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
F••••• C•••••••••
Latest filing Jan 27, 2024
First filing on the tape Mar 9, 2012 · 14 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Feb 15, 2022
Feb 15, 2018$0 then
State-registered IARs (5.B.3)2 as of Jan 27, 2024
Mar 9, 20120 then
Employees (5.A)2 as of Jan 27, 2024
Feb 27, 20132 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 27, 2024; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourlyreportedItem 5.E
- Advisory activities
- otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
- C•••• M•••••• A•••• to C••••••••• M••••••••• A•••••••• I•••Nov 7, 2024 · Other
Joined, latest
- C•••• M•••••• A•••• from C••••••••• M••••••••• A•••••••• I•••Oct 21, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• C••••• M•••••• · President/Chief Compliance Officercontrolsince 05/1999 · owns 50% to 75%
- N•••••• J•••• F•••••• · Vice Presidentcontrolsince 05/1999 · owns 50% to 75%
Related persons
Schedule D 7.A
- C••••••••• M••••••••• A•••••••• I•••investment advisernRAUM $162M
- C••••••••• M••••••••• F•••••••• S•••••••• I•••broker-dealerreal estaten
Advisers that list F••••• C••••••••• as a related person
- 125936 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Troy, Mi · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW RAUM · 0.0 to unsetFeb 15, 2022 to Jan 27, 2023
- Other offices · unset to 0.0Jan 26, 2017 to Feb 15, 2018
- HNW RAUM · unset to 0.0Jan 26, 2017 to Feb 15, 2018
- Advisory employees · unset to 2.0Mar 9, 2012 to Feb 27, 2013
- BD registered reps · unset to 2.0Mar 9, 2012 to Feb 27, 2013
- Employees · unset to 2.0Mar 9, 2012 to Feb 27, 2013
- Financial planning clients · 0 to unsetMar 9, 2012 to Feb 27, 2013
- State-registered IARs · 0 to 2Mar 9, 2012 to Feb 27, 2013
Signals
1 dated events
- C•••• M•••••• A•••• left F••••• C••••••••• for C••••••••• M••••••••• A•••••••• I••• (registered 2024-03-11)Nov 7, 2024 · Advisor changed firm · 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