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

O•• P•••• W••••• M••••••••• L••

Former SEC-registered adviserPortage, MichiganCRD 286152SEC 801-110443IAPD
Latest filing Mar 12, 2018
First filing on the tape Apr 12, 2017 · 5 filings
RAUM
$135M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$135M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$135M as of Mar 12, 2018
Apr 12, 2017$0 then
HNW client RAUM: $35.0M
State-registered IARs (5.B.3)4 as of Mar 12, 2018
Apr 12, 20177 then
Employees (5.A)5 as of Mar 12, 2018
Apr 12, 20177 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 12, 2018; every figure names its basis
RAUM per advisor
$33.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
138derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$124,092derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program
$135MreportedItem 5.I
Custody
$1.4M, 26 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$100M74%
  • High-net-worth individuals$35.0M26%
Individual clients
525reported
HNW clients
25reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,090reported
Financial planning clients
251-500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$1.4M for 26 clientsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K••••• T•••••• D••••• · Membercontrol
    since 12/2016 · owns 25% to 50%
  • K•••••••• J•••• T••••• · President / Chief Compliance Officercontrol
    since 12/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Marshall, MI1 employees
What changed
consecutive filings, newest first
  • Accounts · 484 to 1,090
    Jul 17, 2017 to Mar 12, 2018
  • Advisory employees · 6 to 5
    Jul 17, 2017 to Mar 12, 2018
  • BD registered reps · 6 to 4
    Jul 17, 2017 to Mar 12, 2018
  • HNW clients · unset to 25.0
    Jul 17, 2017 to Mar 12, 2018
  • Individual clients · unset to 525.0
    Jul 17, 2017 to Mar 12, 2018
  • Assets in custody · unset to 1409389.0
    Jul 17, 2017 to Mar 12, 2018
  • Custody of client assets · false to true
    Jul 17, 2017 to Mar 12, 2018
  • Employees · 7 to 5
    Jul 17, 2017 to Mar 12, 2018
  • Insurance-licensed employees · 0 to 1
    Jul 17, 2017 to Mar 12, 2018
  • Financial planning clients · 0 to 251-500
    Jul 17, 2017 to Mar 12, 2018
  • State-registered IARs · 7 to 4
    Jul 17, 2017 to Mar 12, 2018
  • Other offices · unset to 1.0
    Jul 17, 2017 to Mar 12, 2018
  • Discretionary RAUM · $127M to $135M
    Jul 17, 2017 to Mar 12, 2018
  • HNW RAUM · unset to 35000000.0
    Jul 17, 2017 to Mar 12, 2018
  • Individual RAUM · unset to 100260000.0
    Jul 17, 2017 to Mar 12, 2018
  • RAUM · $127M to $135M
    Jul 17, 2017 to Mar 12, 2018
  • Wrap assets (manager) · unset to 0.0
    Jul 17, 2017 to Mar 12, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Jul 17, 2017 to Mar 12, 2018
  • Accounts · 0 to 484
    Jun 9, 2017 to Jul 17, 2017
  • Discretionary RAUM · $0 to $127M
    Jun 9, 2017 to Jul 17, 2017
  • RAUM · $0 to $127M
    Jun 9, 2017 to Jul 17, 2017
Signals
1 dated events
  • O•• P•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Apr 12, 2017 · 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