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
C••• C••••• A•••••••• L••
Latest filing Jan 19, 2026
First filing on the tape Jan 4, 2022 · 29 filings
SEC status approved since Feb 4, 2022
RAUM
$160M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$160M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$22.9M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$160M as of Jan 19, 2026
Feb 16, 2023$109M then
HNW client RAUM$58.7M as of Jan 19, 2026
Feb 16, 2023$38.6M then
State-registered IARs (5.B.3)7 as of Jan 19, 2026
Feb 16, 20237 then
Employees (5.A)7 as of Jan 19, 2026
Feb 16, 20237 then
Private funds: no history
RAUM +21% over the last fiscal year+14% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Jan 19, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $22.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $138,608derivedRAUM 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
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.3%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$102M63%
- High-net-worth individuals$58.7M37%
- Corporations and businesses$1000.0%
- Individual clients
- 358reported
- HNW clients
- 55reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,156reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••• E••••• E••••• | Troy, Mi | May 29, 2015 | 13 y | 1 |
| D•••• J••• H••••• | Troy, Mi | Dec 5, 2018 | 10 y | 1 |
| C••••••••• R••••• B•••• | Troy, Mi | Jul 22, 2019 | 29 y | 1 |
| T••••• H••••• C•• | Troy, Mi | Jul 31, 2020 | 10 y | 1 |
| D•••• J• H••••• | Dubois, Pa | Jun 28, 2022 | 10 y | 0 |
| S••••• J•••• A•••••••• | Troy, Mi | Jan 2, 2024 | 11 y | 0 |
| J••••• M•••••• P•••• | Troy, Mi | Oct 14, 2025 | 18 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K••• J•••••• M••••••• to E•••••• I••••••••• S•••••••• I••Jun 30, 2023 · RIA to RIA
- D••••••• S••••• to S•••••• F•••••••• G••••• L•••••Oct 11, 2022 · RIA to RIA
- I•• R••••• W••••• to V••••• W•••••• L••Jul 8, 2022 · RIA to RIA
- C••••••• B•••••• B•••••• to L•• F•••••••• L••Feb 8, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••••• M•••••• P•••• from H•••• F•••••••• S•••••••• I•••Oct 14, 2025 · RIA to RIA
- C••••••• B•••••• B•••••• from S•••••••• F••••••••• I•••Jul 31, 2020 · Affiliated broker-dealer or bank to independent RIA
- T••••• H••••• C•• from M••••• S••••••Jul 31, 2020 · Wirehouse to independent RIA
- C••••••••• R••••• B•••• from E••••• J••••Jul 22, 2019 · Affiliated broker-dealer or bank to independent RIA
- I•• R••••• W••••• from B••••••••• C•••••• M••••••••• L••Feb 21, 2019 · RIA to RIA
- D••••••• S••••• from C•••••• A•••••••Dec 8, 2018 · Affiliated broker-dealer or bank to independent RIA
- D•••• J••• H••••• from C•••••• A•••••••Dec 5, 2018 · Affiliated broker-dealer or bank to independent RIA
- K••• J•••••• M••••••• from C•••••• A•••••••Dec 3, 2018 · Affiliated broker-dealer or bank to independent RIA
- F•••• E••••• E••••• from S••••••• F•••••••• S•••••••• I•••May 29, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C•••••• A•••••••Dec 4, 2018 · Southfield, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••• F••••• E••••• · Membercontrolsince 04/2015 · owns 5% to 10%
- H•••••• D••••• J• · Membercontrolsince 12/2018 · owns 25% to 50%
- H•••••• D••••• J••• · Chief Compliance Officer/Chief Executive Officer/Membercontrolsince 12/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
- C••• C••••• F••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Troy, Mi · principal | 7 | 1 | 0 | ||
| Colorado Springs, Co | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Colorado Springs, CO2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,078 to 1,156Dec 3, 2025 to Jan 19, 2026
- HNW clients · 40 to 55Dec 3, 2025 to Jan 19, 2026
- Individual clients · 338 to 358Dec 3, 2025 to Jan 19, 2026
- Discretionary RAUM · $132M to $160MDec 3, 2025 to Jan 19, 2026
- HNW RAUM · $41.6M to $58.7MDec 3, 2025 to Jan 19, 2026
- Individual RAUM · $90.9M to $102MDec 3, 2025 to Jan 19, 2026
- RAUM · $132M to $160MDec 3, 2025 to Jan 19, 2026
- Advisory employees · 6 to 7Jul 2, 2025 to Oct 14, 2025
- Employees · 6 to 7Jul 2, 2025 to Oct 14, 2025
- State-registered IARs · 6 to 7Jul 2, 2025 to Oct 14, 2025
- Financial planning clients · 251-500 to 251-500Jan 10, 2025 to Jul 2, 2025
- Accounts · 1,057 to 1,078Dec 2, 2024 to Jan 10, 2025
- HNW clients · 39 to 40Dec 2, 2024 to Jan 10, 2025
- Individual clients · 336 to 338Dec 2, 2024 to Jan 10, 2025
- Financial planning clients · 0 to 251-500Dec 2, 2024 to Jan 10, 2025
- Discretionary RAUM · $135M to $132MDec 2, 2024 to Jan 10, 2025
- HNW RAUM · $43.0M to $41.6MDec 2, 2024 to Jan 10, 2025
- Individual RAUM · $91.6M to $90.9MDec 2, 2024 to Jan 10, 2025
- RAUM · $135M to $132MDec 2, 2024 to Jan 10, 2025
- Advisory employees · 7 to 6Oct 14, 2024 to Dec 2, 2024
- Employees · 7 to 6Oct 14, 2024 to Dec 2, 2024
- State-registered IARs · 7 to 6Oct 14, 2024 to Dec 2, 2024
- Accounts · 1,047 to 1,057Jul 9, 2024 to Oct 14, 2024
- Individual clients · 334 to 336Jul 9, 2024 to Oct 14, 2024
- Discretionary RAUM · $128M to $135MJul 9, 2024 to Oct 14, 2024
- HNW RAUM · $41.0M to $43.0MJul 9, 2024 to Oct 14, 2024
- Individual RAUM · $87.0M to $91.6MJul 9, 2024 to Oct 14, 2024
- RAUM · $128M to $135MJul 9, 2024 to Oct 14, 2024
- Accounts · 1,043 to 1,047Jan 8, 2024 to Jul 9, 2024
- Corporate clients · 0 to 1Jan 8, 2024 to Jul 9, 2024
- Individual clients · 329 to 334Jan 8, 2024 to Jul 9, 2024
- Discretionary RAUM · $122M to $128MJan 8, 2024 to Jul 9, 2024
- HNW RAUM · $40.2M to $41.0MJan 8, 2024 to Jul 9, 2024
- Individual RAUM · $81.6M to $87.0MJan 8, 2024 to Jul 9, 2024
- RAUM · $122M to $128MJan 8, 2024 to Jul 9, 2024
- Accounts · 1,070 to 1,043Jan 2, 2024 to Jan 8, 2024
- HNW clients · 62 to 39Jan 2, 2024 to Jan 8, 2024
- Individual clients · 446 to 329Jan 2, 2024 to Jan 8, 2024
- Discretionary RAUM · $113M to $122MJan 2, 2024 to Jan 8, 2024
- HNW RAUM · $36.3M to $40.2MJan 2, 2024 to Jan 8, 2024
Signals
5 dated events
- Jackson Kyle Mccauley (Member) no longer on Schedule A of C••• C••••• A•••••••• L•• (listed 2023-09-07, absent 2023-11-03)Nov 3, 2023 · Control person left · inference
- K••• J•••••• M••••••• left C••• C••••• A•••••••• L•• for E•••••• I••••••••• S•••••••• I•• (registered 2024-04-16)Jun 30, 2023 · Advisor changed firm · fact
- D••••••• S••••• left C••• C••••• A•••••••• L•• for S•••••• F•••••••• G••••• L••••• (registered 2022-11-16)Oct 11, 2022 · Advisor changed firm · fact
- I•• R••••• W••••• left C••• C••••• A•••••••• L•• for V••••• W•••••• L•• (registered 2022-07-27)Jul 8, 2022 · Advisor changed firm · fact
- C••• C••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jan 4, 2022 · 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
- 888-267-1321reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/city-center-financial-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C•••C•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-267-1321reportedpublic record, Form ADV, Jan 19, 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
- $22.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026