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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

L•••••• C•••••• M••••••••• • I••

Former SEC-registered adviserAnn Arbor, MichiganCRD 161883SEC 801-74393IAPD
Latest filing Apr 15, 2015
First filing on the tape Feb 22, 2012 · 7 filings
RAUM
$323M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$323M gross assets
History
7 filings and snapshots on the tape
RAUM$323M as of Mar 30, 2015
Apr 1, 2013$255M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2015
Apr 1, 20131 then
Employees (5.A)3 as of Mar 30, 2015
Apr 1, 20134 then
Private funds2 as of Mar 30, 2015
Apr 1, 20132 then
RAUM +7.6% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 15, 2015; every figure names its basis
RAUM per advisor
$323MderivedRAUM 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
$162MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+7.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$323M, 2 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)
  • 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
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$323M for 2 clientsreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••••• P••••••• Q•• L•Hedge Fund$190M68Feb 22, 2012
      H••••••• P••••••• L•••Hedge Fund$133M82Feb 22, 2012
      S••••• M••••••• P•••••••• L•Hedge Fund$102M62May 27, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • G••••• P•••• E• · Secretarycontrol
        since 02/2012 · owns less than 5%
      • L••••••• J••••• J• · Presidentcontrol
        since 02/2012 · owns 75% or more
      • P•••••••• N•••• D• · Senior Vice President And Chief Compliance Officercontrol
        since 02/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Assets in custody · $300M to $323M
        Mar 18, 2014 to Mar 30, 2015
      • Discretionary RAUM · $300M to $323M
        Mar 18, 2014 to Mar 30, 2015
      • RAUM · $300M to $323M
        Mar 18, 2014 to Mar 30, 2015
      • Assets in custody · $255M to $300M
        Aug 2, 2013 to Mar 18, 2014
      • Employees · 4 to 3
        Aug 2, 2013 to Mar 18, 2014
      • Discretionary RAUM · $255M to $300M
        Aug 2, 2013 to Mar 18, 2014
      • RAUM · $255M to $300M
        Aug 2, 2013 to Mar 18, 2014
      • Advisory employees · unset to 2.0
        Mar 5, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Mar 5, 2012 to Apr 1, 2013
      • Assets in custody · $227M to $255M
        Mar 5, 2012 to Apr 1, 2013
      • Employees · unset to 4.0
        Mar 5, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 1.0
        Mar 5, 2012 to Apr 1, 2013
      • Discretionary RAUM · $227M to $255M
        Mar 5, 2012 to Apr 1, 2013
      • RAUM · $227M to $255M
        Mar 5, 2012 to Apr 1, 2013
      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