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
A•••••• A•••••••• L••
Latest filing Feb 16, 2026
First filing on the tape Aug 16, 2019 · 7 filings
SEC status approved since Feb 28, 2025
RAUM
$148M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$146M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$74.2M
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
7 filings and snapshots on the tape
RAUM$148M as of Feb 16, 2026
Jan 29, 2025$114M then
HNW client RAUM$121M as of Feb 16, 2026
Jan 29, 2025$90.7M then
State-registered IARs (5.B.3)2 as of Feb 16, 2026
Jan 29, 20252 then
Employees (5.A)2 as of Feb 16, 2026
Jan 29, 20252 then
Private funds: no history
RAUM +30% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 16, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $74.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $409,938derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices 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
- +13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $145M, 92 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$121M82%
- Individuals$25.1M17%
- Charitable organizations$1.3M0.9%
- Corporations and businesses$858,2920.6%
- Individual clients
- 56reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 362reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $145M for 92 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| T••••• J••••• C•••••••Certified Financial Planner | Ann Arbor, Mi | Sep 16, 2019 | 20 y | 1 |
| P••••••• K••••••• S•••••Certified Financial Planner | Ann Arbor, Mi | Sep 16, 2019 | 29 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- P••••••• K••••••• S••••• from E••••••• C•••••• M••••••••• I••Sep 16, 2019 · RIA to a newly registered adviser
- T••••• J••••• C••••••• from E••••••• C•••••• M••••••••• I••Sep 16, 2019 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from E••••••• C•••••• M••••••••• I••Sep 17, 2019 · Ann Arbor, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• T•••••• J••••• · Managing Membercontrolsince 09/2019 · owns 50% to 75%
- S•••••• P•••••••• K••••••• · Managing Member & Chief Compliance Officercontrolsince 09/2019 · 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 |
|---|---|---|---|---|---|
| Ann Arbor, Mi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 343 to 362Jan 29, 2025 to Feb 16, 2026
- HNW clients · 39 to 45Jan 29, 2025 to Feb 16, 2026
- Individual clients · 50 to 56Jan 29, 2025 to Feb 16, 2026
- Assets in custody · $112M to $145MJan 29, 2025 to Feb 16, 2026
- Discretionary RAUM · $114M to $148MJan 29, 2025 to Feb 16, 2026
- HNW RAUM · $90.7M to $121MJan 29, 2025 to Feb 16, 2026
- Individual RAUM · $23.0M to $25.1MJan 29, 2025 to Feb 16, 2026
- RAUM · $114M to $148MJan 29, 2025 to Feb 16, 2026
- Accounts · 87 to 343Nov 18, 2019 to Jan 29, 2025
- HNW clients · 21 to 39Nov 18, 2019 to Jan 29, 2025
- Individual clients · 28 to 50Nov 18, 2019 to Jan 29, 2025
- Assets in custody · $22.0M to $112MNov 18, 2019 to Jan 29, 2025
- Financial planning clients · 0 to 0Nov 18, 2019 to Jan 29, 2025
- Discretionary RAUM · $26.5M to $114MNov 18, 2019 to Jan 29, 2025
- HNW RAUM · $20.0M to $90.7MNov 18, 2019 to Jan 29, 2025
- Individual RAUM · $6.4M to $23.0MNov 18, 2019 to Jan 29, 2025
- RAUM · $26.5M to $114MNov 18, 2019 to Jan 29, 2025
- Accounts · 0 to 87Sep 18, 2019 to Nov 18, 2019
- HNW clients · unset to 21.0Sep 18, 2019 to Nov 18, 2019
- Individual clients · unset to 28.0Sep 18, 2019 to Nov 18, 2019
- Assets in custody · $0 to $22.0MSep 18, 2019 to Nov 18, 2019
- State-registered IARs · 0 to 2Sep 18, 2019 to Nov 18, 2019
- Discretionary RAUM · $0 to $26.5MSep 18, 2019 to Nov 18, 2019
- HNW RAUM · unset to 20041566.0Sep 18, 2019 to Nov 18, 2019
- Individual RAUM · unset to 6422025.0Sep 18, 2019 to Nov 18, 2019
- RAUM · $0 to $26.5MSep 18, 2019 to Nov 18, 2019
- Assets in custody · unset to 0.0Sep 16, 2019 to Sep 17, 2019
- Custody of client assets · false to trueSep 16, 2019 to Sep 17, 2019
Signals
1 dated events
- A•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Aug 16, 2019 · 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
- 734-345-6980reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H••••://WWW.A••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 734-345-6980reportedpublic record, Form ADV, Feb 16, 2026
- Contact form
- ARBORFI.COM/contact.htmlreportedpublished by the firm, firm site, Sep 16, 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
- $74.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026