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
R•••• R••••• I••••••••• P•••••••• I•••
Latest filing Jun 26, 2026
First filing on the tape Jun 26, 2026 · 1 filings
SEC status approved since Jul 14, 2026
RAUM
$164M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$164M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$81.8M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $164M
HNW client RAUM: $65.9M
State-registered IARs (5.B.3): 2
Employees (5.A): 4
Private funds: no history
Practice profile
derived from the filing of Jun 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $81.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 287derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $757,814derivedHNW RAUM over HNW clients
- Average account
- $188,629derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived2 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, 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
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$97.6M60%
- High-net-worth individuals$65.9M40%
- Individual clients
- 487reported
- HNW clients
- 87reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 867reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• E••••• B•••• | Monroe, Mi | Aug 15, 2018 | 20 y | 2 |
| A••• J•••• M••••••••• | Monroe, Mi | Sep 10, 2019 | 19 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- C••••• E••• R••••• to F••••• W••••• M••••••••• L•••Aug 5, 2026 · RIA to RIA
Joined, latest
- A••• J•••• M••••••••• from L•• F•••••••• L••Sep 10, 2019 · Affiliated broker-dealer or bank to independent RIA
- S•••• E••••• B•••• from L•• F•••••••• L••Aug 15, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• S••••• E• · President & Chief Compliance Officercontrolsince 07/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Monroe, Mi · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- C••••• E••• R••••• left R•••• R••••• I••••••••• P•••••••• I••• for F••••• W••••• M••••••••• L••• (registered 2026-07-24)Aug 5, 2026 · 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.
How to reach
public business contact points only, each with its source
- Website
- rrinvp.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (734) 241-5771reportedpublic record, Form ADV, Jun 26, 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
- $81.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026