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•••• C•••••• A••••••• L••
Latest filing Feb 12, 2026
First filing on the tape Jan 16, 2018 · 12 filings
SEC status approved since Feb 19, 2018
RAUM
$103M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$103M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$103M as of Feb 12, 2026
Jan 24, 2019$108M then
HNW client RAUM$82.8M as of Feb 12, 2026
Jan 24, 2019$54.0M then
State-registered IARs (5.B.3)1 as of Feb 12, 2026
Jan 24, 20192 then
Employees (5.A)1 as of Feb 12, 2026
Jan 24, 20192 then
Private funds: no history
RAUM +7.7% over the last fiscal year-11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 12, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 101derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $411,999derivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $36.5M, 49 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
- High-net-worth individuals$82.8M80%
- Individuals$20.6M20%
- Individual clients
- 63reported
- HNW clients
- 38reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 251reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.5M for 49 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• J••••• R••••Certified Financial Planner | Freeland, Mi | Jun 20, 2013 | 20 y | 1 |
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
- M••• J••••• R•••• from 1•• G••••• A••••••• I••Jun 20, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• M•••• J••••• · Member And Chief Compliance Officercontrolsince 06/2013 · 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 · 264 to 251Feb 20, 2025 to Feb 12, 2026
- HNW clients · 33 to 38Feb 20, 2025 to Feb 12, 2026
- Individual clients · 71 to 63Feb 20, 2025 to Feb 12, 2026
- Assets in custody · $22.8M to $36.5MFeb 20, 2025 to Feb 12, 2026
- Financial planning clients · 26-50 to 51-100Feb 20, 2025 to Feb 12, 2026
- Discretionary RAUM · $96.0M to $103MFeb 20, 2025 to Feb 12, 2026
- HNW RAUM · $67.1M to $82.8MFeb 20, 2025 to Feb 12, 2026
- Individual RAUM · $28.9M to $20.6MFeb 20, 2025 to Feb 12, 2026
- RAUM · $96.0M to $103MFeb 20, 2025 to Feb 12, 2026
- Accounts · 277 to 264Nov 21, 2024 to Feb 20, 2025
- HNW clients · 28 to 33Nov 21, 2024 to Feb 20, 2025
- Individual clients · 82 to 71Nov 21, 2024 to Feb 20, 2025
- Assets in custody · $17.8M to $22.8MNov 21, 2024 to Feb 20, 2025
- Employees · 2 to 1Nov 21, 2024 to Feb 20, 2025
- Financial planning clients · 26-50 to 26-50Nov 21, 2024 to Feb 20, 2025
- Discretionary RAUM · $90.7M to $96.0MNov 21, 2024 to Feb 20, 2025
- HNW RAUM · $58.2M to $67.1MNov 21, 2024 to Feb 20, 2025
- Individual RAUM · $32.5M to $28.9MNov 21, 2024 to Feb 20, 2025
- RAUM · $90.7M to $96.0MNov 21, 2024 to Feb 20, 2025
- Accounts · 580 to 277Feb 10, 2023 to Feb 14, 2024
- Advisory employees · 2 to 1Feb 10, 2023 to Feb 14, 2024
- HNW clients · 45 to 28Feb 10, 2023 to Feb 14, 2024
- Individual clients · 167 to 82Feb 10, 2023 to Feb 14, 2024
- Assets in custody · $31.3M to $17.8MFeb 10, 2023 to Feb 14, 2024
- State-registered IARs · 2 to 1Feb 10, 2023 to Feb 14, 2024
- Discretionary RAUM · $146M to $90.7MFeb 10, 2023 to Feb 14, 2024
- HNW RAUM · $84.8M to $58.2MFeb 10, 2023 to Feb 14, 2024
- Individual RAUM · $61.5M to $32.5MFeb 10, 2023 to Feb 14, 2024
- RAUM · $146M to $90.7MFeb 10, 2023 to Feb 14, 2024
- Accounts · 606 to 580Feb 11, 2022 to Feb 10, 2023
- HNW clients · 33 to 45Feb 11, 2022 to Feb 10, 2023
- Individual clients · 193 to 167Feb 11, 2022 to Feb 10, 2023
- Financial planning clients · 1-10 to 26-50Feb 11, 2022 to Feb 10, 2023
- Discretionary RAUM · $168M to $146MFeb 11, 2022 to Feb 10, 2023
- HNW RAUM · $94.9M to $84.8MFeb 11, 2022 to Feb 10, 2023
- Individual RAUM · $73.0M to $61.5MFeb 11, 2022 to Feb 10, 2023
- RAUM · $168M to $146MFeb 11, 2022 to Feb 10, 2023
- Accounts · 609 to 606Feb 9, 2021 to Feb 11, 2022
- HNW clients · 40 to 33Feb 9, 2021 to Feb 11, 2022
- Individual clients · 229 to 193Feb 9, 2021 to Feb 11, 2022
Signals
1 dated events
- R•••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jan 16, 2018 · 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 phone
- 989-791-3693reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 989-791-6113reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- R••••FG.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (989) 791-3693reportedpublic record, Form ADV, Feb 12, 2026
- Contact form
- r••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- r••••••.comreportedpublished 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
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026