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
T•••••••• L••
Latest filing Mar 12, 2024
First filing on the tape Feb 7, 2018 · 65 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
65 filings and snapshots on the tape
RAUM$939M as of Mar 13, 2023
Mar 22, 2019$215M then
HNW client RAUM$34.1M as of Mar 13, 2023
Mar 22, 2019$58.2M then
State-registered IARs (5.B.3)0 as of Mar 12, 2024
Mar 22, 20198 then
Employees (5.A)1 as of Mar 12, 2024
Mar 22, 201911 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 24 to 0offices 21 to 0
Practice profile
derived from the filing of Mar 12, 2024; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- 1-10reported
- 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
Left, latest
- C••••••••• B••••• S•••••• to B•••• W•••••• L••Jun 26, 2024 · Other
- L••••• R•••••• H••••••• to B•••• W•••••• L••Dec 13, 2023 · RIA to RIA
- B•••••• D• V•• to F••••• W••••• M••••••••• L•••Dec 13, 2023 · RIA to a newly registered adviser
- K•••• S•••• B•••••• to F••••• W••••• M••••••••• L•••Dec 13, 2023 · RIA to a newly registered adviser
- A•••••••• C•••• P•••••• to F••••• W••••• M••••••••• L•••Dec 13, 2023 · RIA to a newly registered adviser
- K•••• M•••• G••••• to F••••• W••••• M••••••••• L•••Dec 13, 2023 · RIA to a newly registered adviser
- J••••• J•••••••• M••••••• to F••••• W••••• M••••••••• L•••Dec 13, 2023 · RIA to a newly registered adviser
- A••• C••••••••• S••••• to F••••• W••••• M••••••••• L•••Dec 13, 2023 · RIA to a newly registered adviser
- J••••• C•••••• W•••••••• to F••••• W••••• M••••••••• L•••Dec 13, 2023 · RIA to a newly registered adviser
- N••••••• G••••• C•••••••• to F••••• W••••• M••••••••• L•••Dec 13, 2023 · RIA to RIA
- C•••••• E••••• D••••• to F••••• W••••• M••••••••• L•••Dec 13, 2023 · RIA to a newly registered adviser
- R••••• C•••••• M••••• to B•••• W•••••• L••Dec 4, 2023 · RIA to RIA
- J•••• J••• L••••••• to B•••• W•••••• L••Dec 4, 2023 · RIA to RIA
- E••• G•••••• E•••••• to B•••• W•••••• L••Dec 4, 2023 · RIA to RIA
- D••• W••• to B•••• W•••••• L••Dec 4, 2023 · RIA to RIA
Joined, latest
- E••• L•• H••••••• from A• W••••• M••••••••• L••Jan 16, 2023 · Affiliated broker-dealer or bank to independent RIA
- C•••••• E••••• D••••• from M• C•••••• M••••••••• L••Nov 2, 2022 · RIA to RIA
- R•••••• E••••• H••••• from B••••••••• C•••••• M••••••••• L••Feb 9, 2022 · RIA to RIA
- B•••••• D• V•• from B••••••••• C•••••• M••••••••• L••Feb 7, 2022 · RIA to RIA
- K•••• S•••• B•••••• from B••••••••• C•••••• M••••••••• L••Feb 7, 2022 · RIA to RIA
- A•••••••• C•••• P•••••• from B••••••••• C•••••• M••••••••• L••Feb 7, 2022 · RIA to RIA
- S•••••• J••• C•••• from B••••••••• C•••••• M••••••••• L••Feb 7, 2022 · RIA to RIA
- J••••• C•••••• W•••••••• from B••••••••• C•••••• M••••••••• L••Feb 7, 2022 · RIA to RIA
- L••••• R•••••• H••••••• from B••••••••• W••••• A•••••••• L••Jun 21, 2021 · RIA to RIA
- T••••• A••••••• from B••••••••• W••••• A•••••••• L••Jun 18, 2021 · RIA to RIA
- R••••• C•••••• M••••• from O•••• C•••••• M••••••••• L••May 19, 2021 · Other
- J•••• J••• L••••••• from Q•••••••• P•••••••Feb 9, 2021 · Other
- S•••• L•• W•••••• from O••••••••• S••••••••• I•••Jan 25, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••••• B•••• J•••••• from S••••••••• S••••••••• L••Jun 12, 2020 · Other
- R••• D•••• T••••• from A•••••• C•••••• M••••••••• L••May 22, 2020 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for F••••• W••••• M••••••••• L•••Dec 13, 2023 · Sarasota, Fl
- 6 left for F••••• W••••• M••••••••• L•••Dec 13, 2023 · Brighton, Mi · Firm absorbed
- 11 left for B•••• W•••••• L••Dec 4, 2023 · Sarasota, Fl
- 2 left for B•••• W•••••• L••Dec 4, 2023 · Winston Salem, Nc
- 3 left for A••••••• W••••• M••••••••• L••Mar 2, 2020 · Sarasota, Fl
- 4 joined from B••••••••• C•••••• M••••••••• L••Feb 7, 2022 · Wheaton, Il
- 2 joined from B••••••••• C•••••• M••••••••• L••Feb 7, 2022 · Northville, Mi
- 2 joined from B••••••••• W••••• A•••••••• L••Jun 15, 2021 · Naples, Fl
- 2 joined from G••••• F•••••••• P•••••• C••••••• I•••May 31, 2018 · Sarasota, Fl
- 3 joined from G••••• F•••••••• P•••••• C••••••• I•••Mar 8, 2018 · Sarasota, Fl
- 2 joined from A••••••• W••••• M••••••••• L••May 11, 2015 · West Chappel, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• C••••••••• B••••• · Ceo / Ccocontrolsince 03/2019 · owns less than 5%
- S••••••• C••••••••• B••••• · Ceo / Ccocontrolsince 09/2003 · owns 75% or more of C• S•••••• I••
- H•••••••• C••••••••• B•••• · Ownersince 03/2022 · owns 5% to 10%
Entity owners
- B•••• A••••••• · Majority Ownerdirect · owns 50% to 75%
- C• S•••••• I•• · Ownerdirect · owns 25% to 50%
- B•••• H•••••••• L•• · Holding Company Of B•••• A•••••••, LLCindirect · owns 75% or more of B•••• A•••••••
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Brighton, Mi | 0 | 0 | 0 | ||
| Chapel Hill, Nc | 0 | 0 | 0 | ||
| Clarkston, Mi | 0 | 0 | 0 | ||
| Naples, Fl | 0 | 0 | 0 | ||
| Northville, Mi | 0 | 0 | 0 | ||
| Sarasota, Fl · principal | 0 | 0 | 0 | ||
| Traverse City, Mi | 0 | 0 | 0 | ||
| Winston Salem, Nc | 0 | 0 | 0 | ||
| San Diego, Ca | 0 | 0 | 0 | ||
| Tyler, Tx | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7623.0 to unsetDec 13, 2023 to Mar 12, 2024
- Advisory employees · 24 to 0Dec 13, 2023 to Mar 12, 2024
- Advisory activities · 5 to 1Dec 13, 2023 to Mar 12, 2024
- Individual clients · 1359.0 to unsetDec 13, 2023 to Mar 12, 2024
- Assets in custody · $20.7M to $0Dec 13, 2023 to Mar 12, 2024
- Custody of client assets · true to falseDec 13, 2023 to Mar 12, 2024
- Employees · 27 to 1Dec 13, 2023 to Mar 12, 2024
- Insurance-licensed employees · 0 to 1Dec 13, 2023 to Mar 12, 2024
- State-registered IARs · 24 to 0Dec 13, 2023 to Mar 12, 2024
- Other offices · 20 to 0Dec 13, 2023 to Mar 12, 2024
- Discretionary RAUM · 936496604.0 to unsetDec 13, 2023 to Mar 12, 2024
- HNW RAUM · 34116053.0 to unsetDec 13, 2023 to Mar 12, 2024
- Individual RAUM · 302434913.0 to unsetDec 13, 2023 to Mar 12, 2024
- Non-discretionary RAUM · 2432953.0 to unsetDec 13, 2023 to Mar 12, 2024
- RAUM · 938929557.0 to unsetDec 13, 2023 to Mar 12, 2024
- Other offices · 21 to 20Mar 13, 2023 to Apr 25, 2023
- Accounts · 5,949 to 7,623Nov 11, 2022 to Mar 13, 2023
- Advisory employees · 22 to 24Nov 11, 2022 to Mar 13, 2023
- Individual clients · 847 to 1,359Nov 11, 2022 to Mar 13, 2023
- Assets in custody · $7.7M to $20.7MNov 11, 2022 to Mar 13, 2023
- Employees · 25 to 27Nov 11, 2022 to Mar 13, 2023
- Financial planning clients · 0 to 1-10Nov 11, 2022 to Mar 13, 2023
- State-registered IARs · 22 to 24Nov 11, 2022 to Mar 13, 2023
- Other offices · 13 to 21Nov 11, 2022 to Mar 13, 2023
- Discretionary RAUM · $753M to $936MNov 11, 2022 to Mar 13, 2023
- HNW RAUM · $36.8M to $34.1MNov 11, 2022 to Mar 13, 2023
- Individual RAUM · $195M to $302MNov 11, 2022 to Mar 13, 2023
- Non-discretionary RAUM · $4.7M to $2.4MNov 11, 2022 to Mar 13, 2023
- RAUM · $758M to $939MNov 11, 2022 to Mar 13, 2023
- Advisory employees · 21 to 22Jun 22, 2022 to Aug 15, 2022
- Employees · 24 to 25Jun 22, 2022 to Aug 15, 2022
- State-registered IARs · 21 to 22Jun 22, 2022 to Aug 15, 2022
- Other offices · 12 to 13Jun 22, 2022 to Aug 15, 2022
- Accounts · 3,405 to 5,949Jan 3, 2022 to Mar 31, 2022
- Advisory employees · 14 to 21Jan 3, 2022 to Mar 31, 2022
- Individual clients · 482 to 847Jan 3, 2022 to Mar 31, 2022
- Assets in custody · $10.2M to $7.7MJan 3, 2022 to Mar 31, 2022
- Employees · 17 to 24Jan 3, 2022 to Mar 31, 2022
- Financial planning clients · 11-25 to 0Jan 3, 2022 to Mar 31, 2022
- State-registered IARs · 14 to 21Jan 3, 2022 to Mar 31, 2022
Signals
40 dated events
- C••••••••• B••••• S•••••• left T•••••••• L•• for B•••• W•••••• L•• (registered 2023-12-18)Jun 26, 2024 · Advisor changed firm · fact
- T•••••••• L•• reported 0 state-registered advisory representatives, down from 24 (2023-12-13 to 2024-03-12)Mar 12, 2024 · Advisor headcount change · derived
- T•••••••• L•• reported 0 offices beyond its principal office, down from 20 (2023-12-13 to 2024-03-12)Mar 12, 2024 · Office count change · derived
- K•••• M•••• G••••• left T•••••••• L•• for F••••• W••••• M••••••••• L••• (registered 2023-09-15)Dec 13, 2023 · Advisor changed firm · fact
- J••••• J•••••••• M••••••• left T•••••••• L•• for F••••• W••••• M••••••••• L••• (registered 2023-09-12)Dec 13, 2023 · Advisor changed firm · fact
- T•••••••• L••'s advisors moved to F••••• W••••• M••••••••• L••• (Brighton, MI): 7 of 11 registered, on the same dayDec 13, 2023 · Firm absorbed (people side) · derived
- K•••• S•••• B•••••• left T•••••••• L•• for F••••• W••••• M••••••••• L••• (registered 2023-09-12)Dec 13, 2023 · Advisor changed firm · fact
- A•••••••• C•••• P•••••• left T•••••••• L•• for F••••• W••••• M••••••••• L••• (registered 2023-09-12)Dec 13, 2023 · Advisor changed firm · fact
- 2 advisors left T•••••••• L•• (Sarasota, FL) for F••••• W••••• M••••••••• L••• on the same dayDec 13, 2023 · Team lift-out · derived
- A••• C••••••••• S••••• left T•••••••• L•• for F••••• W••••• M••••••••• L••• (registered 2023-09-27)Dec 13, 2023 · Advisor changed firm · fact
- B•••••• D• V•• left T•••••••• L•• for F••••• W••••• M••••••••• L••• (registered 2023-09-15)Dec 13, 2023 · Advisor changed firm · fact
- L••••• R•••••• H••••••• left T•••••••• L•• for B•••• W•••••• L•• (registered 2023-12-18)Dec 13, 2023 · Advisor changed firm · fact
- C•••••• E••••• D••••• left T•••••••• L•• for F••••• W••••• M••••••••• L••• (registered 2023-09-14)Dec 13, 2023 · Advisor changed firm · fact
- J••••• C•••••• W•••••••• left T•••••••• L•• for F••••• W••••• M••••••••• L••• (registered 2023-09-12)Dec 13, 2023 · Advisor changed firm · fact
- N••••••• G••••• C•••••••• left T•••••••• L•• for F••••• W••••• M••••••••• L••• (registered 2024-01-07)Dec 13, 2023 · Advisor changed firm · fact
- T••••• A••••••• left T•••••••• L•• for B•••• W•••••• L•• (registered 2024-01-03)Dec 4, 2023 · Advisor changed firm · fact
- S•••• L•• W•••••• left T•••••••• L•• for B•••• W•••••• L•• (registered 2023-12-04)Dec 4, 2023 · Advisor changed firm · fact
- D••• W••• left T•••••••• L•• for B•••• W•••••• L•• (registered 2023-12-07)Dec 4, 2023 · Advisor changed firm · fact
- J••••• B•••• J•••••• left T•••••••• L•• for B•••• W•••••• L•• (registered 2023-12-04)Dec 4, 2023 · Advisor changed firm · fact
- R••••• C•••••• M••••• left T•••••••• L•• for B•••• W•••••• L•• (registered 2024-04-26)Dec 4, 2023 · Advisor changed firm · fact
- S••••••• R•••• G•••••• left T•••••••• L•• for B•••• W•••••• L•• (registered 2023-12-13)Dec 4, 2023 · Advisor changed firm · fact
- D•••• J••• B•••• left T•••••••• L•• for B•••• W•••••• L•• (registered 2023-12-13)Dec 4, 2023 · Advisor changed firm · fact
- N••••••• P••• G•••••• left T•••••••• L•• for B•••• W•••••• L•• (registered 2023-12-13)Dec 4, 2023 · Advisor changed firm · fact
- J•••• J••• L••••••• left T•••••••• L•• for B•••• W•••••• L•• (registered 2023-12-05)Dec 4, 2023 · Advisor changed firm · fact
- E••• L•• H••••••• left T•••••••• L•• for B•••• W•••••• L•• (registered 2023-12-04)Dec 4, 2023 · Advisor changed firm · fact
- E••• G•••••• E•••••• left T•••••••• L•• for B•••• W•••••• L•• (registered 2023-12-04)Dec 4, 2023 · Advisor changed firm · fact
- 9 advisors left T•••••••• L•• (Sarasota, FL) for B•••• W•••••• L•• within 9 daysDec 4, 2023 · Team lift-out · derived
- R••• D•••• T••••• left T•••••••• L•• for B•••• W•••••• L•• (registered 2023-12-13)Dec 4, 2023 · Advisor changed firm · fact
- 2 advisors left T•••••••• L•• (Winston Salem, NC) for B•••• W•••••• L•• on the same dayDec 4, 2023 · Team lift-out · derived
- R•••••• E••••• H••••• left T•••••••• L•• for A••••• W••••• M••••••••• (registered 2023-10-05)Nov 8, 2023 · Advisor changed firm · 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