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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
W••••••••• I••••••••• M••••••••• L••
Latest filing Jul 1, 2026
First filing on the tape Mar 25, 2024 · 11 filings
SEC status approved since Jun 13, 2024
RAUM
$93.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$93.1M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$18.6M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$93.1M as of Jul 1, 2026
Mar 31, 2025$79.0M then
HNW client RAUM$34.7M as of Jul 1, 2026
Mar 31, 2025$17.5M then
State-registered IARs (5.B.3)5 as of Jul 1, 2026
Mar 31, 20255 then
Employees (5.A)5 as of Jul 1, 2026
Mar 31, 20255 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $18.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $207,720derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
- Individuals$58.3M63%
- High-net-worth individuals$34.7M37%
- Individual clients
- 300reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 448reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| J•••••• K•••• S••••• | Grand Rapids, Mi | Jun 23, 2023 | 24 y | 6 |
| R••••• A•••••• M•••••••• | Lexington, Sc | Aug 7, 2024 | 11 y | 2 |
| M•••••• A•• M•••••••• | Grand Rapids, Mi | Aug 13, 2024 | 11 y | 2 |
| L••••• R•••••• H•••••••Certified Financial Planner | Naples, Fl | Jan 7, 2025 | 26 y | 7 |
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
- K••• P•••••• to C••••••• P•••••••• I•••Oct 14, 2022 · RIA to RIA
Joined, latest
- L••••• R•••••• H••••••• from B•••• W•••••• L••Jan 7, 2025 · RIA to RIA
- M•••••• A•• M•••••••• from B••••••••• A•••• M••••••••• L••Aug 13, 2024 · RIA to RIA
- R••••• A•••••• M•••••••• from B••••••••• A•••• M••••••••• L••Aug 7, 2024 · RIA to RIA
- J••• A•••• R••••••• from B••••••••• W••••• A•••••••• L••Aug 9, 2023 · Other
- K••• P•••••• from S••••••• F•••••••• S•••••••• I•••Nov 25, 2020 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from B••••••••• A•••• M••••••••• L••Dec 31, 2021 · Raleigh, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• J••••••• K•••• · Managing Member/Ccocontrolsince 04/2021 · owns 75% or more
- B•••••• J•••••• J••• · Membercontrolsince 01/2024 · owns 25% to 50% of L••••••• H•••••••• L••
- D•••• K•••••••• E••• · Membercontrolsince 12/2019 · owns 75% or more of T•• S•••••• G•••• L••
- G•••••••• F••••••••• W•••••• · Trustee/Owner/Membercontrolsince 01/2024 · owns 75% or more of T•• G••••••• 2••• I••••••••• T••••
- T••••••••• J•••• M•••••• · Membercontrolsince 01/2024 · owns 25% to 50% of L••••••• H•••••••• L••
Entity owners
- L••••••• H•••••••• L•• · Memberdirect · owns 25% to 50%
- T•• G••••••• 2••• I••••••••• T•••• · Memberindirect · owns 25% to 50% of L••••••• H•••••••• L••
- T•• S•••••• G•••• L•• · Memberindirect · owns 25% to 50% of L••••••• H•••••••• L••
Related persons
Schedule D 7.A
- S•••••••• N••••••••• Private Wealthinvestment adviseryRAUM $14.6M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Grand Rapids, Mi · principal | 5 | 0 | 0 | ||
| Lexington, Sc | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Grand Rapids, MI2 employees
- Lexington, SC2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 25, 2026HNW share of RAUM moved from 22.0% to 37.0% between the annual amendments of 2025-03-31 and 2026-03-25peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Accounts · 469 to 448Dec 3, 2025 to Mar 25, 2026
- HNW clients · 14 to 26Dec 3, 2025 to Mar 25, 2026
- Individual clients · 280 to 300Dec 3, 2025 to Mar 25, 2026
- Insurance-licensed employees · 1 to 2Dec 3, 2025 to Mar 25, 2026
- Discretionary RAUM · $79.0M to $93.1MDec 3, 2025 to Mar 25, 2026
- HNW RAUM · $17.5M to $34.7MDec 3, 2025 to Mar 25, 2026
- Individual RAUM · $61.5M to $58.3MDec 3, 2025 to Mar 25, 2026
- RAUM · $79.0M to $93.1MDec 3, 2025 to Mar 25, 2026
- Accounts · 39 to 469Aug 28, 2024 to Mar 31, 2025
- Advisory employees · 3 to 5Aug 28, 2024 to Mar 31, 2025
- HNW clients · 5 to 14Aug 28, 2024 to Mar 31, 2025
- Individual clients · 40 to 280Aug 28, 2024 to Mar 31, 2025
- Employees · 4 to 5Aug 28, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Aug 28, 2024 to Mar 31, 2025
- State-registered IARs · 3 to 5Aug 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $7.2M to $79.0MAug 28, 2024 to Mar 31, 2025
- HNW RAUM · $4.5M to $17.5MAug 28, 2024 to Mar 31, 2025
- Individual RAUM · $2.7M to $61.5MAug 28, 2024 to Mar 31, 2025
- RAUM · $7.2M to $79.0MAug 28, 2024 to Mar 31, 2025
- Advisory employees · 2 to 3May 20, 2024 to Aug 7, 2024
- Employees · 2 to 4May 20, 2024 to Aug 7, 2024
- State-registered IARs · 2 to 3May 20, 2024 to Aug 7, 2024
- Other offices · 1 to 2May 20, 2024 to Aug 7, 2024
Signals
4 dated events
- Erin Kathleen Dunn (Member) appeared on Schedule A of W••••••••• I••••••••• M••••••••• L••Apr 30, 2024 · Control person joined · fact
- William Frederick Gearhart (Trustee/Owner/Member) appeared on Schedule A of W••••••••• I••••••••• M••••••••• L••Apr 30, 2024 · Control person joined · fact
- W••••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 25, 2024 · First SEC registration · fact
- K••• P•••••• left W••••••••• I••••••••• M••••••••• L•• for C••••••• P•••••••• I••• (registered 2023-02-15)Oct 14, 2022 · Advisor changed firm · 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
- support@wealthspanim.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 616-655-1691reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 616-655-1696reportedpublic record, Form ADV, Jul 1, 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
- $18.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026