DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

W•••• F•••••••• M••••••••• L••

Independent wealth managerKalamazoo, MichiganCRD 283239SEC 801-107444website IAPD

Latest filing Sep 15, 2026

First filing on the tape Mar 11, 2016 · 20 filings

SEC status approved since Mar 17, 2016

RAUM

$613M

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

100%

$612M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$153M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM$613M as of Feb 27, 2026

Mar 29, 2017$193M then

HNW client RAUM$550M as of Feb 27, 2026

Mar 29, 2018$169M then

State-registered IARs (5.B.3)4 as of Feb 27, 2026

Mar 29, 20172 then

Employees (5.A)6 as of Feb 27, 2026

Mar 29, 20175 then

Private funds: no history

RAUM +15% over the last fiscal year+14% a year over threeIARs 3 to 4

Practice profile

derived from the filing of Sep 15, 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
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $153MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 90derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.6MderivedHNW RAUM over HNW clients
Average account: $540,743derivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +15%derivedbetween the last two annual amendments
Advisor growth, one year: +33%derivedItem 5.B.3 between annual amendments
Client growth, one year: -1.6%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program: $596MreportedItem 5.I
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)
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$550M90%
Individuals$61.2M10.0%
Corporations and businesses$672,8850.1%
Charitable organizations$393,5770.1%

Individual clients: 205reported
HNW clients: 155reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1,133reported
Financial planning clients: 251-500reported
Wrap fee programs: $596M sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
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

4 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M•••••• R•••••• W••••Certified Financial Planner	Kalamazoo, Mi	May 25, 2016	32 y	1
L••• M• H•••••••••	Kalamazoo, Mi	Mar 16, 2018	20 y	1
J•••• V••••• M••••Certified Financial Planner	Kalamazoo, Mi	Apr 4, 2022	13 y	1
S••••• D•••• P•••••••••Certified Financial Planner	Kalamazoo, Mi	Feb 12, 2026	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 headcount1 left over 36 months

Left, latest

F•••• G•••••• P•••••• to E••••• J••••
Nov 13, 2023 · RIA to affiliated broker-dealer or bank
J••••••• M•••••• V•••• to O•••• I••••••••• I•••
Aug 6, 2020 · RIA to affiliated broker-dealer or bank

Joined, latest

J•••• V••••• M•••• from K••••• A••••••• S•••••••• L••
Apr 4, 2022 · Affiliated broker-dealer or bank to independent RIA
L••• M• H••••••••• from T••••••••• F•••••••• A•••••••• L••
Mar 16, 2018 · Other
M•••••• R•••••• W•••• from T••••••••• F•••••••• A•••••••• L••
May 25, 2016 · Other
J••••••• M•••••• V•••• from T••••••••• F•••••••• A•••••••• L••
May 25, 2016 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

W••••• M••••••• R•••••• · Managing Membercontrol
since 04/2016 · owns 75% or more
L•••••• L•••• M•••• · Cco
since 03/2023 · owns less than 5%

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	4	1	0

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Financial planning clients · 251-500 to 251-500
Feb 27, 2026 to Sep 15, 2026
Succession · false to unset
Feb 27, 2026 to Sep 15, 2026
Accounts · 1,131 to 1,133
Mar 17, 2025 to Feb 27, 2026
HNW clients · 137 to 155
Mar 17, 2025 to Feb 27, 2026
Individual clients · 229 to 205
Mar 17, 2025 to Feb 27, 2026
State-registered IARs · 3 to 4
Mar 17, 2025 to Feb 27, 2026
Discretionary RAUM · $522M to $604M
Mar 17, 2025 to Feb 27, 2026
HNW RAUM · $460M to $550M
Mar 17, 2025 to Feb 27, 2026
Individual RAUM · $70.6M to $61.2M
Mar 17, 2025 to Feb 27, 2026
Non-discretionary RAUM · $9.4M to $8.9M
Mar 17, 2025 to Feb 27, 2026
RAUM · $532M to $613M
Mar 17, 2025 to Feb 27, 2026
Wrap assets (sponsor) · $515M to $596M
Mar 17, 2025 to Feb 27, 2026
Accounts · 1,138 to 1,131
Mar 15, 2024 to Mar 17, 2025
Advisory employees · 3 to 4
Mar 15, 2024 to Mar 17, 2025
HNW clients · 125 to 137
Mar 15, 2024 to Mar 17, 2025
Individual clients · 216 to 229
Mar 15, 2024 to Mar 17, 2025
Employees · 5 to 6
Mar 15, 2024 to Mar 17, 2025
Financial planning clients · 251-500 to 251-500
Mar 15, 2024 to Mar 17, 2025
Discretionary RAUM · $460M to $522M
Mar 15, 2024 to Mar 17, 2025
HNW RAUM · $392M to $460M
Mar 15, 2024 to Mar 17, 2025
Individual RAUM · $72.0M to $70.6M
Mar 15, 2024 to Mar 17, 2025
Non-discretionary RAUM · $5.8M to $9.4M
Mar 15, 2024 to Mar 17, 2025
RAUM · $466M to $532M
Mar 15, 2024 to Mar 17, 2025
Wrap assets (sponsor) · $453M to $515M
Mar 15, 2024 to Mar 17, 2025
Accounts · 1,064 to 1,138
Oct 9, 2023 to Mar 15, 2024
HNW clients · 111 to 125
Oct 9, 2023 to Mar 15, 2024
Individual clients · 220 to 216
Oct 9, 2023 to Mar 15, 2024
Other offices · 0 to 1
Oct 9, 2023 to Mar 15, 2024
Discretionary RAUM · $404M to $460M
Oct 9, 2023 to Mar 15, 2024
HNW RAUM · $337M to $392M
Oct 9, 2023 to Mar 15, 2024
Individual RAUM · $72.0M to $72.0M
Oct 9, 2023 to Mar 15, 2024
Non-discretionary RAUM · $5.5M to $5.8M
Oct 9, 2023 to Mar 15, 2024
RAUM · $410M to $466M
Oct 9, 2023 to Mar 15, 2024
Wrap assets (sponsor) · $0 to $453M
Oct 9, 2023 to Mar 15, 2024
Accounts · 997 to 1,064
Mar 29, 2022 to Mar 22, 2023
HNW clients · 116 to 111
Mar 29, 2022 to Mar 22, 2023
Individual clients · 228 to 220
Mar 29, 2022 to Mar 22, 2023
Assets in custody · 194661811.0 to unset
Mar 29, 2022 to Mar 22, 2023
Custody of client assets · true to false
Mar 29, 2022 to Mar 22, 2023
Employees · 4 to 5
Mar 29, 2022 to Mar 22, 2023

Signals

7 dated events

F•••• G•••••• P•••••• left W•••• F•••••••• M••••••••• L•• for E••••• J•••• (registered 2022-06-21)
Nov 13, 2023 · Advisor changed firm · fact
C••••••••• R••• O•••• (Chief Compliance Officer) no longer on Schedule A of W•••• F•••••••• M••••••••• L•• (listed 2022-03-29, absent 2023-03-22)
Mar 22, 2023 · Control person left · inference
C••••••••• R••• O•••• (Chief Compliance Officer) appeared on Schedule A of W•••• F•••••••• M••••••••• L••
Mar 29, 2022 · Control person joined · fact
Doris Rene P•••••• (Chief Compliance Officer) no longer on Schedule A of W•••• F•••••••• M••••••••• L•• (listed 2021-10-06, absent 2022-03-29)
Mar 29, 2022 · Control person left · inference
Doris Rene P•••••• (Chief Compliance Officer) appeared on Schedule A of W•••• F•••••••• M••••••••• L••
Mar 29, 2021 · Control person joined · fact
M•••• Laurie Arnsman (Chief Compliance Officer) no longer on Schedule A of W•••• F•••••••• M••••••••• L•• (listed 2020-06-24, absent 2021-03-29)
Mar 29, 2021 · Control person left · inference
W•••• F•••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Mar 11, 2016 · 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 email: a••@w••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: b•••••@w••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: l•••••@w••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: s••@w••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 269-372-3100reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 269-372-3190reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 646-395-3902reportedpublished by the firm, firm site, Sep 15, 2026
Website: w••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 269-372-3100reportedpublic record, Form ADV, Sep 15, 2026
Contact form: w••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Team page: w••••••••.comreportedpublished 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: $153Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026