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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Former SEC-registered adviser

S••••••• C••••••••• L••

Former SEC-registered adviserFlint, MichiganCRD 308970SEC 801-122003websiteIAPD
Latest filing Oct 10, 2025
First filing on the tape Jul 1, 2021 · 25 filings
SEC status approved since Jul 29, 2021
RAUM
$1.1B
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
87%
$937M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.1B as of Oct 10, 2025
Mar 31, 2022$761M then
HNW client RAUM$718M as of Oct 10, 2025
Mar 31, 2022$482M then
State-registered IARs (5.B.3)10 as of Oct 10, 2025
Mar 31, 202210 then
Employees (5.A)19 as of Oct 10, 2025
Mar 31, 202221 then
Private funds: no history
RAUM +17% over the last fiscal year+12% a year over threeIARs 11 to 10offices 4 to 2
Practice profile
derived from the filing of Oct 10, 2025; every figure names its basis
RAUM per advisor
$107MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
89derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$368,244derivedRAUM over accounts (5.F.2.f)
Discretionary
85%derivedof RAUM
Institutional
4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
3.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
-9.1%derivedItem 5.B.3 between annual amendments
Client growth, one year
-0.2%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Financial planning clients
500reportedItem 5.H
Custody
$7.3M, 14 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$718M67%
  • Individuals$219M20%
  • Corporations and businesses$83.2M7.8%
  • Pension and profit-sharing plans$46.5M4.3%
  • Charitable organizations$4.6M0.4%
Individual clients
643reported
HNW clients
246reported
Pension plan clients
19reported
Charitable clients
5reported
Accounts
2,910reported
Financial planning clients
500reported
Wrap fee programs
noreported
Custody of client assets
$7.3M for 14 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
6 left, 0 joined in 12 months
net -6 in 12 months0 left in 90 days0 joined in 90 days11 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S•••••••• S•••••• E••••• · Chief Compliance Officer And Managing Membercontrol
    since 05/2021 · owns 75% or more
  • W••••••• K••••••• A••• D••••••••• · Chief Operating Officercontrol
    since 05/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Dexter, Mi000
Tampa, Fl001
Flint, Mi · principal005
Offices
Schedule D 1.F, the 25 largest
  • Dexter, MI3 employees
  • Tampa, FL1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Other offices · 3 to 2
    Feb 10, 2025 to Aug 20, 2025
  • Individual clients · 674 to 643
    Oct 28, 2024 to Feb 10, 2025
  • Accounts · 2,879 to 2,910
    Oct 28, 2024 to Feb 10, 2025
  • Advisory employees · 12 to 10
    Oct 28, 2024 to Feb 10, 2025
  • Charity clients · 7 to 5
    Oct 28, 2024 to Feb 10, 2025
  • Corporate clients · 5 to 4
    Oct 28, 2024 to Feb 10, 2025
  • HNW clients · 217 to 246
    Oct 28, 2024 to Feb 10, 2025
  • Pension plan clients · 18 to 19
    Oct 28, 2024 to Feb 10, 2025
  • Assets in custody · $6.4M to $7.3M
    Oct 28, 2024 to Feb 10, 2025
  • Employees · 22 to 19
    Oct 28, 2024 to Feb 10, 2025
  • Financial planning clients · 251-500 to More than 500
    Oct 28, 2024 to Feb 10, 2025
  • State-registered IARs · 11 to 10
    Oct 28, 2024 to Feb 10, 2025
  • Discretionary RAUM · $821M to $915M
    Oct 28, 2024 to Feb 10, 2025
  • HNW RAUM · $599M to $718M
    Oct 28, 2024 to Feb 10, 2025
  • Individual RAUM · $212M to $219M
    Oct 28, 2024 to Feb 10, 2025
  • Non-discretionary RAUM · $97.4M to $157M
    Oct 28, 2024 to Feb 10, 2025
  • Pension RAUM · $37.9M to $46.5M
    Oct 28, 2024 to Feb 10, 2025
  • RAUM · $918M to $1.1B
    Oct 28, 2024 to Feb 10, 2025
  • Other offices · 4 to 3
    Jan 31, 2024 to Apr 17, 2024
  • Accounts · 2,600 to 2,879
    Dec 5, 2023 to Jan 30, 2024
  • Charity clients · 6 to 7
    Dec 5, 2023 to Jan 30, 2024
  • Corporate clients · 10 to 5
    Dec 5, 2023 to Jan 30, 2024
  • HNW clients · 171 to 217
    Dec 5, 2023 to Jan 30, 2024
  • Individual clients · 713 to 674
    Dec 5, 2023 to Jan 30, 2024
  • Pension plan clients · 17 to 18
    Dec 5, 2023 to Jan 30, 2024
  • Assets in custody · $17.7M to $6.4M
    Dec 5, 2023 to Jan 30, 2024
  • Employees · 26 to 22
    Dec 5, 2023 to Jan 30, 2024
  • Financial planning clients · 11-25 to 251-500
    Dec 5, 2023 to Jan 30, 2024
  • State-registered IARs · 13 to 11
    Dec 5, 2023 to Jan 30, 2024
  • Other offices · 7 to 4
    Dec 5, 2023 to Jan 30, 2024
  • Discretionary RAUM · $605M to $821M
    Dec 5, 2023 to Jan 30, 2024
  • HNW RAUM · $431M to $599M
    Dec 5, 2023 to Jan 30, 2024
  • Individual RAUM · $185M to $212M
    Dec 5, 2023 to Jan 30, 2024
  • Non-discretionary RAUM · $113M to $97.4M
    Dec 5, 2023 to Jan 30, 2024
  • Pension RAUM · $34.4M to $37.9M
    Dec 5, 2023 to Jan 30, 2024
  • RAUM · $718M to $918M
    Dec 5, 2023 to Jan 30, 2024
  • Other offices · 8 to 7
    Apr 24, 2023 to May 3, 2023
  • Accounts · 2,469 to 2,600
    Nov 6, 2022 to Jan 25, 2023
  • Advisory employees · 10 to 12
    Nov 6, 2022 to Jan 25, 2023
  • Charity clients · 8 to 6
    Nov 6, 2022 to Jan 25, 2023
Signals
18 dated events
  • S••••••• C••••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $1.1B)
    Apr 1, 2026 · Left the SEC roster · derived
  • S••••• E••••• S••••••• left S••••••• C••••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2026-01-15)
    Mar 31, 2026 · Advisor changed firm · fact
  • J•••••• E••• G••••• left S••••••• C••••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2026-01-15)
    Dec 31, 2025 · Advisor changed firm · fact
  • J•••• A••• G••••••• left S••••••• C••••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2026-01-13)
    Dec 31, 2025 · Advisor changed firm · fact
  • J••• R•••••• C••• left S••••••• C••••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2026-01-13)
    Dec 31, 2025 · Advisor changed firm · fact
  • V••••••• A•••• B•••••• left S••••••• C••••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2026-02-10)
    Dec 31, 2025 · Advisor changed firm · fact
  • T•••• J••• S••••••• left S••••••• C••••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2026-01-13)
    Dec 31, 2025 · Advisor changed firm · fact
  • S••••••• C••••••••• L••'s advisors moved to B••••• P••••• A•••••••• L•• (Flint, MI): 4 of 6 registered, on the same day
    Dec 31, 2025 · Firm absorbed (people side) · derived
  • A•••• J• K••• left S••••••• C••••••••• L•• for P•••• P••••••• (registered 2025-07-16)
    Aug 7, 2025 · Advisor changed firm · fact
  • T••• M•••• W••••• left S••••••• C••••••••• L•• for P•••• P••••••• (registered 2025-07-16)
    Aug 7, 2025 · Advisor changed firm · fact
  • M•••••• N••••• J•• left S••••••• C••••••••• L•• for P•••• P••••••• (registered 2025-07-16)
    Aug 7, 2025 · Advisor changed firm · fact
  • 3 advisors left S••••••• C••••••••• L•• (Flint, MI) for P•••• P••••••• on the same day
    Aug 7, 2025 · Team lift-out · derived
  • L••• E•••••••• V••••••• left S••••••• C••••••••• L•• for C••••• B•••• W••••• M••••••••• (registered 2025-09-15)
    Feb 24, 2025 · Advisor changed firm · fact
  • M•••••• A•••• F••••••••• left S••••••• C••••••••• L•• for A•••••••• F•••••••• A•••••••• L•• (registered 2024-03-01)
    Mar 1, 2024 · Advisor changed firm · fact
  • S••••••• C••••••••• L•• reported RAUM $918.4M, up 28% from $717.9M (2023-12-05 to 2024-01-30)
    Jan 30, 2024 · RAUM change · derived
  • J••••• A•••• F••••••••• left S••••••• C••••••••• L•• for I••••••••• W••••• C••••••• L•• (registered 2023-12-04)
    Sep 12, 2023 · Advisor changed firm · fact
  • D•••••• M••••• left S••••••• C••••••••• L•• for A•••••• A••••••• S••••••• (registered 2023-11-27)
    May 3, 2023 · Advisor changed firm · fact
  • S••••••• C••••••••• L•• filed its initial SEC registration (Form ADV)
    Jul 1, 2021 · 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026