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
M••••••• O•••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Mar 30, 2012 · 22 filings
SEC status approved since Sep 6, 2011
RAUM
$914M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$877M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$914M as of Mar 25, 2026
Mar 30, 2012$220M then
HNW client RAUM$806M as of Mar 25, 2026
Mar 28, 2018$62.9M then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 30, 20120 then
Employees (5.A)9 as of Mar 25, 2026
Mar 14, 20137 then
Private funds: no history
RAUM +16% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $763M, 257 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$806M88%
- Individuals$70.6M7.7%
- Pension and profit-sharing plans$16.6M1.8%
- Charitable organizations$10.9M1.2%
- State and municipal entities$9.5M1.0%
- Individual clients
- 293reported
- HNW clients
- 160reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 457reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $763M for 257 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• M•••••• · Chief Compliance Officer And Presidentcontrolsince 01/2010 · 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.
What changed
consecutive filings, newest first
- Accounts · 433 to 457Mar 14, 2025 to Mar 25, 2026
- Advisory employees · 1 to 4Mar 14, 2025 to Mar 25, 2026
- HNW clients · 146 to 160Mar 14, 2025 to Mar 25, 2026
- Individual clients · 283 to 293Mar 14, 2025 to Mar 25, 2026
- Assets in custody · $657M to $763MMar 14, 2025 to Mar 25, 2026
- Discretionary RAUM · $787M to $914MMar 14, 2025 to Mar 25, 2026
- HNW RAUM · $684M to $806MMar 14, 2025 to Mar 25, 2026
- Individual RAUM · $71.2M to $70.6MMar 14, 2025 to Mar 25, 2026
- Pension RAUM · $14.4M to $16.6MMar 14, 2025 to Mar 25, 2026
- RAUM · $787M to $914MMar 14, 2025 to Mar 25, 2026
- Accounts · 423 to 433Mar 6, 2024 to Mar 14, 2025
- HNW clients · 129 to 146Mar 6, 2024 to Mar 14, 2025
- Individual clients · 290 to 283Mar 6, 2024 to Mar 14, 2025
- Assets in custody · $546M to $657MMar 6, 2024 to Mar 14, 2025
- Employees · 8 to 9Mar 6, 2024 to Mar 14, 2025
- Financial planning clients · unset to Mar 6, 2024 to Mar 14, 2025
- Discretionary RAUM · $678M to $787MMar 6, 2024 to Mar 14, 2025
- HNW RAUM · $581M to $684MMar 6, 2024 to Mar 14, 2025
- Individual RAUM · $67.9M to $71.2MMar 6, 2024 to Mar 14, 2025
- Pension RAUM · $12.4M to $14.4MMar 6, 2024 to Mar 14, 2025
- RAUM · $678M to $787MMar 6, 2024 to Mar 14, 2025
- Accounts · 399 to 423Mar 9, 2023 to Mar 6, 2024
- HNW clients · 111 to 129Mar 9, 2023 to Mar 6, 2024
- Individual clients · 284 to 290Mar 9, 2023 to Mar 6, 2024
- Assets in custody · $466M to $546MMar 9, 2023 to Mar 6, 2024
- Discretionary RAUM · $566M to $678MMar 9, 2023 to Mar 6, 2024
- HNW RAUM · $477M to $581MMar 9, 2023 to Mar 6, 2024
- Individual RAUM · $64.5M to $67.9MMar 9, 2023 to Mar 6, 2024
- Pension RAUM · $10.6M to $12.4MMar 9, 2023 to Mar 6, 2024
- RAUM · $566M to $678MMar 9, 2023 to Mar 6, 2024
- Accounts · 394 to 399Mar 11, 2022 to Mar 9, 2023
- HNW clients · 126 to 111Mar 11, 2022 to Mar 9, 2023
- Individual clients · 264 to 284Mar 11, 2022 to Mar 9, 2023
- Assets in custody · $539M to $466MMar 11, 2022 to Mar 9, 2023
- Discretionary RAUM · $665M to $566MMar 11, 2022 to Mar 9, 2023
- HNW RAUM · $569M to $477MMar 11, 2022 to Mar 9, 2023
- Individual RAUM · $66.2M to $64.5MMar 11, 2022 to Mar 9, 2023
- Pension RAUM · $13.3M to $10.6MMar 11, 2022 to Mar 9, 2023
- RAUM · $665M to $566MMar 11, 2022 to Mar 9, 2023
- Accounts · 379 to 394Mar 16, 2021 to Mar 11, 2022
Signals
1 dated events
- M••••••• O•••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 29, 2012 · Succession (Item 4) · 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
- Principal office phone
- 313-962-0787reportedpublic record, Form ADV, Mar 25, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026