAPDMay 22, 2023 · Advisor departure · fact
- L••••• P••••••• • A••••••••• I••• filed its initial SEC registration (Form ADV)Jan 18, 2022 · 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.
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