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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

WOLFRUM AND CO.

WOLFRUM AND COMPANY, LLC, CRD 291243

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:4a3ecdf0-fdfe-0e6e-a7a6-db7bc8087143

Data as of Mar 28, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 5
On other graphs: 0
Observed: Nov 28, 2017 to Mar 28, 2019
5 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 5
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-112226
CRD: 291243
Filings on the tape: 5
First filed: Nov 28, 2017
Latest filed: Mar 28, 2019
Organised: Limited Liability Company, 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
WOLFRUM, SCOTT, THOMAS	President	E	yes	12/2017	Nov 28, 2017	Mar 28, 2019
WOLFRUM, AMANDA, JONELL	CHIEF COMPLIANCE OFFICER	Na	no	12/2017	Nov 28, 2017	Mar 28, 2019

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
FOUNDRY CAPITAL GROUP, LLC	n/a	n/a	n/a	Y	yes	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
2017	May 1, 2018	$220M	$220M	5	2	0	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
2017	n/a	n/a	n/a	n/a	n/a	5	n/a	0	n/a

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
HUNTLEIGH ADVISORS, INC.	2	Apr 11, 2024	Apr 10, 2024	INDIANAPOLIS, IN	Team lift out	Other	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SANCTUARY ADVISORS, LLC	3	Jan 4, 2018	Feb 1, 2018	CHICAGO, IL	Team lift out	Other	6.4%

Relationships

Controls (1)

← WOLFRUM, SCOTT, THOMASOwnerPRESIDENT, ownership code E, individual
Nov 28, 2017 to presentfactForm ADV

Owns (1)

← WOLFRUM, AMANDA, JONELLOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 28, 2017 to presentfactForm ADV

Registered with (5)

← Lindsey Jo HolbrookAdvisorregistration: previous registration
Feb 1, 2018 to Apr 11, 2024factForm ADV
← Richard Lowery MorrisAdvisorregistration: previous registration
Mar 19, 2019 to Apr 11, 2024factForm ADV
← AMANDA JONELL WOLFRUMAdvisorregistration: previous registration
Feb 1, 2018 to Dec 22, 2021factForm ADV
← VALERIE KAY BRENNANAdvisorregistration: previous registration
Feb 1, 2018 to Apr 4, 2019factForm ADV
← David A. JaicomoAdvisorregistration: previous registration
Feb 1, 2018 to Dec 21, 2018factForm ADV

Moved with (2)

→ HUNTLEIGH ADVISORS, INC.Registered adviser2 advisors, team lift out, same day
Apr 11, 2024 to Apr 10, 2024factForm ADV
← SANCTUARY ADVISORS, LLCRegistered adviser3 advisors, team lift out, same day
Jan 4, 2018 to Feb 1, 2018factForm ADV

Dated events

Occurred
Apr 11, 2024
Team lift-out
2 advisors left Wolfrum And CO. (Indianapolis, IN) for Huntleigh Advisors, Inc. on the same day
Form ADVobserved 3 days ago
2 advisors
Occurred
Apr 11, 2024
Advisor changed firm
Lindsey Jo Holbrook left Wolfrum And Co. for Huntleigh Advisors, Inc. (registered 2024-04-10)
Form ADVobserved 4 days ago
Occurred
Apr 11, 2024
Advisor changed firm
Richard Lowery Morris left Wolfrum And Co. for Huntleigh Advisors, Inc. (registered 2024-04-10)
Form ADVobserved 4 days ago
Occurred
May 1, 2018
Regulatory AUM changed
Wolfrum And Co. reported RAUM $220.0M, up 120% from $100.0M (2018-03-30 to 2018-05-01)
Form ADVobserved 4 days ago
$120M
Occurred
Nov 28, 2017
First Form ADV filing
Wolfrum And Co. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a3ecdf0-fdfe-0e6e-a7a6-db7bc8087143
First observed: Nov 28, 2017
Last observed: Mar 28, 2019 91 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.

WOLFRUM AND CO.

WOLFRUM AND COMPANY, LLC, CRD 291243

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:4a3ecdf0-fdfe-0e6e-a7a6-db7bc8087143

Data as of Mar 28, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:17 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

WOLFRUM, SCOTT, THOMAS

President

yes

12/2017

Nov 28, 2017

Mar 28, 2019

WOLFRUM, AMANDA, JONELL

CHIEF COMPLIANCE OFFICER

12/2017

Nov 28, 2017

Mar 28, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FOUNDRY CAPITAL GROUP, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

May 1, 2018

$220M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

HUNTLEIGH ADVISORS, INC.

Apr 11, 2024

Apr 10, 2024

INDIANAPOLIS, IN

Team lift out

Other

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SANCTUARY ADVISORS, LLC

Jan 4, 2018

Feb 1, 2018

CHICAGO, IL

Team lift out

Other

6.4%