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
A•• T•• F•••••••• A•••••••• L••
Latest filing Feb 13, 2023
First filing on the tape Apr 1, 2021 · 8 filings
RAUM
$27.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$22.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
8 filings and snapshots on the tape
RAUM$27.1M as of Feb 13, 2023
Mar 29, 2022$39.2M then
HNW client RAUM$6.3M as of Feb 13, 2023
Mar 29, 2022$8.7M then
State-registered IARs (5.B.3)2 as of Feb 13, 2023
Mar 29, 20223 then
Employees (5.A)2 as of Feb 13, 2023
Mar 29, 20223 then
Private funds: no history
RAUM -31% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Feb 13, 2023; every figure names its basis
- RAUM per advisor
- $13.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $154,743derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 17%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
- -31%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$16.2M60%
- High-net-worth individuals$6.3M23%
- Pension and profit-sharing plans$4.6M17%
- Individual clients
- 73reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 175reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- T••••••• C••••••••• S••••••• to D•• I••••••••• A•••••••• L••Jan 2, 2024 · RIA to RIA
- Z•••••• D• R••••• to S•••••••••Jan 2, 2024 · RIA to RIA
Joined, latest
- Z•••••• D• R••••• from D•• I••••••••• A•••••••• L••Jul 1, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• T•••••••• C••••••••• · Owner / Chief Compliance Officercontrolsince 01/2021 · owns 75% or more
Related persons
Schedule D 7.A
- D•• I••••••••• A•••••••• L••investment adviseryRAUM $280M
- D•• P••••••••• P••••••• B••••••investment companyy
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bay City, Mi · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 167 to 175Aug 24, 2022 to Feb 13, 2023
- Advisory employees · 3 to 2Aug 24, 2022 to Feb 13, 2023
- HNW clients · 3.0 to unsetAug 24, 2022 to Feb 13, 2023
- Individual clients · 93 to 73Aug 24, 2022 to Feb 13, 2023
- Pension plan clients · 2.0 to unsetAug 24, 2022 to Feb 13, 2023
- Employees · 3 to 2Aug 24, 2022 to Feb 13, 2023
- State-registered IARs · 3 to 2Aug 24, 2022 to Feb 13, 2023
- Discretionary RAUM · $26.7M to $27.1MAug 24, 2022 to Feb 13, 2023
- HNW RAUM · $6.3M to $6.3MAug 24, 2022 to Feb 13, 2023
- Individual RAUM · $16.0M to $16.2MAug 24, 2022 to Feb 13, 2023
- Pension RAUM · $4.4M to $4.6MAug 24, 2022 to Feb 13, 2023
- RAUM · $26.7M to $27.1MAug 24, 2022 to Feb 13, 2023
- Accounts · 159 to 167Jul 21, 2022 to Aug 22, 2022
- HNW clients · 5 to 3Jul 21, 2022 to Aug 22, 2022
- Discretionary RAUM · $33.9M to $26.7MJul 21, 2022 to Aug 22, 2022
- HNW RAUM · $8.7M to $6.3MJul 21, 2022 to Aug 22, 2022
- Individual RAUM · $25.2M to $16.0MJul 21, 2022 to Aug 22, 2022
- Non-discretionary RAUM · $5.2M to $0Jul 21, 2022 to Aug 22, 2022
- Pension RAUM · $5.2M to $4.4MJul 21, 2022 to Aug 22, 2022
- RAUM · $39.2M to $26.7MJul 21, 2022 to Aug 22, 2022
- Accounts · 140 to 159Jul 30, 2021 to Mar 29, 2022
- HNW clients · 4 to 5Jul 30, 2021 to Mar 29, 2022
- Individual clients · 59 to 93Jul 30, 2021 to Mar 29, 2022
- Pension plan clients · 3 to 2Jul 30, 2021 to Mar 29, 2022
- Financial planning clients · 1-10 to 0Jul 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $29.5M to $33.9MJul 30, 2021 to Mar 29, 2022
- HNW RAUM · $9.2M to $8.7MJul 30, 2021 to Mar 29, 2022
- Individual RAUM · $13.2M to $25.2MJul 30, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $0 to $5.2MJul 30, 2021 to Mar 29, 2022
- Pension RAUM · $7.1M to $5.2MJul 30, 2021 to Mar 29, 2022
- RAUM · $29.5M to $39.2MJul 30, 2021 to Mar 29, 2022
- Advisory employees · 1 to 3Apr 28, 2021 to Jul 30, 2021
- Employees · 2 to 3Apr 28, 2021 to Jul 30, 2021
- Insurance-licensed employees · 0 to 2Apr 28, 2021 to Jul 30, 2021
- State-registered IARs · 1 to 3Apr 28, 2021 to Jul 30, 2021
Signals
4 dated events
- Z•••••• D• R••••• left A•• T•• F•••••••• A•••••••• L•• for Straightline (registered 2024-11-20)Jan 2, 2024 · Advisor changed firm · fact
- T••••••• C••••••••• S••••••• left A•• T•• F•••••••• A•••••••• L•• for D•• I••••••••• A•••••••• L•• (registered 2021-10-07)Jan 2, 2024 · Advisor changed firm · fact
- Gerard Michael Ciaciuch (Chief Compliance Officer) no longer on Schedule A of A•• T•• F•••••••• A•••••••• L•• (listed 2021-04-28, absent 2021-07-30)Jul 30, 2021 · Control person left · inference
- A•• T•• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 1, 2021 · 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.
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