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O••••••••• S••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 100m 1b

O••••••••• S••••••••• I•••

CRD 4173

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:5b4b487a-4796-0594-2606-d101f2a9baa5

Data as of Jul 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 960
Dated events: 40
On other graphs: 0
Observed: Mar 30, 2012 to Jul 28, 2026
36 observations

Right now

3 signals name this record (all ria / wealth signals)

#1NewDerived metricAdvisor Recruiting Intelligence

3 advisors left O••••••••• S••••••••• I••• (Cantonment, FL) for A• W••••• M••••••••• L•• on the same day

Dated 2026-06-26 (filing); first seen by DFX 2026-09-16.

Exposure: exposure unknown
Who this matters to: RIA aggregators, Advisor recruiters +2
Historical: not a measured predictor

A• W••••• M••••••••• L•• · destination firm

Advisor Recruiting IntelligenceJun 26, 2026 · seen 5 days ago

#2NewDerived metricAdvisor Recruiting Intelligence

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: broker-dealer affiliated wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=322.0
Regulatory AUM: $306MItem 5.F on the latest filing (2026-07-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $59.2M
Private client RAUM: $306MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 335
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 334

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
G•••• K•••••• A••••	Chartered Financial Consultant	INDIANAPOLIS, IN \| MERRILLVILLE, IN	24	39	n/a	yes
M•••••• A••••• C•••••••••	Certified Financial Planner\|Chartered Financial Consultant	INDIANAPOLIS, IN \| Cottonwood Heights, UT	22

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
A••••••• U••••• L••• I•••••••• C••••••	Parent	E	yes	06/1969	May 3, 2021	Mar 27, 2024
B•••••• K••• L••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2023	Mar 30, 2023

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
O••••••••• A•••• M••••••••• L••	n/a	Institutional manager	$24B	N	yes	n/a
O••••••••• I••••••••• A••••••• S••••••• L••	n/a	Former SEC adviser	$5.1B	N

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEWPORT BEACH	CA	United States	14	yes
S••••SDALE	Az	United States	12	yes
Nampa	Id	United States	12	yes
Newton	Ma	United States	12	yes
Wichita	Ks

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
25	46	-21	13.7%	1	24	0	68	107

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
2025	$306M	$300M	2.1%	$158M	24.7%	340	326	120	120

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction; showing 20 of 30

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••••• T••••• C••••••	2	Aug 21, 2026	Aug 13, 2026	LISLE, IL	Team lift out	Ibd to state RIA	0.6%
K••••• A•••••••• I•••	2	Jun 26, 2026

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M•• I•••••••• S•••••••• L••	2	Dec 12, 2023	Feb 13, 2024	HOOVER, AL	Team lift out	Ibd to ibd	0.0%
O• I••••••••• M••••••••• C•	6	Mar 1, 2023

Relationships

showing 80 of 960

Registered with (76)

← Chloe A RolenAdvisorregistration: current employment
Sep 10, 2026 to presentfactForm ADV
← Alicia E CardonaAdvisorregistration: current employment
Sep 8, 2026 to presentfactForm ADV
← Joseph DiGiulioAdvisorregistration: current employment
Sep 2, 2026 to presentfactForm ADV
← Jonathan A Giokas

Dated events

7 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 8, 2026
Advisor changed firm
Lisa Sue Chambers left O••••••••• S••••••••• I••• for Empower Advisory Group, LLC (registered 2026-09-18)
Form ADVobserved 2 days ago
Occurred
Sep 8, 2026
Advisor changed firm
Richard Deane Jefford left O••••••••• S••••••••• I••• for Civitas Financial Llc (registered 2026-08-17)
Form ADVobserved 7 days ago
Occurred
Aug 21, 2026
Team lift-out
2 advisors left O••••••••• S••••••••• I••• (Lisle, IL) for M••••••• T••••• C•••••• on the same day
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5b4b487a-4796-0594-2606-d101f2a9baa5
First observed: Mar 30, 2012
Last observed: Jul 28, 2026 56 days 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.

2025	Mar 31, 2026	$306M	$59.2M	340	306	120	n/a	n/a
2024	Mar 31, 2025	$300M	$43.8M	326	289	120	n/a	n/a
2023	Mar 27, 2024	$264M	$8.4M	353	282	127	n/a	n/a
2022	Mar 30, 2023	$158M	$0	357	287	107	n/a	n/a
2021	Mar 25, 2022	$219M	$0	380	310	107	n/a	n/a
2020	Mar 31, 2021	$191M	$0	369	301	107	n/a	n/a
2019	Mar 31, 2020	$167M	$0	378	304	107	n/a	n/a
2018	Mar 29, 2019	$166M	$0	371	292	112	n/a	n/a
2017	Mar 29, 2018	$119M	$0	361	281	88	n/a	n/a
2016	Mar 31, 2017	$90.7M	$0	330	261	n/a	n/a	n/a
2015	Mar 30, 2016	$137M	$0	300	237	n/a	n/a	n/a
2014	Mar 30, 2015	$201M	$0	294	253	n/a	n/a	n/a
2013	Mar 27, 2014	$183M	$0	320	257	n/a	n/a	n/a
2012	Mar 22, 2013	$138M	$0	325	285	n/a	n/a	n/a
2011	Mar 30, 2012	$109M	$0	n/a	n/a	n/a	n/a	n/a

3 advisors left O••••••••• S••••••••• I••• (Cantonment, FL) for A• W••••• M••••••••• L•• on the same day

3 advisors left O••••••••• S••••••••• I••• (Indianapolis, IN) for A• W••••• M••••••••• L•• on the same day

2 advisors left O••••••••• S••••••••• I••• (Lisle, IL) for M••••••• T••••• C•••••• on the same day