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
R••••••• B•••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Nov 22, 2011 · 33 filings
SEC status approved since Sep 28, 2011
RAUM
$241M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$232M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$60.2M
derived; firm RAUM over IAPD count
Employees
20
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$241M as of Mar 30, 2026
Feb 23, 2012$132M then
HNW client RAUM$115M as of Mar 30, 2026
Mar 30, 2018$139M then
State-registered IARs (5.B.3)5 as of Mar 30, 2026
Feb 23, 20120 then
Employees (5.A)20 as of Mar 30, 2026
Jan 18, 20133 then
Private funds: no history
RAUM -0.5% over the last fiscal year+6.1% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $60.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 166derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $128,944derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$117M49%
- High-net-worth individuals$115M48%
- Charitable organizations$8.4M3.5%
- Individual clients
- 566reported
- HNW clients
- 99reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 1,866reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••••• C••••••Certified Financial Planner | Jackson, Mi | Sep 28, 2011 | 26 y | 0 |
| D•••• S•••• R•••••••Chartered Financial Consultant | Jackson, Mi | Sep 28, 2011 | 34 y | 1 |
| D••••• J• V••••••••Certified Financial Planner | Jackson, Mi | Jul 17, 2012 | 14 y | 0 |
| A•••••• F••••••• V•• W•• | Jackson, Mi | Apr 2, 2021 | 10 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
- D•••• S•••• R••••••• from S••Sep 28, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• M••••••• J••••• · Senior Vice President Of Investment Servicescontrolsince 09/2011 · owns 10% to 25%
- P•••••• G•••• M•••••• · Chief Compliance Officercontrolsince 12/2018 · owns less than 5%
- R•••••••• D••••• S•••• · Presidentcontrolsince 09/2011 · owns 50% to 75%
Related persons
Schedule D 7.A
- R•• P• M••••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Jackson, Mi · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,899 to 1,866Apr 1, 2025 to Mar 30, 2026
- Charity clients · 6 to 2Apr 1, 2025 to Mar 30, 2026
- HNW clients · 96 to 99Apr 1, 2025 to Mar 30, 2026
- Individual clients · 606 to 566Apr 1, 2025 to Mar 30, 2026
- Employees · 17 to 20Apr 1, 2025 to Mar 30, 2026
- State-registered IARs · 4 to 5Apr 1, 2025 to Mar 30, 2026
- Discretionary RAUM · $242M to $241MApr 1, 2025 to Mar 30, 2026
- HNW RAUM · $111M to $115MApr 1, 2025 to Mar 30, 2026
- Individual RAUM · $119M to $117MApr 1, 2025 to Mar 30, 2026
- RAUM · $242M to $241MApr 1, 2025 to Mar 30, 2026
- Accounts · 2,092 to 1,899Sep 11, 2024 to Apr 1, 2025
- Advisory employees · 5 to 7Sep 11, 2024 to Apr 1, 2025
- Charity clients · 5 to 6Sep 11, 2024 to Apr 1, 2025
- HNW clients · 105 to 96Sep 11, 2024 to Apr 1, 2025
- Individual clients · 674 to 606Sep 11, 2024 to Apr 1, 2025
- Employees · 18 to 17Sep 11, 2024 to Apr 1, 2025
- Financial planning clients · 0 to 0Sep 11, 2024 to Apr 1, 2025
- Discretionary RAUM · $232M to $242MSep 11, 2024 to Apr 1, 2025
- HNW RAUM · $112M to $111MSep 11, 2024 to Apr 1, 2025
- Individual RAUM · $112M to $119MSep 11, 2024 to Apr 1, 2025
- RAUM · $232M to $242MSep 11, 2024 to Apr 1, 2025
- Accounts · 2,166 to 2,092Oct 11, 2023 to Mar 29, 2024
- HNW clients · 92 to 105Oct 11, 2023 to Mar 29, 2024
- Individual clients · 631 to 674Oct 11, 2023 to Mar 29, 2024
- Employees · 17 to 18Oct 11, 2023 to Mar 29, 2024
- Discretionary RAUM · $201M to $232MOct 11, 2023 to Mar 29, 2024
- HNW RAUM · $91.5M to $112MOct 11, 2023 to Mar 29, 2024
- Individual RAUM · $101M to $112MOct 11, 2023 to Mar 29, 2024
- RAUM · $201M to $232MOct 11, 2023 to Mar 29, 2024
- Accounts · 2,549 to 2,166Mar 31, 2022 to Mar 31, 2023
- Advisory activities · 2 to 3Mar 31, 2022 to Mar 31, 2023
- Charity clients · 6 to 5Mar 31, 2022 to Mar 31, 2023
- HNW clients · 44 to 92Mar 31, 2022 to Mar 31, 2023
- Individual clients · 699 to 631Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $274M to $201MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $88.8M to $91.5MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $174M to $101MMar 31, 2022 to Mar 31, 2023
- RAUM · $274M to $201MMar 31, 2022 to Mar 31, 2023
- Accounts · 2,086 to 2,549Oct 8, 2021 to Mar 31, 2022
- Advisory employees · 3 to 5Oct 8, 2021 to Mar 31, 2022
Signals
2 dated events
- Michael John Richmond (Chief Compliance Officer) no longer on Schedule A of R••••••• B•••••••• I••• (listed 2018-03-30, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Matthew Gary Pirner (Chief Compliance Officer) appeared on Schedule A of R••••••• B•••••••• I•••Mar 29, 2019 · Control person joined · 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
- Business phone
- 517-435-4040reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 517-905-6030reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/393013reportedpublic record, Form ADV, Sep 19, 2026
- Website
- R•••••••B•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (517) 435-4040reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- richmondbrothers.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $60.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026