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
G••••••• L••
Latest filing Jul 6, 2026
First filing on the tape Mar 13, 2015 · 36 filings
SEC status approved since Apr 1, 2015
RAUM
$462M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
85%
$391M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$65.9M
derived; firm RAUM over IAPD count
Employees
12
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$462M as of Jul 6, 2026
Mar 24, 2016$151M then
HNW client RAUM$329M as of Jul 6, 2026
Feb 28, 2018$147M then
State-registered IARs (5.B.3)8 as of Jul 6, 2026
Mar 24, 20166 then
Employees (5.A)12 as of Jul 6, 2026
Mar 24, 20169 then
Private funds: no history
RAUM -3.5% over the last fiscal year+13% a year over threeIARs 9 to 8
Practice profile
derived from the filing of Jul 6, 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
- RAUM per advisor
- $65.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $309,569derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $7.7M, 26 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$329M71%
- Pension and profit-sharing plans$64.2M14%
- Individuals$62.5M14%
- Charitable organizations$4.7M1.0%
- Corporations and businesses$1.5M0.3%
- Individual clients
- 292reported
- HNW clients
- 186reported
- Pension plan clients
- 17reported
- Charitable clients
- n/areported
- Accounts
- 1,491reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.7M for 26 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M•••••• M••••• | Bloomfield Hills, Mi | May 5, 2015 | 24 y | 2 |
| B••••••• T••••• K••••Chartered Financial Analyst | Bloomfield Hills, Mi | May 5, 2015 | 17 y | 3 |
| J•••••• W••••• I••••Certified Financial Planner | Bloomfield Hills, Mi | May 5, 2015 | 21 y | 1 |
| W•••• A•••••• B••••••••• | Bloomfield Hills, Mi | May 5, 2015 | 26 y | 1 |
| N••••• J••••••••• S••••••Certified Financial Planner | Bloomfield Hills, Mi | Aug 21, 2018 | 13 y | 2 |
| K•••••••• J••• M••••Certified Financial Planner | Bloomfield Hills, Mi | Sep 22, 2020 | 27 y | 1 |
| P•••••• N•••••Certified Financial Planner | Bloomfield Hills, Mi | Oct 12, 2022 | 10 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 headcount2 left over 36 months
Left, latest
- C••• M•••••• W••••• to S••••• A•••• M••••••••• L•••••May 30, 2025 · RIA to RIA
- T••••••• W•••••• S•••••• to S••••• A•••• M••••••••• L•••••May 30, 2025 · RIA to RIA
- N••••••• J••••• P••••• to A•••• A••••••••• S••••••••• L••Jul 13, 2020 · RIA to RIA
Joined, latest
- K•••••••• J••• M•••• from L•• F•••••••• L••Sep 22, 2020 · Affiliated broker-dealer or bank to independent RIA
- N••••• J••••••••• S•••••• from C•• A•••• M••••••••• I•••Aug 21, 2018 · Other
- T••••••• W•••••• S•••••• from E••••• J••••Jun 8, 2015 · Other
- N••••••• J••••• P••••• from G•• W••••• M••••••••• L••Jun 8, 2015 · Other
- W•••• A•••••• B••••••••• from L•• F•••••••• L••May 5, 2015 · Other
- B••••••• T••••• K•••• from L•• F•••••••• L••May 5, 2015 · Other
- J•••••• W••••• I•••• from L•• F•••••••• L••May 5, 2015 · Other
- D•••• M•••••• M••••• from L•• F•••••••• L••May 5, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for S••••• A•••• M••••••••• L•••••May 30, 2025 · Bloomfield Hills, Mi
- 4 joined from L•• F•••••••• L••May 8, 2015 · Bingham Farms, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• W••••• A•••••• · Chief Compliance Officercontrolsince 04/2015 · owns less than 5%
- I••••• J••••••• W••••• · Managing Membercontrolsince 04/2015 · 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 |
|---|---|---|---|---|---|
| Bloomfield Hills, Mi · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,765 to 1,491Jan 29, 2026 to Mar 5, 2026
- Advisory employees · 9 to 8Jan 29, 2026 to Mar 5, 2026
- HNW clients · 201 to 186Jan 29, 2026 to Mar 5, 2026
- Individual clients · 362 to 292Jan 29, 2026 to Mar 5, 2026
- Pension plan clients · 16 to 17Jan 29, 2026 to Mar 5, 2026
- Assets in custody · $4.0M to $7.7MJan 29, 2026 to Mar 5, 2026
- Employees · 13 to 12Jan 29, 2026 to Mar 5, 2026
- Financial planning clients · 51-100 to 1-10Jan 29, 2026 to Mar 5, 2026
- State-registered IARs · 9 to 8Jan 29, 2026 to Mar 5, 2026
- Discretionary RAUM · $431M to $397MJan 29, 2026 to Mar 5, 2026
- HNW RAUM · $342M to $329MJan 29, 2026 to Mar 5, 2026
- Individual RAUM · $83.8M to $62.5MJan 29, 2026 to Mar 5, 2026
- Non-discretionary RAUM · $47.7M to $64.2MJan 29, 2026 to Mar 5, 2026
- Pension RAUM · $47.4M to $64.2MJan 29, 2026 to Mar 5, 2026
- RAUM · $478M to $462MJan 29, 2026 to Mar 5, 2026
- Accounts · 1,546 to 1,765May 1, 2024 to Mar 5, 2025
- HNW clients · 189 to 201May 1, 2024 to Mar 5, 2025
- Individual clients · 329 to 362May 1, 2024 to Mar 5, 2025
- Pension plan clients · 19 to 16May 1, 2024 to Mar 5, 2025
- Assets in custody · $3.7M to $4.0MMay 1, 2024 to Mar 5, 2025
- Employees · 11 to 13May 1, 2024 to Mar 5, 2025
- Financial planning clients · 1-10 to 51-100May 1, 2024 to Mar 5, 2025
- Discretionary RAUM · $332M to $431MMay 1, 2024 to Mar 5, 2025
- HNW RAUM · $264M to $342MMay 1, 2024 to Mar 5, 2025
- Individual RAUM · $66.0M to $83.8MMay 1, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $49.0M to $47.7MMay 1, 2024 to Mar 5, 2025
- Pension RAUM · $47.5M to $47.4MMay 1, 2024 to Mar 5, 2025
- RAUM · $381M to $478MMay 1, 2024 to Mar 5, 2025
- Accounts · 1,442 to 1,546Mar 14, 2023 to Feb 27, 2024
- HNW clients · 186 to 189Mar 14, 2023 to Feb 27, 2024
- Individual clients · 322 to 329Mar 14, 2023 to Feb 27, 2024
- Pension plan clients · 17 to 19Mar 14, 2023 to Feb 27, 2024
- Assets in custody · $3.3M to $3.7MMar 14, 2023 to Feb 27, 2024
- Employees · 10 to 11Mar 14, 2023 to Feb 27, 2024
- Financial planning clients · 11-25 to 1-10Mar 14, 2023 to Feb 27, 2024
- Discretionary RAUM · $277M to $332MMar 14, 2023 to Feb 27, 2024
- HNW RAUM · $230M to $264MMar 14, 2023 to Feb 27, 2024
- Individual RAUM · $51.8M to $66.0MMar 14, 2023 to Feb 27, 2024
- Non-discretionary RAUM · $42.0M to $49.0MMar 14, 2023 to Feb 27, 2024
- Pension RAUM · $36.8M to $47.5MMar 14, 2023 to Feb 27, 2024
Signals
4 dated events
- T••••••• W•••••• S•••••• left G••••••• L•• for S••••• A•••• M••••••••• L••••• (registered 2025-05-23)May 30, 2025 · Advisor changed firm · fact
- C••• M•••••• W••••• left G••••••• L•• for S••••• A•••• M••••••••• L••••• (registered 2025-05-23)May 30, 2025 · Advisor changed firm · fact
- 2 advisors left G••••••• L•• (Bloomfield Hills, MI) for S••••• A•••• M••••••••• L••••• on the same dayMay 30, 2025 · Team lift-out · derived
- J• I••••• L•• filed its initial SEC registration (Form ADV)Mar 13, 2015 · 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
- 248-385-3737reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/9483706/admin/dashboardreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 248.385.3737reportedpublic record, Form ADV, Jul 6, 2026
- Contact form
- gainplanners.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- gainplanners.com/team-membersreportedpublished by the firm, firm site, Sep 15, 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
- $65.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026