DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

S•••••••• W••••• A•••••••

S•••••••• ASSET MANAGEMENT, LLC, CRD 121764

NEW CASTLE, IN

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Search this name across graphs

Data as of Mar 17, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 12
On other graphs: 0
Observed: Mar 14, 2012 to Mar 17, 2025
24 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: $245M••• Locked
Discretionary RAUM: $245M
Private client RAUM: $243Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• R•••••• J••	Member	D	yes	01/2002	Mar 14, 2012	Mar 11, 2024
S••••• M•••••• E•••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	D	yes	03/1998	Mar 14, 2012	Mar 11, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J••• D•• B••••••••	n/a	n/a	n/a	Y	no	n/a
M••••• E••••• S•••• J•	n/a	n/a	n/a	Y	yes	n/a
R••••• J•• B••••••••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Carmel	In	United States	3	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	6	-6	n/a	0	0	0	0	6

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$245M	$220M	11.2%	$223M	3.2%	10	10	6	6

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P•••••••• W••••• P•••••••• L••	6	Dec 10, 2025	Aug 1, 2025	CARMEL, IN	Firm absorbed	RIA to RIA	100.0%

Relationships

Registered with (8)

← M••••• E••••• S••••Advisorregistration: previous registration
Nov 25, 2002 to Dec 10, 2025factForm ADV
← R••••• J•• B•••••••••Advisorregistration: previous registration
Nov 6, 2002 to Dec 10, 2025factForm ADV
← V•••• J••• K•••••Advisorregistration: previous registration
Jan 18, 2008 to Dec 10, 2025factForm ADV
← J••••• D•• B••••••••

Dated events

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

Order

Occurred
10 Dec 2025
Advisor changed firm6 events
S•••••••• W••••• A•••••••: advisor changed firm, 6 counterparties, on 10 Dec 2025
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
10 Dec 2025
Firm absorbed
••• Locked
Form ADV
6 advisors
Occurred
7 Jul 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
16 Sep 2021
Control person left
••• Locked
Form ADV
Occurred
1 Mar 2018
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 14, 2012
Last observed: Mar 17, 2025 18 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.