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
P••• W••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Feb 6, 2019 · 13 filings
SEC status approved since Mar 8, 2019
RAUM
$446M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$446M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$149M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$446M as of Mar 26, 2026
Mar 9, 2020$155M then
HNW client RAUM$282M as of Mar 26, 2026
Mar 9, 2020$33.0M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Mar 9, 20202 then
Employees (5.A)3 as of Mar 26, 2026
Mar 9, 20203 then
Private funds: no history
RAUM +27% over the last fiscal year+25% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $149MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 214derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $196,130derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.9%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
- $446MreportedItem 5.I
- Custody
- $433M, 643 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$282M63%
- Individuals$164M37%
- Individual clients
- 520reported
- HNW clients
- 123reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,274reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $433M for 643 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• H• H••••••Certified Financial Planner | Plymouth, Mi | Jul 31, 2013 | 25 y | 3 |
| J•••• R••••• P•••• | Plymouth, Mi | Aug 10, 2018 | 12 y | 2 |
| P•••••• G•• | Plymouth, Mi | May 20, 2021 | 15 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
- M•••••• S•••• S••••••••• to W•••••• I••••••••• S•••••••••Jun 8, 2015 · Other
Joined, latest
- J•••• R••••• P•••• from L•• F•••••••• L••Aug 10, 2018 · RIA to RIA
- M•••••• S•••• S••••••••• from L•• F•••••••• L••Sep 30, 2014 · Other
- N••••••• H• H•••••• from P••• A••••• W••••• M••••••••• L••Jul 31, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• N•••••••• H• · Managing Member/Chief Compliance Officercontrolsince 02/2013 · owns 75% or more
Related persons
Schedule D 7.A
- N••••••• H••••••broker-dealerreal estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Plymouth, Mi · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 26, 2026RAUM per registered advisor of $148,666,667 against a peer median of $55,731,856 (3254 comparable advisers, 99.0th percentile, 3.2 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 1,788 to 2,274Sep 9, 2025 to Mar 26, 2026
- BD registered reps · 3 to 2Sep 9, 2025 to Mar 26, 2026
- HNW clients · 97 to 123Sep 9, 2025 to Mar 26, 2026
- Individual clients · 572 to 520Sep 9, 2025 to Mar 26, 2026
- Assets in custody · $300M to $433MSep 9, 2025 to Mar 26, 2026
- Employees · 4 to 3Sep 9, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 1-10Sep 9, 2025 to Mar 26, 2026
- Discretionary RAUM · $352M to $446MSep 9, 2025 to Mar 26, 2026
- HNW RAUM · $183M to $282MSep 9, 2025 to Mar 26, 2026
- Individual RAUM · $169M to $164MSep 9, 2025 to Mar 26, 2026
- RAUM · $352M to $446MSep 9, 2025 to Mar 26, 2026
- Wrap assets (sponsor) · $352M to $0Sep 9, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Feb 25, 2025 to Sep 9, 2025
- Accounts · 1,600 to 1,788Feb 20, 2024 to Feb 25, 2025
- HNW clients · 77 to 97Feb 20, 2024 to Feb 25, 2025
- Individual clients · 600 to 572Feb 20, 2024 to Feb 25, 2025
- Assets in custody · $280M to $300MFeb 20, 2024 to Feb 25, 2025
- Employees · 5 to 4Feb 20, 2024 to Feb 25, 2025
- Financial planning clients · 11-25 to 0Feb 20, 2024 to Feb 25, 2025
- Discretionary RAUM · $280M to $352MFeb 20, 2024 to Feb 25, 2025
- HNW RAUM · $146M to $183MFeb 20, 2024 to Feb 25, 2025
- Individual RAUM · $134M to $169MFeb 20, 2024 to Feb 25, 2025
- RAUM · $280M to $352MFeb 20, 2024 to Feb 25, 2025
- Related broker-dealer · true to falseFeb 20, 2024 to Feb 25, 2025
- Wrap assets (sponsor) · $280M to $352MFeb 20, 2024 to Feb 25, 2025
- Accounts · 1,500 to 1,600Mar 31, 2023 to Feb 20, 2024
- HNW clients · 60 to 77Mar 31, 2023 to Feb 20, 2024
- Assets in custody · unset to 280000000.0Mar 31, 2023 to Feb 20, 2024
- Custody of client assets · false to trueMar 31, 2023 to Feb 20, 2024
- Employees · 3 to 5Mar 31, 2023 to Feb 20, 2024
- Discretionary RAUM · $228M to $280MMar 31, 2023 to Feb 20, 2024
- HNW RAUM · $108M to $146MMar 31, 2023 to Feb 20, 2024
- Individual RAUM · $120M to $134MMar 31, 2023 to Feb 20, 2024
- RAUM · $228M to $280MMar 31, 2023 to Feb 20, 2024
- Wrap assets (sponsor) · $160M to $280MMar 31, 2023 to Feb 20, 2024
- Accounts · 1,200 to 1,500Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 2 to 3Mar 30, 2022 to Mar 31, 2023
- BD registered reps · 2 to 3Mar 30, 2022 to Mar 31, 2023
- HNW clients · 62 to 60Mar 30, 2022 to Mar 31, 2023
- Individual clients · 470 to 600Mar 30, 2022 to Mar 31, 2023
Signals
1 dated events
- P••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 6, 2019 · 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.
How to reach
public business contact points only, each with its source
- Business email
- connie@peakwm.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- gwen@peakwm.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- jim@peakwm.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- patti@peakwm.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 734-357-8055reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 734-681-7575reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- P•••WM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 734-681-7575reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- peakwm.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- peakwm.com/meet-our-teamreportedpublished by the firm, firm site, Sep 17, 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
- $149Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026