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••••• Z•••• • A••••••••• L••

Former SEC-registered adviserBingham Farms, MichiganCRD 284447SEC 801-108104IAPD
Latest filing Mar 28, 2023
First filing on the tape Jul 1, 2016 · 17 filings
RAUM
$102M
reported, Item 5.F
Discretionary
42%
of RAUM
Private clients
100%
$102M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$102M as of Mar 28, 2023
Mar 20, 2017$261M then
HNW client RAUM$102M as of Mar 28, 2023
Mar 31, 2020$102M then
State-registered IARs (5.B.3)1 as of Mar 28, 2023
Mar 20, 20171 then
Employees (5.A)3 as of Mar 28, 2023
Mar 20, 20173 then
Private funds1 as of Feb 26, 2018
Mar 20, 20171 then
RAUM -29% over the last fiscal year-0.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 28, 2023; every figure names its basis
RAUM per advisor
$102MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
42%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-29%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisers, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$102M100%
Individual clients
n/areported
HNW clients
83reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
83reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    R•••••• L•••••• P•••••••••no longer reportedOther Private Fund$19.5M7Mar 1, 2016
    Owners and control persons
    Schedule A and B, latest filing
    • Z••••• A•••••• E••••• · Managing Member And Ccocontrol
      since 06/2016 · owns less than 5%
    • Z••••• C••••• A• · Majority Owner
      since 06/2016 · owns 75% or more of N•••• F••••• N•• F•••• L•
    Entity owners
    • N•••• F••••• N•• F•••• L• · Majority Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 106 to 83
      Mar 16, 2022 to Mar 28, 2023
    • HNW clients · 106 to 83
      Mar 16, 2022 to Mar 28, 2023
    • Discretionary RAUM · $66.7M to $43.3M
      Mar 16, 2022 to Mar 28, 2023
    • HNW RAUM · $144M to $102M
      Mar 16, 2022 to Mar 28, 2023
    • Non-discretionary RAUM · $77.5M to $58.9M
      Mar 16, 2022 to Mar 28, 2023
    • RAUM · $144M to $102M
      Mar 16, 2022 to Mar 28, 2023
    • Accounts · 104 to 106
      Mar 29, 2021 to Mar 16, 2022
    • HNW clients · 104 to 106
      Mar 29, 2021 to Mar 16, 2022
    • Employees · 4 to 3
      Mar 29, 2021 to Mar 16, 2022
    • Discretionary RAUM · $62.5M to $66.7M
      Mar 29, 2021 to Mar 16, 2022
    • HNW RAUM · $134M to $144M
      Mar 29, 2021 to Mar 16, 2022
    • Non-discretionary RAUM · $71.6M to $77.5M
      Mar 29, 2021 to Mar 16, 2022
    • RAUM · $134M to $144M
      Mar 29, 2021 to Mar 16, 2022
    • Accounts · 98 to 104
      Mar 8, 2021 to Mar 29, 2021
    • HNW clients · 45 to 104
      Mar 8, 2021 to Mar 29, 2021
    • Discretionary RAUM · $102M to $62.5M
      Mar 8, 2021 to Mar 29, 2021
    • HNW RAUM · $102M to $134M
      Mar 8, 2021 to Mar 29, 2021
    • Non-discretionary RAUM · $0 to $71.6M
      Mar 8, 2021 to Mar 29, 2021
    • RAUM · $102M to $134M
      Mar 8, 2021 to Mar 29, 2021
    • Accounts · 82 to 98
      Mar 11, 2019 to Mar 31, 2020
    • HNW clients · unset to 45.0
      Mar 11, 2019 to Mar 31, 2020
    • Individual clients · 82.0 to unset
      Mar 11, 2019 to Mar 31, 2020
    • Discretionary RAUM · $100M to $102M
      Mar 11, 2019 to Mar 31, 2020
    • HNW RAUM · unset to 102242660.0
      Mar 11, 2019 to Mar 31, 2020
    • Individual RAUM · 100337789.0 to unset
      Mar 11, 2019 to Mar 31, 2020
    • RAUM · $100M to $102M
      Mar 11, 2019 to Mar 31, 2020
    • Accounts · 83 to 82
      Nov 9, 2018 to Mar 11, 2019
    • Advisory activities · 5 to 3
      Nov 9, 2018 to Mar 11, 2019
    • Pooled vehicle clients · 1.0 to unset
      Nov 9, 2018 to Mar 11, 2019
    • Assets in custody · 19521380.0 to unset
      Nov 9, 2018 to Mar 11, 2019
    • Custody of client assets · true to false
      Nov 9, 2018 to Mar 11, 2019
    • Employees · 3 to 4
      Nov 9, 2018 to Mar 11, 2019
    • Private funds · 1 to unset
      Nov 9, 2018 to Mar 11, 2019
    • Discretionary RAUM · $118M to $100M
      Nov 9, 2018 to Mar 11, 2019
    • Individual RAUM · $98.1M to $100M
      Nov 9, 2018 to Mar 11, 2019
    • Pooled vehicle RAUM · 19521380.0 to unset
      Nov 9, 2018 to Mar 11, 2019
    • RAUM · $118M to $100M
      Nov 9, 2018 to Mar 11, 2019
    • Accounts · 126 to 83
      Mar 20, 2017 to Feb 26, 2018
    • Advisory employees · 1 to 2
      Mar 20, 2017 to Feb 26, 2018
    • Individual clients · unset to 82.0
      Mar 20, 2017 to Feb 26, 2018
    Signals
    5 dated events
    • A••••• E••••• Z•••• left A••••• Z•••• • A••••••••• L•• for I••••••••• C•••••• (registered 2023-06-07)
      Jun 7, 2023 · Advisor changed firm · fact
    • D•••• A•••••••• Z•••• left A••••• Z•••• • A••••••••• L•• for I••••••••• C•••••• (registered 2023-06-07)
      Jun 7, 2023 · Advisor changed firm · fact
    • 2 advisors left A••••• Z•••• • A••••••••• L•• (Bingham Farms, MI) for I••••••••• C•••••• on the same day
      Jun 7, 2023 · Team lift-out · derived
    • A••••• Z•••• • A••••••••• L•• reported RAUM $117.6M, down 55% from $260.8M (2017-03-20 to 2018-02-26)
      Feb 26, 2018 · RAUM change · derived
    • A••••• Z•••• • A••••••••• L•• filed its initial SEC registration (Form ADV)
      Jul 1, 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.
    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