DFX Intelligence
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G••••• W••••• M••••••••• L••
Independent wealth manager, reporting $139M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $139M
- Advisors
- 2
- Net advisor flow, 12 months
- 0
- RAUM change, 1 year
- +30%
- Private clients
- 90%
Form ADV
IAPD
0 joined, 0 left
IAPD registration history
Form ADV, consecutive annual filings
of RAUM, $125M
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Nothing material in the last 180 days. Last change: 19 Jan 2026, RAUM $107M to $139M (+30.3%) on the Form ADV filed 19 Jan 2026, while advisors on the filing held at 2.
Every filed figure, and the identifiersCRD 301258 · SEC 801-131611 · 3 filingsShowHide
CRD 301258SEC 801-131611First filing on the tape Nov 12, 2024, latest Jan 19, 2026SEC status approved since Dec 13, 2024IAPD
RAUM
$139M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
90%
$125M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$69.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM +30% over the last fiscal year · the tape starts Nov 12, 2024
RAUM, HNW assets, advisors, employees and funds over time5 seriesShowHide
RAUM$139M as of Jan 19, 2026
Feb 5, 2025$107M then
HNW client RAUM$117M as of Jan 19, 2026
Feb 5, 2025$83.3M then
State-registered IARs (5.B.3)2 as of Jan 19, 2026
Feb 5, 20252 then
Employees (5.A)2 as of Jan 19, 2026
Feb 5, 20252 then
Private funds: no history
RAUM +30% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 19, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShowHide
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
- RAUM per advisor
- $69.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $237,560derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 9.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 office incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
84% high-net-worth individuals, 9.3% pension and profit-sharing plans, and 2 other client types
The breakdown by client type, and the client counts4 client typesShowHide
- High-net-worth individuals$117M84%
- Pension and profit-sharing plans$13.0M9.3%
- Individuals$8.5M6.1%
- Corporations and businesses$578,4920.4%
- Individual clients
- 25reported
- HNW clients
- 80reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 585reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- RAUM: 90% private clients, 0% pooled funds, 9% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
Joined, latest
- J••••• G••••• D•••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 2, 2020 · Affiliated broker-dealer or bank to independent RIA
- J••••• G••••• D•••••••• from M••••• F•••••••• S••••••• G•••• L••Oct 2, 2020 · Other
Advisors registered through the firm
2 on IAPD today; the longest tenured first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• I•••• D••••••••Certified Financial Planner, Chartered Financial Analyst | Birmingham, Mi | Apr 22, 2019 | 10 y | 0 |
| J••••• G••••• D••••••••Certified Financial Planner | Birmingham, Mi | Oct 2, 2020 | 13 y | 2 |
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• A•••••• I•••• · Owner & Ccocontrolsince 02/2019 · owns 50% to 75%
- D••••••••• J•••••• G••••• · Owner & Financial Advisorcontrolsince 10/2020 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Birmingham, Mi | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 538 to 585Feb 5, 2025 to Jan 19, 2026
- HNW clients · 69 to 80Feb 5, 2025 to Jan 19, 2026
- Individual clients · 33 to 25Feb 5, 2025 to Jan 19, 2026
- Discretionary RAUM · $95.4M to $126MFeb 5, 2025 to Jan 19, 2026
- HNW RAUM · $83.3M to $117MFeb 5, 2025 to Jan 19, 2026
Full history · 22 changesShow fewer
- Individual RAUM · $11.8M to $8.5MFeb 5, 2025 to Jan 19, 2026
- Non-discretionary RAUM · $11.2M to $13.0MFeb 5, 2025 to Jan 19, 2026
- Pension RAUM · $11.2M to $13.0MFeb 5, 2025 to Jan 19, 2026
- RAUM · $107M to $139MFeb 5, 2025 to Jan 19, 2026
- Accounts · 452 to 538Nov 12, 2024 to Feb 5, 2025
- HNW clients · 53 to 69Nov 12, 2024 to Feb 5, 2025
- Individual clients · 54 to 33Nov 12, 2024 to Feb 5, 2025
- Pension plan clients · 5 to 6Nov 12, 2024 to Feb 5, 2025
- Financial planning clients · 101-250 to 101-250Nov 12, 2024 to Feb 5, 2025
- HQ city · unset to Nov 12, 2024 to Feb 5, 2025
- HQ state · unset to Nov 12, 2024 to Feb 5, 2025
- Discretionary RAUM · $92.9M to $95.4MNov 12, 2024 to Feb 5, 2025
- HNW RAUM · $61.8M to $83.3MNov 12, 2024 to Feb 5, 2025
- Individual RAUM · $30.8M to $11.8MNov 12, 2024 to Feb 5, 2025
- Non-discretionary RAUM · $10.2M to $11.2MNov 12, 2024 to Feb 5, 2025
- Pension RAUM · $10.2M to $11.2MNov 12, 2024 to Feb 5, 2025
- RAUM · $103M to $107MNov 12, 2024 to Feb 5, 2025
Signals
1 dated events
- ••• LockedNov 12, 2024 · 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Jan 19, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jan 19, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026ShowHide
- 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
- $69.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026