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Former SEC-registered adviserFormer SEC adviser· Midland, Michigan

Former SEC-registered adviser, based in Midland, Michigan, reporting $120M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2020-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $120M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +10%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2020-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 6 Form ADV filings for this adviser, the latest 6.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 294026 · SEC 801-112896 · 6 filingsShow

CRD 294026SEC 801-112896First filing on the tape Mar 21, 2018, latest Mar 27, 2020IAPD

RAUM

$120M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

6 filings and snapshots on the tape

RAUM$120M as of Mar 27, 2020

Feb 13, 2019$109M then

HNW client RAUM: $0

State-registered IARs (5.B.3)1 as of Mar 27, 2020

Feb 13, 20190 then

Employees (5.A)2 as of Mar 27, 2020

Feb 13, 20192 then

Private funds: no history

RAUM +10% over the last fiscal yearIARs 0 to 1

Practice profile

derived from the filing of Mar 27, 2020; every figure names its basis

RAUM per advisor: $120MderivedRAUM 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: $120MderivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +10%derivedbetween 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, hourlyreportedItem 5.E
Advisory activities: portfolio management for businesses and institutionsreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Banks and thrifts$120M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 1reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, 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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M•••••••• T•••••• A•• · President/Ceocontrol
since 02/2018 · owns 75% or more
O•••• C••••••• S• · Chief Compliance Officercontrol
since 02/2018 · owns less than 5%

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

Charity clients · unset to 0.0
Feb 13, 2019 to Mar 27, 2020
Corporate clients · unset to 0.0
Feb 13, 2019 to Mar 27, 2020
HNW clients · unset to 0.0
Feb 13, 2019 to Mar 27, 2020
Individual clients · unset to 0.0
Feb 13, 2019 to Mar 27, 2020
Pension plan clients · unset to 0.0
Feb 13, 2019 to Mar 27, 2020
Pooled vehicle clients · unset to 0.0
Feb 13, 2019 to Mar 27, 2020
State-registered IARs · 0 to 1
Feb 13, 2019 to Mar 27, 2020
HNW RAUM · unset to 0.0
Feb 13, 2019 to Mar 27, 2020
Individual RAUM · unset to 0.0
Feb 13, 2019 to Mar 27, 2020
Non-discretionary RAUM · $109M to $120M
Feb 13, 2019 to Mar 27, 2020
Pension RAUM · unset to 0.0
Feb 13, 2019 to Mar 27, 2020
Pooled vehicle RAUM · unset to 0.0
Feb 13, 2019 to Mar 27, 2020
RAUM · $109M to $120M
Feb 13, 2019 to Mar 27, 2020
Non-discretionary RAUM · $138M to $109M
Nov 6, 2018 to Feb 13, 2019
RAUM · $138M to $109M
Nov 6, 2018 to Feb 13, 2019
Accounts · unset to 1.0
Mar 21, 2018 to May 22, 2018
Discretionary RAUM · unset to 0.0
Mar 21, 2018 to May 22, 2018
Non-discretionary RAUM · unset to 138000000.0
Mar 21, 2018 to May 22, 2018
RAUM · unset to 138000000.0
Mar 21, 2018 to May 22, 2018

Signals

1 dated events

••• Locked
Mar 21, 2018 · 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