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
6•• F••••••••• L••
Latest filing Aug 18, 2026
First filing on the tape Dec 22, 2020 · 21 filings
SEC status approved since Jan 22, 2021
RAUM
$380M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$376M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$75.9M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$380M as of Aug 18, 2026
Feb 25, 2022$292M then
HNW client RAUM$277M as of Aug 18, 2026
Feb 25, 2022$219M then
State-registered IARs (5.B.3)5 as of Aug 18, 2026
Feb 25, 20226 then
Employees (5.A)5 as of Aug 18, 2026
Feb 25, 20226 then
Private funds: no history
RAUM +16% over the last fiscal year+13% a year over threeIARs 5 to 5offices 0 to 1
Practice profile
derived from the filing of Aug 18, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $75.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $298,898derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- 2.5derived2 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
- +3.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $377MreportedItem 5.I
- Custody
- $107M, 140 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)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$277M73%
- Individuals$98.9M26%
- Pension and profit-sharing plans$3.1M0.8%
- Charitable organizations$180,2500.0%
- Corporations and businesses$15,5810.0%
- Individual clients
- 329reported
- HNW clients
- 122reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,270reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $107M for 140 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• S•••••••• | Portage, Mi | Mar 31, 2021 | 23 y | 2 |
| T••••• W•••••• A•••••••Certified Financial Planner | Portage, Mi | Mar 31, 2021 | 20 y | 2 |
| R••• C•••• H••••• | Portage, Mi | Mar 31, 2021 | 12 y | 3 |
| A•• D•••• | Portage, Mi | Mar 31, 2021 | 16 y | 1 |
| K•••• D•••••• M•••• | Portage, Mi | Mar 31, 2021 | 34 y | 2 |
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
- K•••• D•••••• M•••• from L•• F•••••••• L••Mar 31, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••• S•••••••• from L•• F•••••••• L••Mar 31, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- R••• C•••• H••••• from L•• F•••••••• L••Mar 31, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- A•• D•••• from L•• F•••••••• L••Mar 31, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- T••••• W•••••• A••••••• from L•• F•••••••• L••Mar 31, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from L•• F•••••••• L••Sep 16, 2021 · Portage, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• T•••••• W•••••• · Managing Member / Managing Director And Chief Compliance Officercontrolsince 12/2020 · owns 50% to 75%
- S••••••••• B•••• · Managing Member / Managing Directorcontrolsince 12/2020 · 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 |
|---|---|---|---|---|---|
| Portage, Mi · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,179 to 1,270Jun 26, 2025 to Feb 12, 2026
- HNW clients · 97 to 122Jun 26, 2025 to Feb 12, 2026
- Individual clients · 338 to 329Jun 26, 2025 to Feb 12, 2026
- Assets in custody · $77.7M to $107MJun 26, 2025 to Feb 12, 2026
- Financial planning clients · 11-25 to 51-100Jun 26, 2025 to Feb 12, 2026
- Other offices · 0 to 1Jun 26, 2025 to Feb 12, 2026
- Discretionary RAUM · $325M to $377MJun 26, 2025 to Feb 12, 2026
- HNW RAUM · $197M to $277MJun 26, 2025 to Feb 12, 2026
- Individual RAUM · $128M to $98.9MJun 26, 2025 to Feb 12, 2026
- Non-discretionary RAUM · $1.8M to $3.1MJun 26, 2025 to Feb 12, 2026
- Pension RAUM · $1.8M to $3.1MJun 26, 2025 to Feb 12, 2026
- RAUM · $326M to $380MJun 26, 2025 to Feb 12, 2026
- Financial planning clients · 11-25 to 11-25Mar 5, 2025 to Jun 26, 2025
- Accounts · 1,089 to 1,179Mar 27, 2024 to Mar 5, 2025
- HNW clients · 77 to 97Mar 27, 2024 to Mar 5, 2025
- Individual clients · 349 to 338Mar 27, 2024 to Mar 5, 2025
- Assets in custody · $92.0M to $77.7MMar 27, 2024 to Mar 5, 2025
- Discretionary RAUM · $286M to $325MMar 27, 2024 to Mar 5, 2025
- HNW RAUM · $180M to $197MMar 27, 2024 to Mar 5, 2025
- Individual RAUM · $106M to $128MMar 27, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $1.4M to $1.8MMar 27, 2024 to Mar 5, 2025
- Pension RAUM · $1.4M to $1.8MMar 27, 2024 to Mar 5, 2025
- RAUM · $287M to $326MMar 27, 2024 to Mar 5, 2025
- Accounts · 447 to 1,089Mar 21, 2023 to Mar 27, 2024
- HNW clients · 72 to 77Mar 21, 2023 to Mar 27, 2024
- Individual clients · 371 to 349Mar 21, 2023 to Mar 27, 2024
- Assets in custody · $76.3M to $92.0MMar 21, 2023 to Mar 27, 2024
- Discretionary RAUM · $260M to $286MMar 21, 2023 to Mar 27, 2024
- HNW RAUM · $155M to $180MMar 21, 2023 to Mar 27, 2024
- Individual RAUM · $105M to $106MMar 21, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $1.1M to $1.4MMar 21, 2023 to Mar 27, 2024
- Pension RAUM · $1.1M to $1.4MMar 21, 2023 to Mar 27, 2024
- RAUM · $261M to $287MMar 21, 2023 to Mar 27, 2024
- Accounts · 411 to 447Feb 24, 2023 to Mar 21, 2023
- Advisory employees · 6 to 5Feb 24, 2023 to Mar 21, 2023
- Advisory activities · 3 to 4Feb 24, 2023 to Mar 21, 2023
- Corporate clients · 1.0 to unsetFeb 24, 2023 to Mar 21, 2023
- HNW clients · 141 to 72Feb 24, 2023 to Mar 21, 2023
- Individual clients · 407 to 371Feb 24, 2023 to Mar 21, 2023
- Pension plan clients · 3.0 to unsetFeb 24, 2023 to Mar 21, 2023
Signals
2 dated events
- 6•• F••••••••• L•• reported RAUM $291.8M, up 154% from $115.0M (2021-11-03 to 2022-02-25)Feb 25, 2022 · RAUM change · derived
- 6•• F•••••••• filed its initial SEC registration (Form ADV)Dec 22, 2020 · 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
- 269-321-5040reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 269-585-6059reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- 6•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (269) 321-5040reportedpublic record, Form ADV, Aug 18, 2026
- Contact form
- 6•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- 6•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $75.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026