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
A• A•••• L••
Latest filing Apr 6, 2026
First filing on the tape Mar 4, 2025 · 6 filings
SEC status approved since Nov 20, 2025
RAUM
$200M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$100M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$200M as of Apr 6, 2026
Mar 4, 2025$0 then
HNW client RAUM$0 as of Apr 6, 2026
Feb 4, 2026$0 then
State-registered IARs (5.B.3)3 as of Apr 6, 2026
Mar 4, 20251 then
Employees (5.A)3 as of Apr 6, 2026
Mar 4, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 3offices 0 to 1
Practice profile
derived from the filing of Apr 6, 2026; every figure names its basis
- RAUM per advisor
- $100MderivedRAUM 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
- $66.7MderivedRAUM 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
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +200%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$200M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• H•••• | Frisco, Tx | Mar 23, 2026 | 10 y | 1 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- S••••• H•••• from M•••••••••Mar 23, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••••• J•••• A•••• · Managing Member/Ccocontrolsince 02/2025 · owns 25% to 50%
- S•••••• J••••••• K•••• · Membercontrolsince 02/2025 · owns 25% to 50%
Entity owners
- K•••••• L•• · Memberdirect · owns 50% to 75%
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 | 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 Apr 6, 2026discretionary share of RAUM of 0% against a peer median of 100% (1567 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $100M to $500M (1,567) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 0 to 3Feb 4, 2026 to Mar 24, 2026
- Advisory employees · 1 to 3Feb 4, 2026 to Mar 24, 2026
- Employees · 1 to 3Feb 4, 2026 to Mar 24, 2026
- Insurance-licensed employees · 0 to 3Feb 4, 2026 to Mar 24, 2026
- State-registered IARs · 0 to 3Feb 4, 2026 to Mar 24, 2026
- Other offices · 0 to 1Feb 4, 2026 to Mar 24, 2026
- Non-discretionary RAUM · $0 to $200MFeb 4, 2026 to Mar 24, 2026
- RAUM · $0 to $200MFeb 4, 2026 to Mar 24, 2026
- Advisory employees · 2 to 1Oct 16, 2025 to Feb 4, 2026
- Charity clients · unset to 0.0Oct 16, 2025 to Feb 4, 2026
- Corporate clients · unset to 0.0Oct 16, 2025 to Feb 4, 2026
- HNW clients · unset to 0.0Oct 16, 2025 to Feb 4, 2026
- Individual clients · unset to 0.0Oct 16, 2025 to Feb 4, 2026
- Pension plan clients · unset to 0.0Oct 16, 2025 to Feb 4, 2026
- Pooled vehicle clients · unset to 0.0Oct 16, 2025 to Feb 4, 2026
- Employees · 3 to 1Oct 16, 2025 to Feb 4, 2026
- Insurance-licensed employees · 3 to 0Oct 16, 2025 to Feb 4, 2026
- State-registered IARs · 1 to 0Oct 16, 2025 to Feb 4, 2026
- HNW RAUM · unset to 0.0Oct 16, 2025 to Feb 4, 2026
- Individual RAUM · unset to 0.0Oct 16, 2025 to Feb 4, 2026
- Pension RAUM · unset to 0.0Oct 16, 2025 to Feb 4, 2026
- Pooled vehicle RAUM · unset to 0.0Oct 16, 2025 to Feb 4, 2026
- Advisory activities · 1 to 2Jun 24, 2025 to Oct 16, 2025
- Employees · 2 to 3Jun 24, 2025 to Oct 16, 2025
- Insurance-licensed employees · 2 to 3Jun 24, 2025 to Oct 16, 2025
- Financial planning clients · unset to Mar 4, 2025 to Jun 24, 2025
Signals
1 dated events
- A• A•••• L•• no longer on the SEC adviser roster (last listed 2025-08-01)Sep 2, 2025 · Left the SEC roster · derived
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
- my-aialpha.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 616-600-2060reportedpublic record, Form ADV, Apr 6, 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
- $100Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026