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
P•••• P•••••••
Legal name P•••• P•••••••• L••
Latest filing Aug 21, 2026
First filing on the tape May 1, 2025 · 6 filings
SEC status approved since Jun 3, 2025
RAUM
$329M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$321M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$54.9M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$329M as of Aug 21, 2026
May 1, 2025$0 then
HNW client RAUM$256M as of Aug 21, 2026
Nov 21, 2025$243M then
State-registered IARs (5.B.3)4 as of Aug 21, 2026
May 1, 20253 then
Employees (5.A)7 as of Aug 21, 2026
May 1, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 21, 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
- RAUM per advisor
- $54.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $346,873derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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 advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$256M78%
- Individuals$64.1M19%
- Pension and profit-sharing plans$5.2M1.6%
- Charitable organizations$3.3M1.0%
- Corporations and businesses$177,4540.1%
- Individual clients
- 201reported
- HNW clients
- 104reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 949reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• N••••• J••Certified Financial Planner | Dexter, Mi | Jul 16, 2025 | 28 y | 3 |
| T••• M•••• W•••••Certified Financial Planner | Dexter, Mi | Jul 16, 2025 | 16 y | 3 |
| A•••• J• K•••Certified Financial Planner | Dexter, Mi | Jul 16, 2025 | 13 y | 4 |
| G•••••••• M••••••• G••• | Dexter, Mi | Jan 6, 2026 | 13 y | 2 |
| R••••• G••••••• C•••••• | Dexter, Mi | Aug 3, 2026 | 10 y | 0 |
| A••• R•••••• W•••••• | Dexter, Mi | Sep 8, 2026 | 16 y | 0 |
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
- G•••••••• M••••••• G••• from A••••••• S••••••• N••••••Jan 6, 2026 · RIA to RIA
- T••• M•••• W••••• from S••••••• C••••••••• L••Jul 16, 2025 · RIA to a newly registered adviser
- A•••• J• K••• from S••••••• C••••••••• L••Jul 16, 2025 · RIA to a newly registered adviser
- M•••••• N••••• J•• from S••••••• C••••••••• L••Jul 16, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from S••••••• C••••••••• L••Aug 7, 2025 · Dexter, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Dexter, Mi · principal | 6 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Nov 21, 2025 to Mar 13, 2026
- HNW clients · 97 to 104Nov 21, 2025 to Mar 13, 2026
- Individual clients · 196 to 201Nov 21, 2025 to Mar 13, 2026
- Employees · 3 to 7Nov 21, 2025 to Mar 13, 2026
- fin p••••••• clients · 0 to 1-10Nov 21, 2025 to Mar 13, 2026
- State-registered IARs · 3 to 4Nov 21, 2025 to Mar 13, 2026
- Other offices · 1 to 0Nov 21, 2025 to Mar 13, 2026
- Discretionary RAUM · $308M to $329MNov 21, 2025 to Mar 13, 2026
- HNW RAUM · $243M to $256MNov 21, 2025 to Mar 13, 2026
- Individual RAUM · $61.0M to $64.1MNov 21, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $5.2M to $0Nov 21, 2025 to Mar 13, 2026
- RAUM · $313M to $329MNov 21, 2025 to Mar 13, 2026
- Accounts · 0 to 949Jul 18, 2025 to Nov 21, 2025
- HNW clients · unset to 97.0Jul 18, 2025 to Nov 21, 2025
- Individual clients · unset to 196.0Jul 18, 2025 to Nov 21, 2025
- fin p••••••• clients · 0 to 0Jul 18, 2025 to Nov 21, 2025
- Other offices · 0 to 1Jul 18, 2025 to Nov 21, 2025
- Discretionary RAUM · $0 to $308MJul 18, 2025 to Nov 21, 2025
- HNW RAUM · unset to 242976109.0Jul 18, 2025 to Nov 21, 2025
- Individual RAUM · unset to 61024597.0Jul 18, 2025 to Nov 21, 2025
- Non-discretionary RAUM · $0 to $5.2MJul 18, 2025 to Nov 21, 2025
- Pension RAUM · unset to 5217830.0Jul 18, 2025 to Nov 21, 2025
- RAUM · $0 to $313MJul 18, 2025 to Nov 21, 2025
- Related insurance company · true to falseJul 18, 2025 to Nov 21, 2025
- Advisory activities · 4 to 5May 1, 2025 to Jul 18, 2025
- Related insurance company · false to trueMay 1, 2025 to Jul 18, 2025
Signals
1 dated events
- 3 advisors left S••••••• C••••••••• L•• (Flint, MI) for P•••• P••••••• on the same dayAug 7, 2025 · Team lift-out · 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
- Business phone
- 734-274-6744reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/pearlplanningwealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- pearlplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 734.274.6744reportedpublic record, Form ADV, Aug 21, 2026
- Contact form
- pearlplanning.com/contact/dexter-michigan-financial-plannerreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- pearlplanning.com/about/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
- $54.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026