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
B••••••••• C••••••
Legal name B••••••••• C••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 31, 2020 · 11 filings
SEC status approved since Apr 30, 2020
RAUM
$157M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$147M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$78.3M
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
11 filings and snapshots on the tape
RAUM$157M as of Mar 31, 2026
Mar 27, 2021$126M then
HNW client RAUM$119M as of Mar 31, 2026
Mar 27, 2021$106M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 27, 20211 then
Employees (5.A)2 as of Mar 31, 2026
Mar 27, 20211 then
Private funds: no history
RAUM +9.9% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- RAUM per advisor
- $78.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $336,146derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.9%derivedpensions, 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
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.2%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$119M76%
- Individuals$28.7M18%
- Charitable organizations$9.2M5.9%
- Individual clients
- 90reported
- HNW clients
- 47reported
- Pension plan clients
- 0reported
- Charitable clients
- 6reported
- Accounts
- 466reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• M•••••• P••••••Certified Financial Planner | Kalamazoo, Mi | May 18, 2015 | 24 y | 2 |
| L•••• W•••••• M•••••••••Certified Financial Planner, Chartered Financial Analyst | Kalamazoo, Mi | Jan 1, 2025 | 11 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
none on the tape
Joined, latest
- R••• M•••••• P•••••• from I••••••••• F•••••••• P•••••••May 18, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• R•••• M•••••• · President & Ccocontrolsince 07/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kalamazoo, Mi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 470 to 466Mar 29, 2025 to Mar 31, 2026
- Charity clients · 5 to 6Mar 29, 2025 to Mar 31, 2026
- HNW clients · 48 to 47Mar 29, 2025 to Mar 31, 2026
- Individual clients · 81 to 90Mar 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $143M to $157MMar 29, 2025 to Mar 31, 2026
- HNW RAUM · $109M to $119MMar 29, 2025 to Mar 31, 2026
- Individual RAUM · $26.3M to $28.7MMar 29, 2025 to Mar 31, 2026
- RAUM · $143M to $157MMar 29, 2025 to Mar 31, 2026
- Accounts · 445 to 470Mar 18, 2024 to Mar 29, 2025
- HNW clients · 44 to 48Mar 18, 2024 to Mar 29, 2025
- Financial planning clients · 26-50 to 0Mar 18, 2024 to Mar 29, 2025
- Discretionary RAUM · $128M to $143MMar 18, 2024 to Mar 29, 2025
- HNW RAUM · $92.4M to $109MMar 18, 2024 to Mar 29, 2025
- Individual RAUM · $28.9M to $26.3MMar 18, 2024 to Mar 29, 2025
- RAUM · $128M to $143MMar 18, 2024 to Mar 29, 2025
- Accounts · 416 to 445Apr 3, 2023 to Mar 18, 2024
- Charity clients · 2 to 5Apr 3, 2023 to Mar 18, 2024
- HNW clients · 66 to 44Apr 3, 2023 to Mar 18, 2024
- Individual clients · 43 to 81Apr 3, 2023 to Mar 18, 2024
- Discretionary RAUM · $115M to $128MApr 3, 2023 to Mar 18, 2024
- HNW RAUM · $95.9M to $92.4MApr 3, 2023 to Mar 18, 2024
- Individual RAUM · $13.8M to $28.9MApr 3, 2023 to Mar 18, 2024
- RAUM · $115M to $128MApr 3, 2023 to Mar 18, 2024
- Accounts · 374 to 416Sep 27, 2022 to Apr 3, 2023
- HNW clients · 96 to 66Sep 27, 2022 to Apr 3, 2023
- Individual clients · 31 to 43Sep 27, 2022 to Apr 3, 2023
- Discretionary RAUM · $131M to $115MSep 27, 2022 to Apr 3, 2023
- HNW RAUM · $118M to $95.9MSep 27, 2022 to Apr 3, 2023
- Individual RAUM · $7.2M to $13.8MSep 27, 2022 to Apr 3, 2023
- RAUM · $131M to $115MSep 27, 2022 to Apr 3, 2023
- Advisory employees · 1 to 2Sep 27, 2022 to Sep 27, 2022
- Employees · 1 to 2Sep 27, 2022 to Sep 27, 2022
- State-registered IARs · 1 to 2Sep 27, 2022 to Sep 27, 2022
- Accounts · 391 to 374Mar 27, 2021 to Mar 15, 2022
- HNW clients · 59 to 96Mar 27, 2021 to Mar 15, 2022
- Individual clients · 39 to 31Mar 27, 2021 to Mar 15, 2022
- Discretionary RAUM · $126M to $131MMar 27, 2021 to Mar 15, 2022
- HNW RAUM · $106M to $118MMar 27, 2021 to Mar 15, 2022
- Individual RAUM · $14.1M to $7.2MMar 27, 2021 to Mar 15, 2022
- RAUM · $126M to $131MMar 27, 2021 to Mar 15, 2022
Signals
1 dated events
- B••••••••• C•••••• filed its initial SEC registration (Form ADV)Mar 31, 2020 · 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
- 269-903-2360reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- B•••••••••.CAPITALreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 269-903-2360reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- b•••••••••.capitalreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- b•••••••••.capitalreportedpublished 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
- $78.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026