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
R• I••••••••• S••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Aug 8, 2022 · 8 filings
SEC status approved since Sep 7, 2022
RAUM
$21.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$11.0M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$21.9M as of Mar 27, 2026
Mar 20, 2023$0 then
HNW client RAUM$6.7M as of Feb 5, 2025
Mar 26, 2024$16.1M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 20, 20232 then
Employees (5.A)3 as of Mar 27, 2026
Mar 20, 20232 then
Private funds: no history
RAUM -14% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $11.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $226,098derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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
- Other investment advisers$21.9M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 97reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- A•••••• C••••• to S•••••• I••••••••• L••May 28, 2024 · RIA to RIA
Joined, latest
- A•••••• C••••• from M••••• S••••••Apr 5, 2024 · Wirehouse to independent RIA
- J••• M•••••• T••••••••• from A••••••• A•••••••• L••Oct 28, 2022 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••••• J•••• M•••••• · Manager/Ccocontrolsince 08/2022 · owns less than 5%
- B•••••• J•••••• J••• · Membercontrolsince 01/2021 · owns 25% to 50% of L••••••• H•••••••• L••
- C•••••••• S•••••• J•••• · Managing Membercontrolsince 01/2016 · owns 75% or more of C••••••• W••••• A•••••••• L••
- T••••••••• J•••• M•••••• · Membercontrolsince 01/2021 · owns 25% to 50% of L••••••• H•••••••• L••
Entity owners
- C••••••• W••••• A•••••••• L•• · Ownerdirect · owns 50% to 75%
- L••••••• H•••••••• L•• · Ownerdirect · owns 50% to 75%
- 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
- L••••••• C••••••• L••investment adviseryRAUM $105M
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
- Sarasota, FL2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 27, 2026custody of client assets (Item 9.A): yes on the filing of 2025-02-05, no on the filing of 2026-03-27peers: asset managers, under $100M (330)
What changed
consecutive filings, newest first
- Accounts · 102 to 97Feb 5, 2025 to Mar 27, 2026
- HNW clients · 25.0 to unsetFeb 5, 2025 to Mar 27, 2026
- Individual clients · 39.0 to unsetFeb 5, 2025 to Mar 27, 2026
- Assets in custody · 2292614.0 to unsetFeb 5, 2025 to Mar 27, 2026
- Custody of client assets · true to falseFeb 5, 2025 to Mar 27, 2026
- Insurance-licensed employees · 3 to 2Feb 5, 2025 to Mar 27, 2026
- Discretionary RAUM · $25.6M to $21.9MFeb 5, 2025 to Mar 27, 2026
- HNW RAUM · 6686933.0 to unsetFeb 5, 2025 to Mar 27, 2026
- Individual RAUM · 18935414.0 to unsetFeb 5, 2025 to Mar 27, 2026
- RAUM · $25.6M to $21.9MFeb 5, 2025 to Mar 27, 2026
- Accounts · 95 to 102Mar 26, 2024 to Feb 5, 2025
- HNW clients · 23 to 25Mar 26, 2024 to Feb 5, 2025
- Individual clients · 34 to 39Mar 26, 2024 to Feb 5, 2025
- Assets in custody · $2.3M to $2.3MMar 26, 2024 to Feb 5, 2025
- Employees · 5 to 3Mar 26, 2024 to Feb 5, 2025
- Insurance-licensed employees · 5 to 3Mar 26, 2024 to Feb 5, 2025
- Financial planning clients · unset to Mar 26, 2024 to Feb 5, 2025
- Discretionary RAUM · $22.9M to $25.6MMar 26, 2024 to Feb 5, 2025
- HNW RAUM · $16.1M to $6.7MMar 26, 2024 to Feb 5, 2025
- Individual RAUM · $6.8M to $18.9MMar 26, 2024 to Feb 5, 2025
- RAUM · $22.9M to $25.6MMar 26, 2024 to Feb 5, 2025
- Accounts · 0 to 95Jan 3, 2024 to Mar 26, 2024
- HNW clients · unset to 23.0Jan 3, 2024 to Mar 26, 2024
- Individual clients · unset to 34.0Jan 3, 2024 to Mar 26, 2024
- Assets in custody · unset to 2331800.0Jan 3, 2024 to Mar 26, 2024
- Custody of client assets · false to trueJan 3, 2024 to Mar 26, 2024
- Employees · 2 to 5Jan 3, 2024 to Mar 26, 2024
- Insurance-licensed employees · 2 to 5Jan 3, 2024 to Mar 26, 2024
- Other offices · 0 to 1Jan 3, 2024 to Mar 26, 2024
- Discretionary RAUM · $0 to $22.9MJan 3, 2024 to Mar 26, 2024
- HNW RAUM · unset to 16074179.0Jan 3, 2024 to Mar 26, 2024
- Individual RAUM · unset to 6835913.0Jan 3, 2024 to Mar 26, 2024
- RAUM · $0 to $22.9MJan 3, 2024 to Mar 26, 2024
Signals
3 dated events
- A•••••• C••••• left R• I••••••••• S••••••••• L•• for S•••••• I••••••••• L•• (registered 2024-06-06)May 28, 2024 · Advisor changed firm · fact
- James Stuart Campbell (Managing Member) appeared on Schedule A of R• I••••••••• S••••••••• L••Mar 20, 2023 · Control person joined · fact
- R• I••••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Aug 8, 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
- Website
- riskmis.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (877) 803-6087reportedpublic record, Form ADV, Mar 27, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $11.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026