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••• F•••••••• G••••• L••
Legal name D••• F•••••••• S•••••••• L••
Latest filing Aug 18, 2026
First filing on the tape Feb 23, 2023 · 14 filings
SEC status approved since Mar 27, 2023
RAUM
$271M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$271M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$90.2M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$271M as of Aug 18, 2026
Feb 19, 2024$154M then
HNW client RAUM$181M as of Aug 18, 2026
Feb 19, 2024$59.5M then
State-registered IARs (5.B.3)3 as of Aug 18, 2026
Feb 19, 20243 then
Employees (5.A)8 as of Aug 18, 2026
Feb 19, 20246 then
Private funds: no history
RAUM +28% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Aug 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $90.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $289,006derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $241M, 217 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$181M67%
- Individuals$89.3M33%
- Individual clients
- 240reported
- HNW clients
- 87reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 936reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $241M for 217 clientsreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• P••••••Certified Financial Planner, Chartered Financial Consultant | Kalamazoo, Mi | Oct 11, 2024 | 10 y | 2 |
| R••• M•••••• D•••Certified Financial Planner, Chartered Financial Consultant | Kalamazoo, Mi | Dec 13, 2024 | 24 y | 1 |
| B•••••• A• S••••••Certified Financial Planner | Kalamazoo, Mi | Feb 24, 2026 | 12 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- J••••• L••• R•••••• to C••• F•••••••• S•••••••• L•••May 17, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- B•••••• A• S•••••• from R•••••• J•••• • A••••••••• I•••Feb 24, 2026 · Affiliated broker-dealer or bank to independent RIA
- R••• M•••••• D••• from E•••• S••••••••• L••Dec 13, 2024 · Affiliated broker-dealer or bank to independent RIA
- T•••••• P•••••• from E•••• S••••••••• L••Oct 11, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••••• L••• R•••••• from E•••• S••••••••• L••Apr 14, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from E•••• S••••••••• L••Apr 17, 2023 · Kalamazoo, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• R•••• M•••••• · Owner / Financial Advisorcontrolsince 04/2023 · owns 75% or more
- E•••• T••••• M•••• · Chief Compliance Officercontrolsince 04/2023 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kalamazoo, Mi · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Aug 18, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 802 to 936Feb 27, 2025 to Feb 16, 2026
- Advisory employees · 2 to 3Feb 27, 2025 to Feb 16, 2026
- Advisory activities · 2 to 3Feb 27, 2025 to Feb 16, 2026
- HNW clients · 59 to 87Feb 27, 2025 to Feb 16, 2026
- Individual clients · 229 to 240Feb 27, 2025 to Feb 16, 2026
- Assets in custody · $178M to $241MFeb 27, 2025 to Feb 16, 2026
- Employees · 6 to 8Feb 27, 2025 to Feb 16, 2026
- State-registered IARs · 2 to 3Feb 27, 2025 to Feb 16, 2026
- HNW RAUM · $133M to $181MFeb 27, 2025 to Feb 16, 2026
- Individual RAUM · $78.0M to $89.3MFeb 27, 2025 to Feb 16, 2026
- Non-discretionary RAUM · $211M to $271MFeb 27, 2025 to Feb 16, 2026
- RAUM · $211M to $271MFeb 27, 2025 to Feb 16, 2026
- Accounts · 662 to 802Sep 16, 2024 to Feb 27, 2025
- Advisory employees · 3 to 2Sep 16, 2024 to Feb 27, 2025
- HNW clients · 24 to 59Sep 16, 2024 to Feb 27, 2025
- Individual clients · 240 to 229Sep 16, 2024 to Feb 27, 2025
- Assets in custody · $60.6M to $178MSep 16, 2024 to Feb 27, 2025
- Financial planning clients · 0 to 1-10Sep 16, 2024 to Feb 27, 2025
- State-registered IARs · 3 to 2Sep 16, 2024 to Feb 27, 2025
- HNW RAUM · $59.5M to $133MSep 16, 2024 to Feb 27, 2025
- Individual RAUM · $94.6M to $78.0MSep 16, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $154M to $211MSep 16, 2024 to Feb 27, 2025
- RAUM · $154M to $211MSep 16, 2024 to Feb 27, 2025
- Accounts · 575 to 662Jun 6, 2023 to Feb 19, 2024
- Advisory employees · 1 to 3Jun 6, 2023 to Feb 19, 2024
- HNW clients · 65 to 24Jun 6, 2023 to Feb 19, 2024
- Individual clients · 450 to 240Jun 6, 2023 to Feb 19, 2024
- Assets in custody · unset to 60597109.0Jun 6, 2023 to Feb 19, 2024
- Custody of client assets · false to trueJun 6, 2023 to Feb 19, 2024
- State-registered IARs · 1 to 3Jun 6, 2023 to Feb 19, 2024
- HNW RAUM · $40.0M to $59.5MJun 6, 2023 to Feb 19, 2024
- Individual RAUM · $80.0M to $94.6MJun 6, 2023 to Feb 19, 2024
- Non-discretionary RAUM · $120M to $154MJun 6, 2023 to Feb 19, 2024
- RAUM · $120M to $154MJun 6, 2023 to Feb 19, 2024
- Accounts · 0 to 575May 1, 2023 to Jun 6, 2023
- HNW clients · unset to 65.0May 1, 2023 to Jun 6, 2023
- Individual clients · unset to 450.0May 1, 2023 to Jun 6, 2023
- HNW RAUM · unset to 40000000.0May 1, 2023 to Jun 6, 2023
- Individual RAUM · unset to 80000000.0May 1, 2023 to Jun 6, 2023
- Non-discretionary RAUM · $0 to $120MMay 1, 2023 to Jun 6, 2023
Signals
3 dated events
- Joshua Levi Ruggles left Daus Financial Group, Llc for Cuso Financial Services, L.P. (registered 2024-04-15)May 17, 2024 · Advisor changed firm · fact
- 3 advisors left Eagle Strategies LLC (Kalamazoo, MI) for Daus Financial Group, LLC within 14 daysApr 17, 2023 · Team lift-out · derived
- Daus Financial Group, Llc filed its initial SEC registration (Form ADV)Feb 23, 2023 · 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
- autumn@dausfinancial.coreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 269-321-7472reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/daus-financial-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- DAUSFINANCIAL.COreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (269) 321-7472reportedpublic record, Form ADV, Aug 18, 2026
- Team page
- DAUSFINANCIAL.CO/our-teamreportedpublished 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $90.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026