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
D• I••••••••• A•••••••
Latest filing Mar 31, 2026
First filing on the tape Mar 16, 2022 · 5 filings
SEC status approved since Apr 19, 2022
RAUM
$386M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
23%
$88.4M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$193M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$386M as of Mar 31, 2026
Mar 28, 2023$282M then
HNW client RAUM$64.2M as of Mar 31, 2026
Mar 28, 2023$48.0M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 28, 20232 then
Employees (5.A)4 as of Mar 31, 2026
Mar 28, 20234 then
Private funds: no history
RAUM +12% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $193MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 77%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- Pension and profit-sharing plans$298M77%
- High-net-worth individuals$64.2M17%
- Individuals$24.1M6.3%
- Individual clients
- 110reported
- HNW clients
- 40reported
- Pension plan clients
- 24reported
- Charitable clients
- n/areported
- Accounts
- 274reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.23 fund_share=0.0 institutional_share=0.77 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 |
|---|---|---|---|---|
| J••••• J•• M••••• | Grand Rapids, Mi | Apr 1, 2025 | 13 y | 2 |
| C•••• M•••• D•••• | Grand Rapids, Mi | Apr 1, 2025 | 33 y | 4 |
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 headcount1 left over 36 months
Left, latest
- J••••• J•• M••••• to M•••• S•••••••• I•••Feb 27, 2025 · Other
Joined, latest
- J••••• J•• M••••• from M•••• S•••••••• I•••Apr 1, 2025 · Other
- C•••• M•••• D•••• from B•••••• • D•••• A•••••••Sep 22, 2022 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• C••••• M•••• · Chief Compliance Officer, Ownercontrolsince 01/2022 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Grand Rapids, Mi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 31, 2026institutional share of RAUM of 77% against a peer median of 0% (5678 comparable advisers, 100.0th percentile, 25.9 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 100% percentile
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 26.0% to 100.0% between the annual amendments of 2025-02-28 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 254 to 274Feb 28, 2025 to Mar 31, 2026
- HNW clients · 105 to 40Feb 28, 2025 to Mar 31, 2026
- Individual clients · 51 to 110Feb 28, 2025 to Mar 31, 2026
- Pension plan clients · 25 to 24Feb 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $89.0M to $386MFeb 28, 2025 to Mar 31, 2026
- HNW RAUM · $67.0M to $64.2MFeb 28, 2025 to Mar 31, 2026
- Individual RAUM · $22.0M to $24.1MFeb 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $257M to $0Feb 28, 2025 to Mar 31, 2026
- Pension RAUM · $257M to $298MFeb 28, 2025 to Mar 31, 2026
- RAUM · $346M to $386MFeb 28, 2025 to Mar 31, 2026
- Accounts · 233 to 254Mar 25, 2024 to Feb 28, 2025
- HNW clients · 101 to 105Mar 25, 2024 to Feb 28, 2025
- Pension plan clients · 20 to 25Mar 25, 2024 to Feb 28, 2025
- Financial planning clients · unset to Mar 25, 2024 to Feb 28, 2025
- Discretionary RAUM · $70.0M to $89.0MMar 25, 2024 to Feb 28, 2025
- HNW RAUM · $56.0M to $67.0MMar 25, 2024 to Feb 28, 2025
- Individual RAUM · $14.0M to $22.0MMar 25, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $200M to $257MMar 25, 2024 to Feb 28, 2025
- Pension RAUM · $200M to $257MMar 25, 2024 to Feb 28, 2025
- RAUM · $270M to $346MMar 25, 2024 to Feb 28, 2025
- Related adviser · true to falseMar 25, 2024 to Feb 28, 2025
- Accounts · 240 to 233Mar 28, 2023 to Mar 25, 2024
- HNW clients · 100 to 101Mar 28, 2023 to Mar 25, 2024
- Individual clients · 48 to 51Mar 28, 2023 to Mar 25, 2024
- Pension plan clients · 25 to 20Mar 28, 2023 to Mar 25, 2024
- Financial planning clients · 0 to unsetMar 28, 2023 to Mar 25, 2024
- Discretionary RAUM · $58.9M to $70.0MMar 28, 2023 to Mar 25, 2024
- HNW RAUM · $48.0M to $56.0MMar 28, 2023 to Mar 25, 2024
- Individual RAUM · $10.9M to $14.0MMar 28, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $223M to $200MMar 28, 2023 to Mar 25, 2024
- Pension RAUM · $223M to $200MMar 28, 2023 to Mar 25, 2024
- RAUM · $282M to $270MMar 28, 2023 to Mar 25, 2024
- Accounts · 0 to 240Mar 16, 2022 to Mar 28, 2023
- Advisory employees · 1 to 2Mar 16, 2022 to Mar 28, 2023
- Advisory activities · 3 to 1Mar 16, 2022 to Mar 28, 2023
- HNW clients · unset to 100.0Mar 16, 2022 to Mar 28, 2023
- Individual clients · unset to 48.0Mar 16, 2022 to Mar 28, 2023
- Pension plan clients · unset to 25.0Mar 16, 2022 to Mar 28, 2023
- Employees · 3 to 4Mar 16, 2022 to Mar 28, 2023
- State-registered IARs · 1 to 2Mar 16, 2022 to Mar 28, 2023
Signals
2 dated events
- J••••• J•• M••••• left D• I••••••••• A••••••• for M•••• S•••••••• I••• (registered 2023-06-27)Feb 27, 2025 · Advisor changed firm · fact
- D• I••••••••• A••••••• filed its initial SEC registration (Form ADV)Mar 16, 2022 · 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 email
- i•••@d•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 6168400284reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- d•••••••••.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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $193Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026