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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SEC-registered adviser
L•••••••• F•••••••• P••••••• I•••
Latest filing Feb 11, 2026
First filing on the tape Oct 18, 2018 · 20 filings
SEC status approved since Nov 19, 2018
RAUM
$469M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$469M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$469M as of Feb 11, 2026
Mar 12, 2019$215M then
HNW client RAUM$339M as of Feb 11, 2026
Mar 12, 2019$100M then
State-registered IARs (5.B.3)3 as of Feb 11, 2026
Mar 12, 20194 then
Employees (5.A)5 as of Feb 11, 2026
Mar 12, 20196 then
Private funds: no history
RAUM +16% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 11, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 123derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $347,336derivedRAUM 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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- 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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$339M72%
- Individuals$130M28%
- Individual clients
- 346reported
- HNW clients
- 145reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,351reported
- Financial planning clients
- reported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• E••••• R••••Certified Financial Planner | Saint Clair Shores, Mi | Nov 19, 2018 | 22 y | 4 |
| J•••••• F•••••• B•••••• | Saint Clair Shores, Mi | Nov 19, 2018 | 33 y | 1 |
| R•••••• J••• D•••••••• | Saint Clair Shores, Mi | Jul 2, 2026 | 28 y | 1 |
| D••••• C•••• B••••••Certified Financial Planner | Saint Clair Shores, Mi | Aug 19, 2026 | 14 y | 4 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- B•••••• I••••••• to H•••••••• A•••••••• L••Sep 22, 2023 · RIA to affiliated broker-dealer or bank
- M•••••• A•••• F••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 8, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- D••••• C•••• B•••••• from K••••• W••••• M••••••••• I•••Aug 19, 2026 · RIA to RIA
- R•••••• J••• D•••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- J•••••• F•••••• B•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 19, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- M••• E••••• R•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 19, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• A•••• F••••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 19, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 31, 2018 · Saint Clair Shores, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J••••••• F•••••• · Presidentcontrolsince 09/2018 · owns 75% or more
- J••••••• P•••••••• A•• · Chief Compliance Officercontrolsince 12/2019 · owns less than 5%
- R••••• M•••• E••••• · Vice Presidentcontrolsince 09/2018 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Saint Clair Shores, Mi · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rochester, MI1 employees
What changed
consecutive filings, newest first
- Accounts · 1,290 to 1,351Nov 11, 2025 to Feb 11, 2026
- HNW clients · 112 to 145Nov 11, 2025 to Feb 11, 2026
- Individual clients · 361 to 346Nov 11, 2025 to Feb 11, 2026
- Employees · 6 to 5Nov 11, 2025 to Feb 11, 2026
- Discretionary RAUM · $404M to $469MNov 11, 2025 to Feb 11, 2026
- HNW RAUM · $275M to $339MNov 11, 2025 to Feb 11, 2026
- Individual RAUM · $129M to $130MNov 11, 2025 to Feb 11, 2026
- RAUM · $404M to $469MNov 11, 2025 to Feb 11, 2026
- Financial planning clients · unset to Feb 12, 2025 to Jul 25, 2025
- Accounts · 1,262 to 1,290Mar 6, 2024 to Feb 12, 2025
- HNW clients · 107 to 112Mar 6, 2024 to Feb 12, 2025
- Individual clients · 353 to 361Mar 6, 2024 to Feb 12, 2025
- Discretionary RAUM · $354M to $404MMar 6, 2024 to Feb 12, 2025
- HNW RAUM · $223M to $275MMar 6, 2024 to Feb 12, 2025
- Individual RAUM · $131M to $129MMar 6, 2024 to Feb 12, 2025
- RAUM · $354M to $404MMar 6, 2024 to Feb 12, 2025
- Accounts · 1,244 to 1,262Oct 25, 2023 to Mar 6, 2024
- Advisory employees · 4 to 3Oct 25, 2023 to Mar 6, 2024
- HNW clients · 86 to 107Oct 25, 2023 to Mar 6, 2024
- Individual clients · 391 to 353Oct 25, 2023 to Mar 6, 2024
- State-registered IARs · 4 to 3Oct 25, 2023 to Mar 6, 2024
- Discretionary RAUM · $314M to $354MOct 25, 2023 to Mar 6, 2024
- HNW RAUM · $177M to $223MOct 25, 2023 to Mar 6, 2024
- Individual RAUM · $137M to $131MOct 25, 2023 to Mar 6, 2024
- RAUM · $314M to $354MOct 25, 2023 to Mar 6, 2024
- Accounts · 1,146 to 1,244Dec 14, 2022 to Feb 21, 2023
- HNW clients · 118 to 86Dec 14, 2022 to Feb 21, 2023
- Individual clients · 311 to 391Dec 14, 2022 to Feb 21, 2023
- Employees · 7 to 6Dec 14, 2022 to Feb 21, 2023
- Discretionary RAUM · $355M to $314MDec 14, 2022 to Feb 21, 2023
- HNW RAUM · $240M to $177MDec 14, 2022 to Feb 21, 2023
- Individual RAUM · $115M to $137MDec 14, 2022 to Feb 21, 2023
- RAUM · $355M to $314MDec 14, 2022 to Feb 21, 2023
- Accounts · 1,076 to 1,146Sep 8, 2021 to Mar 15, 2022
- Advisory employees · 3 to 4Sep 8, 2021 to Mar 15, 2022
- HNW clients · 86 to 118Sep 8, 2021 to Mar 15, 2022
- Individual clients · 333 to 311Sep 8, 2021 to Mar 15, 2022
- Employees · 6 to 7Sep 8, 2021 to Mar 15, 2022
- State-registered IARs · 3 to 4Sep 8, 2021 to Mar 15, 2022
- Other offices · 0 to 1Sep 8, 2021 to Mar 15, 2022
Signals
4 dated events
- John Richard Davenport (Vice President) no longer on Schedule A of L•••••••• F•••••••• P••••••• I••• (listed 2023-10-25, absent 2024-03-06)Mar 6, 2024 · Control person left · inference
- B•••••• I••••••• left L•••••••• F•••••••• P••••••• I••• for H•••••••• A•••••••• L•• (registered 2023-10-31)Sep 22, 2023 · Advisor changed firm · fact
- Ann Patricia Johnson (Chief Compliance Officer) appeared on Schedule A of L•••••••• F•••••••• P••••••• I•••Mar 11, 2020 · Control person joined · fact
- L•••••••• F•••••••• P••••••• I••• filed its initial SEC registration (Form ADV)Oct 18, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 586-498-0788reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 586-498-7580reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- L••••••••FINANCIALP•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 586-498-0788reportedpublic record, Form ADV, Feb 11, 2026
- Contact form
- l•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026