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
I••••••••• I••••••••• C••••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Apr 24, 2015 · 30 filings
SEC status approved since May 11, 2015
RAUM
$1.1B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
70%
$754M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$108M
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.1B as of Apr 1, 2026
Mar 29, 2016$993M then
HNW client RAUM$722M as of Apr 1, 2026
Mar 28, 2018$421M then
State-registered IARs (5.B.3)10 as of Apr 1, 2026
Mar 29, 20164 then
Employees (5.A)10 as of Apr 1, 2026
Mar 29, 20164 then
Private funds: no history
RAUM +40% over the last fiscal year+12% a year over threeIARs 9 to 10offices 0 to 1
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $108MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $981,310derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $317M, 45 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
- is an insurance broker or agent (6.A.6)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$722M67%
- Pension and profit-sharing plans$300M28%
- Individuals$32.2M3.0%
- Charitable organizations$26.2M2.4%
- Corporations and businesses$4.2M0.4%
- Individual clients
- 108reported
- HNW clients
- 144reported
- Pension plan clients
- 30reported
- Charitable clients
- 2reported
- Accounts
- 1,105reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $317M for 45 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.7 fund_share=0.0 institutional_share=0.3 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• J••••• H••••••••Certified Financial Planner | Bloomfield Hills, Mi | Jan 3, 2025 | 11 y | 4 |
| C••••••••• S•••• M••••••••Certified Financial Planner | Bloomfield Hills, Mi | Feb 14, 2025 | 10 y | 2 |
| R••• E••••••••• | Bloomfield Hills, Mi | Apr 30, 2025 | 11 y | 0 |
| M•••••• J••••• C•••••••• | Bloomfield Hills, Mi | Nov 20, 2025 | 26 y | 1 |
| A••• M•••••• R••••• | Bloomfield Hills, Mi | Dec 1, 2025 | 12 y | 1 |
| A••• D•••• E•••••••• B••••• | Bloomfield Hills, Mi | Dec 3, 2025 | 12 y | 1 |
| D••• S•••• | Bloomfield Hills, Mi | Jan 2, 2026 | 23 y | 2 |
| J•••••• C•••••• P••••••••Chartered Financial Analyst | Bloomfield Hills, Mi | Jan 16, 2026 | 26 y | 3 |
| C••••••••• A•••••• F•••• | Bloomfield Hills, Mi | Jun 23, 2026 | 40 y | 2 |
| T••• J• W•••••••• | Bloomfield Hills, Mi | Jun 23, 2026 | 30 y | 1 |
Advisor movement
1 left, 7 joined in 12 months
net +6 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 10% of current headcount1 left over 36 months
Left, latest
- Q•••• P•••••• R•••••• to C••• D•••••••• I•••••••••Oct 10, 2025 · RIA to RIA
Joined, latest
- T••• J• W•••••••• from W•••• F•••• A•••••••Jun 23, 2026 · Wirehouse to independent RIA
- C••••••••• A•••••• F•••• from W•••• F•••• A•••••••Jun 23, 2026 · Wirehouse to independent RIA
- J•••••• C•••••• P•••••••• from N••••••••• C•••••• L••Jan 16, 2026 · Other
- D••• S•••• from W•••• F•••• A•••••••Jan 2, 2026 · Wirehouse to independent RIA
- A••• D•••• E•••••••• B••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 3, 2025 · Wirehouse to independent RIA
- A••• M•••••• R••••• from O•••••••••Dec 1, 2025 · Other
- M•••••• J••••• C•••••••• from W•••• F•••• A•••••••Nov 20, 2025 · Wirehouse to independent RIA
- C••••••••• S•••• M•••••••• from S••••••• • C••Feb 14, 2025 · Other
- A•••• J••••• H•••••••• from R•••••• W•••••Jan 3, 2025 · RIA to RIA
- Q•••• P•••••• R•••••• from L••••• S••••Oct 13, 2024 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from W•••• F•••• A•••••••May 27, 2015 · Birmingham, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• C••••••••• A•••••• · Managing Partnercontrolsince 05/2015 · owns 50% to 75%
- S••••• D••• · Managing Partner Ccocontrolsince 06/2021 · owns 5% to 10%
- W••••••••• T•••• J• · Managing Partnercontrolsince 05/2015 · owns 25% to 50%
Related persons
Schedule D 7.A
- I••••••••• M••••••••• S••••••• S•• L••investment adviserpooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bloomfield Hills, Mi · principal | 10 | 7 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Apr 1, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $773,184,329 to $1,084,348,046, advisors 9 to 10, private clients 218 to 252, offices 0 to 1 (2025-04-16 to 2026-04-01)peers: independent wealth managers, $1B to $5B (1,362)
- client mix shiftChange between filings · filing Apr 1, 2026private-client share of RAUM moved from 92.0% to 70.0% between the annual amendments of 2025-04-16 and 2026-04-01peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Apr 1, 2026HNW share of RAUM moved from 85.0% to 67.0% between the annual amendments of 2025-04-16 and 2026-04-01peers: independent wealth managers, $1B to $5B (1,362)
- institutional asset share shiftChange between filings · filing Apr 1, 2026institutional share of RAUM moved from 7.0% to 30.0% between the annual amendments of 2025-04-16 and 2026-04-01peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 933 to 1,105Nov 26, 2025 to Mar 31, 2026
- Charity clients · 3 to 2Nov 26, 2025 to Mar 31, 2026
- Corporate clients · 2 to 1Nov 26, 2025 to Mar 31, 2026
- HNW clients · 103 to 144Nov 26, 2025 to Mar 31, 2026
- Individual clients · 115 to 108Nov 26, 2025 to Mar 31, 2026
- Pension plan clients · 0 to 30Nov 26, 2025 to Mar 31, 2026
- Pooled vehicle clients · 1 to 0Nov 26, 2025 to Mar 31, 2026
- Assets in custody · $2.2M to $317MNov 26, 2025 to Mar 31, 2026
- Other offices · 0 to 1Nov 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $761M to $1.1BNov 26, 2025 to Mar 31, 2026
- HNW RAUM · $657M to $722MNov 26, 2025 to Mar 31, 2026
- Individual RAUM · $57.0M to $32.2MNov 26, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $12.2M to $7.7MNov 26, 2025 to Mar 31, 2026
- Pension RAUM · unset to 300000000.0Nov 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $5.7M to $0Nov 26, 2025 to Mar 31, 2026
- RAUM · $773M to $1.1BNov 26, 2025 to Mar 31, 2026
- Advisory employees · 11 to 10Aug 5, 2025 to Nov 26, 2025
- Employees · 11 to 10Aug 5, 2025 to Nov 26, 2025
- State-registered IARs · 11 to 10Aug 5, 2025 to Nov 26, 2025
- Advisory employees · 9 to 11Apr 16, 2025 to Aug 5, 2025
- Employees · 9 to 11Apr 16, 2025 to Aug 5, 2025
- State-registered IARs · 9 to 11Apr 16, 2025 to Aug 5, 2025
- Accounts · 202 to 933Oct 16, 2024 to Apr 16, 2025
- Charity clients · unset to 3.0Oct 16, 2024 to Apr 16, 2025
- Corporate clients · unset to 2.0Oct 16, 2024 to Apr 16, 2025
- HNW clients · 130 to 103Oct 16, 2024 to Apr 16, 2025
- Individual clients · 67 to 115Oct 16, 2024 to Apr 16, 2025
- Pooled vehicle clients · 0 to 1Oct 16, 2024 to Apr 16, 2025
- Assets in custody · $119M to $2.2MOct 16, 2024 to Apr 16, 2025
- Financial planning clients · unset to Oct 16, 2024 to Apr 16, 2025
- Discretionary RAUM · $715M to $761MOct 16, 2024 to Apr 16, 2025
- HNW RAUM · $665M to $657MOct 16, 2024 to Apr 16, 2025
- Individual RAUM · $12.5M to $57.0MOct 16, 2024 to Apr 16, 2025
- Non-discretionary RAUM · $5.9M to $12.2MOct 16, 2024 to Apr 16, 2025
- Pooled vehicle RAUM · unset to 5702161.0Oct 16, 2024 to Apr 16, 2025
- RAUM · $721M to $773MOct 16, 2024 to Apr 16, 2025
- Advisory employees · 7 to 9May 6, 2024 to Oct 11, 2024
- Pooled vehicle clients · 1 to 0May 6, 2024 to Oct 11, 2024
- Employees · 7 to 9May 6, 2024 to Oct 11, 2024
- Insurance-licensed employees · 0 to 1May 6, 2024 to Oct 11, 2024
Signals
5 dated events
- I••••••••• I••••••••• C••••••••• L•• reported RAUM $1.1B, up 40% from $773.2M (2025-11-26 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Q•••• P•••••• R•••••• left I••••••••• I••••••••• C••••••••• L•• for C••• D•••••••• I••••••••• (registered 2026-04-05)Oct 10, 2025 · Advisor changed firm · fact
- I••••••••• I••••••••• C••••••••• L•• reported RAUM $705.3M, up 36% from $519.9M (2020-11-03 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- I••••••••• I••••••••• C••••••••• L•• reported RAUM $438.6M, down 60% from $1.1B (2017-03-17 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
- I••••••••• I••••••••• C••••••••• L•• filed its initial SEC registration (Form ADV)Apr 24, 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
- Firm profile
- LINKEDIN.COM/COMPANY/10820425reportedpublic record, Form ADV, Sep 18, 2026
- Website
- I•••••••••IC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-433-3581reportedpublic record, Form ADV, Apr 1, 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
- $108Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026