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

C••••••• S•••••••••

Former SEC-registered adviserDetroit, MichiganCRD 17079SEC 801-64897IAPD
Latest filing Nov 6, 2023
First filing on the tape Mar 29, 2012 · 58 filings
RAUM
$2.4B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
87%
$2.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
211
125 advisory (5.B.1)
Offices
24
beyond the principal office
Private funds
0
reported on Schedule D
History
58 filings and snapshots on the tape
RAUM$2.4B as of Mar 10, 2023
Mar 29, 2012$390M then
HNW client RAUM$1.3B as of Mar 10, 2023
Mar 27, 2018$631M then
State-registered IARs (5.B.3)143 as of Mar 10, 2023
Mar 27, 2013169 then
Employees (5.A)211 as of Mar 10, 2023
Mar 27, 2013304 then
Private funds: no history
RAUM -14% over the last fiscal year+6.6% a year over threeIARs 137 to 143offices 26 to 24
Practice profile
derived from the filing of Nov 6, 2023; every figure names its basis
RAUM per advisor
$16.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
31derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.0MderivedHNW RAUM over HNW clients
Average account
$526,867derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
5.7derived25 offices incl. principal (1.F.5)
RAUM growth, one year
-14%derivedbetween the last two annual amendments
Advisor growth, one year
+4.4%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$2.4BreportedItem 5.I
Custody
$1.6B, 2,957 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.3B53%
  • Individuals$830M35%
  • Corporations and businesses$259M11%
  • Pension and profit-sharing plans$17.3M0.7%
  • Charitable organizations$16.5M0.7%
  • State and municipal entities$8.6M0.4%
Individual clients
3,132reported
HNW clients
1,251reported
Pension plan clients
n/areported
Charitable clients
16reported
Accounts
4,527reported
Financial planning clients
0reported
Wrap fee programs
$1.6B sponsored, $0 managedreported
Custody of client assets
$1.6B for 2,957 clientsreported
Compensation
% of AUM, fixed, 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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••••••• W•••••• B• · Ceo/President/Chairmancontrol
    since 01/2023 · owns less than 5%
  • S•••••• R•••••• E••••• · Senior Vice President/ Ccocontrol
    since 10/2019 · owns less than 5%
  • A•••• N••••••• C•••••• · Director
    since 09/2023 · owns less than 5%
  • A••••••••• L•••• S•••• · Director/P•••••••• Financial Officer/P•••••••• Operations Officer
    since 02/2023 · owns less than 5%
  • C•••• J•••• · Director
    since 11/2023 · owns less than 5%
  • M••••• J••• B••••••• · Director
    since 11/2022 · owns less than 5%
Entity owners
  • C••••••• I••••••••• S•••••••• I••• · Shareholder
    direct · owns 75% or more
  • C••••••• B••• · Shareholder
    indirect · owns 75% or more of C••••••• I••••••••• S•••••••• I•••
Related persons
Schedule D 7.A
  • C••••••• B•••
    y
  • C••••••• I•••••••• S•••••••• I•••
    real estaten
Advisers that list C••••••• S••••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Bloomfield Hills, Mi000
Clarkston, Mi000
Detroit, Mi · principal000
Ft Lauderdale, Fl000
Offices
Schedule D 1.F, the 25 largest
  • Bloomfield Hills, MI43 employees
  • Farmington, MI11 employees
  • Dallas, TX10 employees
  • Costa Mesa, CA7 employees
  • Dallas, TX4 employees
  • Austin, TX4 employees
  • Grand Rapids, MI4 employees
  • San Francisco, CA3 employees
  • Dearborn, MI3 employees
  • San Diego, CA3 employees
  • Houston, TX3 employees
  • Jackson, MI3 employees
  • Grosse Pointe Woods, MI3 employees
  • Phoenix, AZ2 employees
  • Los Angeles, CA2 employees
  • Sugarland, TX2 employees
  • Bedford, TX2 employees
  • Palm Beach Gardens, FL2 employees
  • Boca Raton, FL2 employees
  • Sacramento, CA1 employees
  • Auburn Hills, MI1 employees
  • Kalamazoo, MI1 employees
  • Santa Cruz, CA1 employees
  • San Jose, CA1 employees
What changed
consecutive filings, newest first
  • Accounts · 4,436 to 4,527
    Jan 30, 2023 to Mar 10, 2023
  • Advisory employees · 122 to 125
    Jan 30, 2023 to Mar 10, 2023
  • BD registered reps · 175 to 180
    Jan 30, 2023 to Mar 10, 2023
  • Charity clients · 15 to 16
    Jan 30, 2023 to Mar 10, 2023
  • Corporate clients · 129 to 124
    Jan 30, 2023 to Mar 10, 2023
  • HNW clients · 1,165 to 1,251
    Jan 30, 2023 to Mar 10, 2023
  • Individual clients · 3,121 to 3,132
    Jan 30, 2023 to Mar 10, 2023
  • Assets in custody · $897M to $1.6B
    Jan 30, 2023 to Mar 10, 2023
  • Employees · 198 to 211
    Jan 30, 2023 to Mar 10, 2023
  • State-registered IARs · 137 to 143
    Jan 30, 2023 to Mar 10, 2023
  • Other offices · 26 to 24
    Jan 30, 2023 to Mar 10, 2023
  • Discretionary RAUM · $2.7B to $2.3B
    Jan 30, 2023 to Mar 10, 2023
  • HNW RAUM · $1.4B to $1.3B
    Jan 30, 2023 to Mar 10, 2023
  • Individual RAUM · $1.0B to $830M
    Jan 30, 2023 to Mar 10, 2023
  • Non-discretionary RAUM · $103M to $82.2M
    Jan 30, 2023 to Mar 10, 2023
  • Pension RAUM · $22.4M to $17.3M
    Jan 30, 2023 to Mar 10, 2023
  • RAUM · $2.8B to $2.4B
    Jan 30, 2023 to Mar 10, 2023
  • Wrap assets (sponsor) · $1.8B to $1.6B
    Jan 30, 2023 to Mar 10, 2023
  • Accounts · 3,741 to 4,436
    Dec 20, 2021 to Mar 25, 2022
  • Advisory activities · 4 to 3
    Dec 20, 2021 to Mar 25, 2022
  • BD registered reps · 181 to 175
    Dec 20, 2021 to Mar 25, 2022
  • Charity clients · 9 to 15
    Dec 20, 2021 to Mar 25, 2022
  • Corporate clients · 111 to 129
    Dec 20, 2021 to Mar 25, 2022
  • HNW clients · 946 to 1,165
    Dec 20, 2021 to Mar 25, 2022
  • Individual clients · 2,668 to 3,121
    Dec 20, 2021 to Mar 25, 2022
  • Pension plan clients · 5.0 to unset
    Dec 20, 2021 to Mar 25, 2022
  • Assets in custody · $2.3B to $897M
    Dec 20, 2021 to Mar 25, 2022
  • Employees · 201 to 198
    Dec 20, 2021 to Mar 25, 2022
  • Insurance-licensed employees · 1 to 0
    Dec 20, 2021 to Mar 25, 2022
  • State-registered IARs · 139 to 137
    Dec 20, 2021 to Mar 25, 2022
  • Discretionary RAUM · $2.2B to $2.7B
    Dec 20, 2021 to Mar 25, 2022
  • HNW RAUM · $1.1B to $1.4B
    Dec 20, 2021 to Mar 25, 2022
  • Individual RAUM · $827M to $1.0B
    Dec 20, 2021 to Mar 25, 2022
  • Non-discretionary RAUM · $100M to $103M
    Dec 20, 2021 to Mar 25, 2022
  • Pension RAUM · $18.8M to $22.4M
    Dec 20, 2021 to Mar 25, 2022
  • RAUM · $2.3B to $2.8B
    Dec 20, 2021 to Mar 25, 2022
  • Wrap assets (sponsor) · $1.5B to $1.8B
    Dec 20, 2021 to Mar 25, 2022
  • Related adviser · true to false
    Mar 26, 2021 to Nov 11, 2021
  • Related bank · true to false
    Mar 26, 2021 to Nov 11, 2021
  • Accounts · 3,487 to 3,741
    Aug 10, 2020 to Mar 26, 2021
Signals
27 dated events
  • L•••• S•••• A•••••••• left C••••••• S••••••••• for W•••• A•••• M••••••••• I••• (registered 2015-03-30)
    Nov 21, 2023 · Advisor changed firm · fact
  • E••••••• D• R•••• left C••••••• S••••••••• for O••••••••• • C•• I••• (registered 2024-09-20)
    Nov 21, 2023 · Advisor changed firm · fact
  • J•••• S•••• left C••••••• S••••••••• for L•• E••••••••• L•• (registered 2024-09-26)
    Nov 21, 2023 · Advisor changed firm · fact
  • M•••••• William Malone (Ceo/Co-President/Chairman) no longer on Schedule A of C••••••• S••••••••• (listed 2023-09-26, absent 2023-11-06)
    Nov 6, 2023 · Control person left · inference
  • G•••••• V•••• left C••••••• S••••••••• for T••••• A••••••• S•••••••• I••• (registered 2023-10-16)
    Oct 11, 2023 · Advisor changed firm · fact
  • B•••••• R••• B•••••• left C••••••• S••••••••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2023-10-05)
    Oct 5, 2023 · Advisor changed firm · fact
  • J••••• E••• S••••• left C••••••• S••••••••• for U••• B•••••• I••••••••• I••• (registered 2023-09-20)
    Sep 19, 2023 · Advisor changed firm · fact
  • Crescenzo C••••••••• S••••o Divetta (Senior Vice President/Chief Operating Officer/ Principal Financial Officer/Principal Operations Officer/ Director) no longer on Schedule A of C••••••• S••••••••• (listed 2023-04-26, absent 2023-08-28)
    Aug 28, 2023 · Control person left · inference
  • 2 advisors left U••• B•••••• I••••••••• I••• (Los Angeles, CA) for C••••••• S••••••••• on the same day
    Aug 23, 2023 · Team lift-out · derived
  • J•• B•••• F••••• left C••••••• S••••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-08-08)
    Aug 18, 2023 · Advisor changed firm · fact
  • N•••• R••• G••••• left C••••••• S••••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-08-08)
    Aug 18, 2023 · Advisor changed firm · fact
  • J•••• R•••••• A••••• left C••••••• S••••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-08-08)
    Aug 18, 2023 · Advisor changed firm · fact
  • T•••• M••••••• left C••••••• S••••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-09-18)
    Aug 8, 2023 · Advisor changed firm · fact
  • 4 advisors left C••••••• S••••••••• (Dallas, TX) for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• within 10 days
    Aug 8, 2023 · Team lift-out · derived
  • C••• E••• L••• left C••••••• S••••••••• for C••• F•••••••• S•••••••• L••• (registered 2023-08-03)
    Jul 28, 2023 · Advisor changed firm · fact
  • D•••• A••••• E••• left C••••••• S••••••••• for U••• B•••••• I••••••••• I••• (registered 2023-06-21)
    Jun 9, 2023 · Advisor changed firm · fact
  • L••• B•••••••• H••••• left C••••••• S••••••••• for I•••••• W••••• (registered 2023-05-02)
    May 4, 2023 · Advisor changed firm · fact
  • N••••••• S••••••• left C••••••• S••••••••• for W•••• F•••• A••••••• (registered 2023-02-14)
    Feb 13, 2023 · Advisor changed firm · fact
  • A•••••••• R••••• N••• left C••••••• S••••••••• for B•• F•••••••• A••••••• (registered 2022-10-19)
    Oct 11, 2022 · Advisor changed firm · fact
  • D•••• D••••••••• H••••••• left C••••••• S••••••••• for C••• F•••••••• S•••••••• L••• (registered 2022-09-26)
    Sep 7, 2022 · Advisor changed firm · fact
  • 2 advisors left W•••• F•••• A••••••• (Tarpon Springs, FL) for C••••••• S••••••••• within 13 days
    Jul 27, 2022 · Team lift-out · derived
  • 2 advisors left W•••• F•••• A••••••• (Tarpon Springs, FL) for C••••••• S••••••••• within 7 days
    May 2, 2022 · Team lift-out · derived
  • J••••••• B••••• left C••••••• S••••••••• for L•• F•••••••• L•• (registered 2022-01-05)
    Jan 5, 2022 · Advisor changed firm · fact
  • C••••••• S••••••••• reported RAUM $2.0B, up 26% from $1.6B (2020-01-24 to 2020-03-27)
    Mar 27, 2020 · RAUM change · derived
  • Richard Edward Schell (Senior Vice President/ Cco) appeared on Schedule A of C••••••• S•••••••••
    Nov 6, 2019 · Control person joined · fact
  • C••••••• S••••••••• reported RAUM $1.4B, up 38% from $1.0B (2018-02-20 to 2018-03-27)
    Mar 27, 2018 · RAUM change · derived
  • C••••••• S••••••••• reported 32 offices beyond its principal office, up from 19 (2018-02-20 to 2018-03-27)
    Mar 27, 2018 · Office count change · derived
Across DFX
shared identifiers only, never a name match
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