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

O••••• L••••• V••••••• I••••••••• G••••• I•••

Former SEC-registered adviserFlint, MichiganCRD 312989SEC 801-120957websiteIAPD
Latest filing Mar 28, 2025
First filing on the tape Mar 26, 2021 · 18 filings
SEC status approved since Apr 26, 2021
RAUM
$607M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$588M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
30
14 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$607M as of Mar 28, 2025
Feb 9, 2022$339M then
HNW client RAUM$67.5M as of Mar 28, 2025
Feb 9, 2022$139M then
State-registered IARs (5.B.3)14 as of Mar 28, 2025
Feb 9, 20229 then
Employees (5.A)30 as of Mar 28, 2025
Feb 9, 202220 then
Private funds: no history
RAUM +34% over the last fiscal year+21% a year over threeIARs 14 to 14
Practice profile
derived from the filing of Mar 28, 2025; every figure names its basis
RAUM per advisor
$43.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
153derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$131,817derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
2.8derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+34%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+33%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 consulting, selection of other advisers, otherreportedItem 5.G
Wrap fee program
$607MreportedItem 5.I
Custody
$21.0M, 109 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)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Individuals$520M86%
  • High-net-worth individuals$67.5M11%
  • Pension and profit-sharing plans$12.7M2.1%
  • Corporations and businesses$6.8M1.1%
Individual clients
2,102reported
HNW clients
44reported
Pension plan clients
187reported
Charitable clients
n/areported
Accounts
4,606reported
Financial planning clients
0reported
Wrap fee programs
$42.9M sponsored, $0 managedreported
Custody of client assets
$21.0M for 109 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
10 left, 0 joined in 12 months
net -10 in 12 months0 left in 90 days0 joined in 90 days14 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
  • L•••••• J•••• P••••• · Chief Legal Officercontrol
    since 02/2021 · owns 25% to 50%
  • T••••••••• T••••••• F•••• · Chief Compliance Officer, Chief Executive Officecontrol
    since 06/2024 · owns 25% to 50%
  • V•••••••• J••••• M•••••• · Chief Investment Officercontrol
    since 02/2021 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Brentwood, Tn001
Livonia, Mi001
Flint, Mi · principal008
Offices
Schedule D 1.F, the 25 largest
  • Livonia, MI4 employees
  • Frisco, TX3 employees
  • Rochester, MI1 employees
  • Saginaw, MI1 employees
What changed
consecutive filings, newest first
  • Accounts · 3,669 to 4,606
    Jul 3, 2024 to Mar 28, 2025
  • Advisory employees · 15 to 14
    Jul 3, 2024 to Mar 28, 2025
  • BD registered reps · 8 to 7
    Jul 3, 2024 to Mar 28, 2025
  • Corporate clients · 22 to 35
    Jul 3, 2024 to Mar 28, 2025
  • HNW clients · 171 to 44
    Jul 3, 2024 to Mar 28, 2025
  • Individual clients · 1,443 to 2,102
    Jul 3, 2024 to Mar 28, 2025
  • Pension plan clients · 142 to 187
    Jul 3, 2024 to Mar 28, 2025
  • Assets in custody · $33.2M to $21.0M
    Jul 3, 2024 to Mar 28, 2025
  • Employees · 33 to 30
    Jul 3, 2024 to Mar 28, 2025
  • Financial planning clients · 1-10 to 0
    Jul 3, 2024 to Mar 28, 2025
  • State-registered IARs · 15 to 14
    Jul 3, 2024 to Mar 28, 2025
  • Discretionary RAUM · $454M to $607M
    Jul 3, 2024 to Mar 28, 2025
  • HNW RAUM · $218M to $67.5M
    Jul 3, 2024 to Mar 28, 2025
  • Individual RAUM · $220M to $520M
    Jul 3, 2024 to Mar 28, 2025
  • Non-discretionary RAUM · $0 to $327,790
    Jul 3, 2024 to Mar 28, 2025
  • Pension RAUM · $8.1M to $12.7M
    Jul 3, 2024 to Mar 28, 2025
  • RAUM · $454M to $607M
    Jul 3, 2024 to Mar 28, 2025
  • Related insurance company · false to true
    Jul 3, 2024 to Mar 28, 2025
  • Wrap assets (manager) · $454M to $0
    Jul 3, 2024 to Mar 28, 2025
  • Wrap assets (sponsor) · $454M to $42.9M
    Jul 3, 2024 to Mar 28, 2025
  • Advisory employees · 14 to 15
    Mar 8, 2024 to Jun 28, 2024
  • BD registered reps · 9 to 8
    Mar 8, 2024 to Jun 28, 2024
  • Employees · 30 to 33
    Mar 8, 2024 to Jun 28, 2024
  • State-registered IARs · 14 to 15
    Mar 8, 2024 to Jun 28, 2024
  • Accounts · 2,984 to 3,669
    Oct 11, 2023 to Mar 8, 2024
  • Advisory employees · 13 to 14
    Oct 11, 2023 to Mar 8, 2024
  • Charity clients · 6.0 to unset
    Oct 11, 2023 to Mar 8, 2024
  • Corporate clients · 18 to 22
    Oct 11, 2023 to Mar 8, 2024
  • HNW clients · 15 to 171
    Oct 11, 2023 to Mar 8, 2024
  • Individual clients · 1,418 to 1,443
    Oct 11, 2023 to Mar 8, 2024
  • Pension plan clients · unset to 142.0
    Oct 11, 2023 to Mar 8, 2024
  • Assets in custody · $79.6M to $33.2M
    Oct 11, 2023 to Mar 8, 2024
  • State-registered IARs · 13 to 14
    Oct 11, 2023 to Mar 8, 2024
  • Discretionary RAUM · $305M to $454M
    Oct 11, 2023 to Mar 8, 2024
  • HNW RAUM · $38.5M to $218M
    Oct 11, 2023 to Mar 8, 2024
  • Individual RAUM · $264M to $220M
    Oct 11, 2023 to Mar 8, 2024
  • Pension RAUM · unset to 8108117.0
    Oct 11, 2023 to Mar 8, 2024
  • RAUM · $305M to $454M
    Oct 11, 2023 to Mar 8, 2024
  • Wrap assets (manager) · $305M to $454M
    Oct 11, 2023 to Mar 8, 2024
  • Wrap assets (sponsor) · $305M to $454M
    Oct 11, 2023 to Mar 8, 2024
Signals
22 dated events
  • O••••• L••••• V••••••• I••••••••• G••••• I••• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $607.1M)
    Jan 2, 2026 · Left the SEC roster · derived
  • W•••••• R••••• J•••• left O••••• L••••• V••••••• I••••••••• G••••• I••• for P•••••• (registered 2025-12-10)
    Dec 8, 2025 · Advisor changed firm · fact
  • J•••• R••••••••• left O••••• L••••• V••••••• I••••••••• G••••• I••• for P•••••• (registered 2025-12-11)
    Dec 8, 2025 · Advisor changed firm · fact
  • T•••••• F•••• T••••••••• left O••••• L••••• V••••••• I••••••••• G••••• I••• for P•••••• (registered 2025-12-08)
    Dec 8, 2025 · Advisor changed firm · fact
  • S•••••• J••• C•••• left O••••• L••••• V••••••• I••••••••• G••••• I••• for P•••••• (registered 2025-12-08)
    Dec 8, 2025 · Advisor changed firm · fact
  • G••••• T•••••• S•• C•• left O••••• L••••• V••••••• I••••••••• G••••• I••• for P•••••• (registered 2025-12-08)
    Dec 8, 2025 · Advisor changed firm · fact
  • J••• P••••• L••••• left O••••• L••••• V••••••• I••••••••• G••••• I••• for P•••••• (registered 2025-12-08)
    Dec 8, 2025 · Advisor changed firm · fact
  • J•••• M•••••• V••••••• left O••••• L••••• V••••••• I••••••••• G••••• I••• for P•••••• (registered 2025-12-08)
    Dec 8, 2025 · Advisor changed firm · fact
  • D••••• E••• L••••• left O••••• L••••• V••••••• I••••••••• G••••• I••• for P•••••• (registered 2025-12-08)
    Dec 8, 2025 · Advisor changed firm · fact
  • O••••• L••••• V••••••• I••••••••• G••••• I•••'s advisors moved to P•••••• (Flint, MI): 7 of 8 registered, on the same day
    Dec 8, 2025 · Firm absorbed (people side) · derived
  • S•••• R•••••• C•••• left O••••• L••••• V••••••• I••••••••• G••••• I••• for A• W••••• M••••••••• L•• (registered 2025-12-01)
    Dec 1, 2025 · Advisor changed firm · fact
  • K••••• B•••• left O••••• L••••• V••••••• I••••••••• G••••• I••• for E••••••••• W••••• A•••••••• L•• (registered 2025-11-13)
    Nov 14, 2025 · Advisor changed firm · fact
  • B••••••• D••• O••••• left O••••• L••••• V••••••• I••••••••• G••••• I••• for A•••• W••••• A•••••••• L•• (registered 2025-06-30)
    Jun 30, 2025 · Advisor changed firm · fact
  • Z•••••• W••••• left O••••• L••••• V••••••• I••••••••• G••••• I••• for M••••••• C•••••• M••••••••• L•• (registered 2026-04-07)
    Jun 4, 2025 · Advisor changed firm · fact
  • O••••• L••••• V••••••• I••••••••• G••••• I••• reported RAUM $607.1M, up 34% from $454.3M (2024-07-03 to 2025-03-28)
    Mar 28, 2025 · RAUM change · derived
  • J••• I•••• G••••• left O••••• L••••• V••••••• I••••••••• G••••• I••• for V•••• L•• (registered 2024-09-09)
    Aug 12, 2024 · Advisor changed firm · fact
  • Kim Sonya L••••• (Chief Compliance Officer, Chief Executive Officer) no longer on Schedule A of O••••• L••••• V••••••• I••••••••• G••••• I••• (listed 2024-03-08, absent 2024-06-28)
    Jun 28, 2024 · Control person left · inference
  • Ann Elizabeth V••••••• (Chief Operations Officer) no longer on Schedule A of O••••• L••••• V••••••• I••••••••• G••••• I••• (listed 2024-03-08, absent 2024-06-28)
    Jun 28, 2024 · Control person left · inference
  • T•••••• T••••••••• (Chief Compliance Officer, Chief Executive Office) appeared on Schedule A of O••••• L••••• V••••••• I••••••••• G••••• I•••
    Jun 28, 2024 · Control person joined · fact
  • M••• J•••• left O••••• L••••• V••••••• I••••••••• G••••• I••• for K••••• A•••••••• I••• (registered 2024-05-29)
    May 29, 2024 · Advisor changed firm · fact
  • O••••• L••••• V••••••• I••••••••• G••••• I••• reported RAUM $454.3M, up 49% from $304.9M (2023-10-11 to 2024-03-08)
    Mar 8, 2024 · RAUM change · derived
  • O•• I••••••••• G••••• I••• filed its initial SEC registration (Form ADV)
    Mar 26, 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