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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
F•• A•••••••• I•••
Latest filing Mar 8, 2026
First filing on the tape Feb 5, 2021 · 44 filings
SEC status approved since Mar 8, 2021
RAUM
$573M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$573M individuals and HNW
Advisors
28
registered through the firm on IAPD
RAUM per advisor
$20.5M
derived; firm RAUM over IAPD count
Employees
31
31 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$573M as of Mar 8, 2026
Jan 21, 2022$198M then
HNW client RAUM$60.3M as of Mar 8, 2026
Jan 21, 2022$0 then
State-registered IARs (5.B.3)31 as of Mar 8, 2026
Jan 21, 202218 then
Employees (5.A)31 as of Mar 8, 2026
Jan 21, 202218 then
Private funds: no history
RAUM +45% over the last fiscal year+39% a year over threeIARs 24 to 31offices 0 to 4
Practice profile
derived from the filing of Mar 8, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $20.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 157derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $130,136derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 5.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +45%derivedbetween the last two annual amendments
- Advisor growth, one year
- +29%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +182%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $573M, 4,406 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$513M89%
- High-net-worth individuals$60.3M11%
- Individual clients
- 4,368reported
- HNW clients
- 38reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4,406reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $573M for 4,406 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
28 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• A••••• S••••••Certified Financial Planner | Warren, Mi | Jul 7, 2017 | 16 y | 1 |
| R•••••• D••• T••••••• | Troy, Mi | Aug 30, 2017 | 20 y | 1 |
| M••• A•••••• V•••••••• | Warren, Mi | Aug 30, 2017 | 33 y | 1 |
| J•••••• J•• B•••• | Troy, Mi | Aug 30, 2017 | 24 y | 1 |
| M•••••• V•••••• S•••• | Warren, Mi | Aug 30, 2017 | 17 y | 1 |
| J••• L••••••• S••••• | Troy, Mi | Aug 30, 2017 | 22 y | 1 |
| A••• C••••••••• G•••••• | Troy, Mi | Aug 30, 2017 | 16 y | 1 |
| M•••••• L•••••• W•••••• | Troy, Mi | Sep 1, 2017 | 35 y | 1 |
| J••• M•••••• C••• | Troy, Mi | Sep 1, 2017 | 25 y | 1 |
| B•••• W••••••• S•••••• | Troy, Mi | Sep 7, 2017 | 31 y | 1 |
| A••••• S•••• C•••••• | Troy, Mi | Oct 9, 2017 | 33 y | 1 |
| S••• K•••••• B•••••••• | Troy, Mi | Apr 15, 2019 | 17 y | 0 |
| J••• G••••• R••••••• | Troy, Mi | Jun 2, 2021 | 26 y | 1 |
| A•••••• T••••• R••••••• | Troy, Mi | Jan 21, 2022 | 11 y | 2 |
| J•••• M•••••• M•••••••• | Troy, Mi | Jan 20, 2023 | 10 y | 0 |
| K•••• M•••• T••••••• | Troy, Mi | Mar 23, 2023 | 11 y | 0 |
| R••• M•••••• P••• | Troy, Mi | Jul 19, 2023 | 10 y | 1 |
| J••••• K•••••••• | Troy, Mi | Jan 8, 2025 | 12 y | 0 |
| M••• L•••• K•••••• | Troy, Mi | Jan 8, 2025 | 33 y | 0 |
| J•••••• D•••• M••••••• | Troy, Mi | Jan 9, 2025 | 45 y | 1 |
| D•••• A••••• J•••• | Troy, Mi | Apr 11, 2025 | 17 y | 0 |
| K•••••••• A•• J•••••••• | Troy, Mi | Jul 17, 2025 | 27 y | 0 |
| R•••••• V••••• A••••••• | Troy, Mi | Aug 24, 2025 | 13 y | 1 |
| E••• M•••••• P•••••• | Troy, Mi | Nov 2, 2025 | 11 y | 0 |
| K••••••• A•• J••• | Troy, Mi | Feb 10, 2026 | 11 y | 0 |
| J•••••••• A••••• L•••• | Troy, Mi | Mar 26, 2026 | 12 y | 1 |
| W•••••• J••••• M••••••• | Troy, Mi | May 12, 2026 | 11 y | 0 |
| B•••••• G••••• K••••• | Troy, Mi | Aug 7, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- B••••••• L••••••••• to P•••• S••••••••• L••Jun 3, 2024 · RIA to affiliated broker-dealer or bank
- A•••• G••••• E••••••••• to E•••• • Y•••• I••••••••• A••••••• L••Oct 8, 2021 · Other
- J•••• T•••• S••••• to A••••• A•• P••••••• S•••••••Feb 23, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- J•••••••• A••••• L•••• from A• W••••• M••••••••• L••Mar 26, 2026 · Affiliated broker-dealer or bank to independent RIA
- R•••••• V••••• A••••••• from H•••• F•••••••• S•••••••• I•••Aug 24, 2025 · RIA to RIA
- J•••••• D•••• M••••••• from I••••••••• C•••••• C••• I•••Jan 9, 2025 · RIA to RIA
- R••• M•••••• P••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 19, 2023 · Wirehouse to independent RIA
- A•••••• T••••• R••••••• from A••••••••• F•••••••• S•••••••• L••Jan 21, 2022 · Affiliated broker-dealer or bank to independent RIA
- J••• G••••• R••••••• from T•••••• E••••••••• • P••••••••• I•••Jun 2, 2021 · Other
- A••••• S•••• C•••••• from I••••••••• C•••••• C••• I•••Oct 9, 2017 · RIA to RIA
- B•••• W••••••• S•••••• from I••••••••• C•••••• C••• I•••Sep 7, 2017 · RIA to RIA
- M•••••• L•••••• W•••••• from I••••••••• C•••••• C••• I•••Sep 1, 2017 · RIA to RIA
- J••• M•••••• C••• from I••••••••• C•••••• C••• I•••Sep 1, 2017 · RIA to RIA
- J•••• T•••• S••••• from I••••••••• C•••••• C••• I•••Sep 1, 2017 · RIA to RIA
- J••• L••••••• S••••• from I••••••••• C•••••• C••• I•••Aug 30, 2017 · RIA to RIA
- A••• C••••••••• G•••••• from I••••••••• C•••••• C••• I•••Aug 30, 2017 · RIA to RIA
- J•••••• J•• B•••• from I••••••••• C•••••• C••• I•••Aug 30, 2017 · RIA to RIA
- M•••••• V•••••• S•••• from I••••••••• C•••••• C••• I•••Aug 30, 2017 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 11 joined from I••••••••• C•••••• C••• I•••Dec 15, 2022 · Warren, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• N•••••••• A••••• · President & Chief Compliance Officercontrolsince 01/2017 · owns less than 5%
- J••••• R••••••• D•••• · Ownercontrolsince 01/2021 · owns 75% or more of F•• M•••••••• S•••••• I••
Entity owners
- F•• M•••••••• S•••••• I•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- F•••••••• S••••••• O• A••••••real estaten
- F•• H••••• I•••••••• A•••••real estaten
- F•• T•• • A•••••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Troy, Mi · principal | 25 | 5 | 0 | ||
| Warren, Mi | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 8, 2026RAUM (Item 5.F) moved from $396,180,038 to $573,381,186 (+45.0%) between the annual amendments of 2025-04-16 and 2026-03-08; the peer median change was +16.0% (1385 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 93% percentile
- client count surgeChange between filings · filing Mar 8, 2026individual and HNW clients (Item 5.D) moved from 1,561.0 to 4,406.0 (+182.0%) between the annual amendments of 2025-04-16 and 2026-03-08; the peer median change was +5.0% (1216 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 100% percentile
What changed
consecutive filings, newest first
- Business name · F•••••••• S••••••• O• A•••••• A••••••• to F•• A•••••••• I•••Feb 23, 2026 to Mar 8, 2026
- Accounts · 3,687 to 4,406Nov 20, 2025 to Feb 23, 2026
- Advisory employees · 24 to 31Nov 20, 2025 to Feb 23, 2026
- BD registered reps · 11 to 0Nov 20, 2025 to Feb 23, 2026
- HNW clients · 27 to 38Nov 20, 2025 to Feb 23, 2026
- Individual clients · 1,534 to 4,368Nov 20, 2025 to Feb 23, 2026
- Assets in custody · $396M to $573MNov 20, 2025 to Feb 23, 2026
- Employees · 24 to 31Nov 20, 2025 to Feb 23, 2026
- State-registered IARs · 24 to 31Nov 20, 2025 to Feb 23, 2026
- Other offices · 2 to 4Nov 20, 2025 to Feb 23, 2026
- Discretionary RAUM · $394M to $571MNov 20, 2025 to Feb 23, 2026
- HNW RAUM · $41.7M to $60.3MNov 20, 2025 to Feb 23, 2026
- Individual RAUM · $355M to $513MNov 20, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $2.1M to $2.8MNov 20, 2025 to Feb 23, 2026
- RAUM · $396M to $573MNov 20, 2025 to Feb 23, 2026
- Financial planning clients · 251-500 to 251-500Jun 25, 2025 to Jul 22, 2025
- Other offices · 1 to 2Jun 25, 2025 to Jul 22, 2025
- Other offices · 0 to 1Apr 16, 2025 to Jun 25, 2025
- Advisory employees · 22 to 24Jan 24, 2025 to Apr 16, 2025
- BD registered reps · 13 to 11Jan 24, 2025 to Apr 16, 2025
- Employees · 22 to 24Jan 24, 2025 to Apr 16, 2025
- State-registered IARs · 22 to 24Jan 24, 2025 to Apr 16, 2025
- Accounts · 1,441 to 3,687Dec 12, 2024 to Jan 24, 2025
- HNW clients · 17 to 27Dec 12, 2024 to Jan 24, 2025
- Individual clients · 1,424 to 1,534Dec 12, 2024 to Jan 24, 2025
- Assets in custody · $285M to $396MDec 12, 2024 to Jan 24, 2025
- Discretionary RAUM · $289M to $394MDec 12, 2024 to Jan 24, 2025
- HNW RAUM · $25.7M to $41.7MDec 12, 2024 to Jan 24, 2025
- Individual RAUM · $266M to $355MDec 12, 2024 to Jan 24, 2025
- Non-discretionary RAUM · $3.6M to $2.1MDec 12, 2024 to Jan 24, 2025
- RAUM · $292M to $396MDec 12, 2024 to Jan 24, 2025
- Advisory employees · 23 to 22Jun 3, 2024 to Jul 11, 2024
- Employees · 23 to 22Jun 3, 2024 to Jul 11, 2024
- State-registered IARs · 23 to 22Jun 3, 2024 to Jul 11, 2024
- Advisory employees · 24 to 23May 7, 2024 to Jun 3, 2024
- Employees · 24 to 23May 7, 2024 to Jun 3, 2024
- State-registered IARs · 24 to 23May 7, 2024 to Jun 3, 2024
- Advisory employees · 22 to 24Mar 1, 2024 to May 7, 2024
- Employees · 22 to 24Mar 1, 2024 to May 7, 2024
- State-registered IARs · 22 to 24Mar 1, 2024 to May 7, 2024
Signals
5 dated events
- F•• A•••••••• I••• reported RAUM $573.4M, up 45% from $396.2M (2025-11-20 to 2026-02-23)Feb 23, 2026 · RAUM change · derived
- F•• A•••••••• I••• reported RAUM $396.2M, up 36% from $292.1M (2024-12-12 to 2025-01-24)Jan 24, 2025 · RAUM change · derived
- B••••••• L••••••••• left F•• A•••••••• I••• for P•••• S••••••••• L•• (registered 2024-06-21)Jun 3, 2024 · Advisor changed firm · fact
- 11 advisors left I••••••••• C•••••• C••• I••• (Warren, MI) for F•• A•••••••• I••• within 5 daysDec 15, 2022 · Team lift-out · derived
- F•••••••• S••••••• O• A•••••• A••••••• filed its initial SEC registration (Form ADV)Feb 5, 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.
How to reach
public business contact points only, each with its source
- Business email
- info@fsa1.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-977-9292reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (800) 977-9292reportedpublic record, Form ADV, Mar 8, 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
- $20.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026