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

G••••••• P••••• P•••••• W••••• M••••••••• L••

Former SEC-registered adviserBrighton, MichiganCRD 284460SEC 801-110920IAPD
Latest filing Nov 7, 2022
First filing on the tape Jul 20, 2016 · 33 filings
RAUM
$30.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$30.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
11 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$30.5M as of Mar 31, 2022
Mar 29, 2017$0 then
HNW client RAUM$0 as of Mar 31, 2022
Mar 30, 2018$0 then
State-registered IARs (5.B.3)11 as of Mar 31, 2022
Mar 29, 20172 then
Employees (5.A)11 as of Mar 31, 2022
Mar 29, 20172 then
Private funds: no history
RAUM +31% over the last fiscal year+9.3% a year over threeIARs 11 to 11
Practice profile
derived from the filing of Nov 7, 2022; every figure names its basis
RAUM per advisor
$2.8MderivedRAUM 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
$119,173derivedRAUM 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
1.4derived8 offices incl. principal (1.F.5)
RAUM growth, one year
+31%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program
$23.4MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$30.5M100%
Individual clients
193reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
256reported
Financial planning clients
1-10reported
Wrap fee programs
$23.4M sponsored, $0 managedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• R•••••• J••• · Principal, Chief I•••••Ment Strategist, And Co-Managing Membercontrol
      since 07/2016 · owns 50% to 75%
    • K•••••• R••••••• A•••• · Principal, Chief Operation Officer, I•••••Ment Representative A••••••, And Co-Managing Membercontrol
      since 07/2016 · owns 50% to 75%
    • K•••••• K•• · Chief Financial Officer
      since 01/2017 · owns less than 5%
    • M••••• J•••• B•••• · Chief Compliance Officer
      since 03/2022 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Troy, MI3 employees
    • Oviedo, FL1 employees
    • Ridgefield, WA1 employees
    • South Daytona, FL1 employees
    • Turnersville, NJ1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 216 to 256
      Mar 31, 2021 to Mar 31, 2022
    • Individual clients · 140 to 193
      Mar 31, 2021 to Mar 31, 2022
    • Discretionary RAUM · $23.4M to $30.5M
      Mar 31, 2021 to Mar 31, 2022
    • Individual RAUM · $23.4M to $30.5M
      Mar 31, 2021 to Mar 31, 2022
    • RAUM · $23.4M to $30.5M
      Mar 31, 2021 to Mar 31, 2022
    • Accounts · 155 to 216
      Jul 28, 2020 to Mar 31, 2021
    • Advisory employees · 8 to 11
      Jul 28, 2020 to Mar 31, 2021
    • Individual clients · 90 to 140
      Jul 28, 2020 to Mar 31, 2021
    • Employees · 12 to 11
      Jul 28, 2020 to Mar 31, 2021
    • Insurance-licensed employees · 1 to 11
      Jul 28, 2020 to Mar 31, 2021
    • State-registered IARs · 8 to 11
      Jul 28, 2020 to Mar 31, 2021
    • Other offices · 6 to 7
      Jul 28, 2020 to Mar 31, 2021
    • Discretionary RAUM · $11.9M to $23.4M
      Jul 28, 2020 to Mar 31, 2021
    • Individual RAUM · $11.9M to $23.4M
      Jul 28, 2020 to Mar 31, 2021
    • RAUM · $11.9M to $23.4M
      Jul 28, 2020 to Mar 31, 2021
    • Wrap assets (sponsor) · $11.3M to $23.4M
      Jul 28, 2020 to Mar 31, 2021
    • Accounts · 356 to 155
      Jan 24, 2020 to Mar 31, 2020
    • Advisory employees · 6 to 8
      Jan 24, 2020 to Mar 31, 2020
    • Individual clients · 206 to 90
      Jan 24, 2020 to Mar 31, 2020
    • Employees · 8 to 12
      Jan 24, 2020 to Mar 31, 2020
    • State-registered IARs · 6 to 8
      Jan 24, 2020 to Mar 31, 2020
    • Discretionary RAUM · $23.3M to $11.9M
      Jan 24, 2020 to Mar 31, 2020
    • Individual RAUM · $23.3M to $11.9M
      Jan 24, 2020 to Mar 31, 2020
    • RAUM · $23.3M to $11.9M
      Jan 24, 2020 to Mar 31, 2020
    • Wrap assets (sponsor) · $23.3M to $11.3M
      Jan 24, 2020 to Mar 31, 2020
    • Other offices · 5 to 6
      Mar 29, 2019 to Jan 2, 2020
    • Accounts · 206 to 356
      Jan 31, 2019 to Mar 29, 2019
    • Advisory activities · 5 to 4
      Jan 31, 2019 to Mar 29, 2019
    • Other offices · 7 to 5
      Jan 31, 2019 to Mar 29, 2019
    • Wrap assets (sponsor) · $14.7M to $23.3M
      Jan 31, 2019 to Mar 29, 2019
    • Accounts · 278 to 206
      May 29, 2018 to Jan 31, 2019
    • Advisory employees · 8 to 6
      May 29, 2018 to Jan 31, 2019
    • Individual clients · 118 to 206
      May 29, 2018 to Jan 31, 2019
    • Employees · 10 to 8
      May 29, 2018 to Jan 31, 2019
    • State-registered IARs · 9 to 6
      May 29, 2018 to Jan 31, 2019
    • Discretionary RAUM · $17.8M to $23.3M
      May 29, 2018 to Jan 31, 2019
    • Individual RAUM · $15.5M to $23.3M
      May 29, 2018 to Jan 31, 2019
    • RAUM · $17.8M to $23.3M
      May 29, 2018 to Jan 31, 2019
    • Accounts · 246 to 278
      May 1, 2018 to May 29, 2018
    • Discretionary RAUM · $15.5M to $17.8M
      May 1, 2018 to May 29, 2018
    Signals
    8 dated events
    • S•••• J•• K••• left G••••••• P••••• P•••••• W••••• M••••••••• L•• for S•••••••• A•••••• N•••••• (registered 2022-12-21)
      Dec 20, 2022 · a•••••• firm change · fact
    • D•••• H••••• K••••• left G••••••• P••••• P•••••• W••••• M••••••••• L•• for S•••••••• A•••••• N•••••• (registered 2022-12-19)
      Dec 20, 2022 · a•••••• firm change · fact
    • P••• E••••• C•••••• left G••••••• P••••• P•••••• W••••• M••••••••• L•• for S•••••••• A•••••• N•••••• (registered 2022-12-21)
      Dec 20, 2022 · a•••••• firm change · fact
    • N••• A••• K••••• left G••••••• P••••• P•••••• W••••• M••••••••• L•• for S•••••••• A•••••• N•••••• (registered 2022-12-21)
      Dec 20, 2022 · a•••••• firm change · fact
    • G••••••• P••••• P•••••• W••••• M••••••••• L••'s advisors moved to S•••••••• A•••••• N•••••• (Brighton, MI): 4 of 5 registered, on the same day
      Dec 20, 2022 · Firm absorbed (people side) · derived
    • N••••• D••••• M•••• left G••••••• P••••• P•••••• W••••• M••••••••• L•• for S•••••••• A•••••• N•••••• (registered 2023-03-21)
      Dec 20, 2022 · a•••••• firm change · fact
    • C•••• M•••• D•••• left G••••••• P••••• P•••••• W••••• M••••••••• L•• for G••••••• A•••••••• L•• (registered 2022-06-15)
      Jun 2, 2022 · a•••••• firm change · fact
    • G••••••• P••••• P•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Jul 20, 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