DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

TRUST INVESTMENT ADVISORS

TRUST & INVESTMENT ADVISORS, INC., CRD 105330

INDIANAPOLIS, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:09393cad-43fa-544e-d4b9-86a75d987ca4

Data as of Mar 16, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Nov 18, 2011 to Mar 16, 2020
28 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $124MItem 5.F on the latest filing (2020-03-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $124M
Private client RAUM: $116MderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 285
Individual clients: 142
High net worth clients: 29
SEC number: 801-30680
CRD: 105330
Filings on the tape: 28
First filed: Nov 18, 2011
Latest filed: Mar 16, 2020
Organised: Corporation, Indiana

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ATKINS, JONATHAN, MICHAEL	CHIEF COMPLIANCE OFFICER	Na	yes	11/2011	Nov 18, 2011	Mar 16, 2020
DELAY, JAMES, RONALD	President	Na	yes	08/2017	Aug 29, 2017	Mar 16, 2020
PITTS, SUSAN, CALLAN	OWNER AND CHAIRMAN OF THE BOARD	E	yes	08/2017	Aug 29, 2017	Mar 16, 2020
PRUGH, GEORGE, MICHAEL	VICE PRESIDENT	Na	no	04/1992	Nov 18, 2011	Mar 16, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CIRCLE INVESTMENT COUNSELORS, LLC	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 16, 2020	$124M	$124M	6	4	0	n/a	n/a
2018	Mar 13, 2019	$131M	$131M	6	4	0	n/a	n/a
2017	Feb 14, 2018	$158M	$158M	5	3	0	n/a	n/a
2016	Feb 6, 2017	$160M	$160M	6	4	n/a	n/a	n/a
2015	Mar 3, 2016	$155M	$155M	6	4	n/a	n/a	n/a
2014	Apr 1, 2015	$186M	$186M	6	2	n/a	n/a	n/a
2013	Feb 27, 2014	$168M	$168M	6	2	n/a	n/a	n/a
2012	Mar 19, 2013	$161M	$161M	6	2	n/a	n/a	n/a
2011	Mar 22, 2012	$135M	$135M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$124M	$131M	-5.6%	$160M	-8.1%	6	6	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
TRUST INVESTMENT ADVISORS	2	Jul 21, 2020	Aug 21, 2020	INDIANAPOLIS, IN	Channel change	RIA to new firm	100.0%

Relationships

Owns (1)

← PRUGH, GEORGE, MICHAELOwnerVICE PRESIDENT, ownership code NA, individual
Nov 18, 2011 to presentfactForm ADV

Controls (3)

← PITTS, SUSAN, CALLANOwnerOWNER AND CHAIRMAN OF THE BOARD, ownership code E, individual
Aug 29, 2017 to presentfactForm ADV
← DELAY, JAMES, RONALDOwnerPRESIDENT, ownership code NA, individual
Aug 29, 2017 to presentfactForm ADV
← ATKINS, JONATHAN, MICHAELOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 18, 2011 to presentfactForm ADV

Moved with (1)

→ TRUST INVESTMENT ADVISORSRegistered adviser2 advisors, team lift out, same day
Jul 21, 2020 to Aug 21, 2020factForm ADV

Registered with (3)

← BURTON PETER STREETAdvisorregistration: previous registration
Feb 26, 2020 to Jul 21, 2020factForm ADV
← JAMES RONALD DELAYAdvisorregistration: previous registration
Sep 19, 2012 to Jul 21, 2020factForm ADV
← DAWN ELLEN MORLEYAdvisorregistration: previous registration
Nov 24, 1998 to Dec 31, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:09393cad-43fa-544e-d4b9-86a75d987ca4
First observed: Nov 18, 2011
Last observed: Mar 16, 2020 79 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

TRUST INVESTMENT ADVISORS

TRUST & INVESTMENT ADVISORS, INC., CRD 105330

INDIANAPOLIS, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:09393cad-43fa-544e-d4b9-86a75d987ca4

Data as of Mar 16, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:02 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ATKINS, JONATHAN, MICHAEL

CHIEF COMPLIANCE OFFICER

yes

11/2011

Nov 18, 2011

Mar 16, 2020

DELAY, JAMES, RONALD

President

yes

08/2017

Aug 29, 2017

Mar 16, 2020

PITTS, SUSAN, CALLAN

OWNER AND CHAIRMAN OF THE BOARD

yes

08/2017

Aug 29, 2017

Mar 16, 2020

PRUGH, GEORGE, MICHAEL

VICE PRESIDENT

04/1992

Nov 18, 2011

Mar 16, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CIRCLE INVESTMENT COUNSELORS, LLC

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 16, 2020

$124M

n/a

2018

Mar 13, 2019

$131M

n/a

2017

Feb 14, 2018

$158M

n/a

2016

Feb 6, 2017

$160M

n/a

2015

Mar 3, 2016

$155M

n/a

2014

Apr 1, 2015

$186M

n/a

2013

Feb 27, 2014

$168M

n/a

2012

Mar 19, 2013

$161M

n/a

2011

Mar 22, 2012

$135M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$124M

$131M

-5.6%

$160M

-8.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

TRUST INVESTMENT ADVISORS

Jul 21, 2020

Aug 21, 2020

INDIANAPOLIS, IN

Channel change

RIA to new firm

100.0%