DFX Intelligence

C••••••• F•••••••• D••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 1b 10b

C••••••• F•••••••• D••••••• I•••

CRD 109032

KOKOMO, IN

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Search this name across graphsid dfx:ria:9d1750b9-39a3-332b-40cf-7c2002a02710

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 306
Dated events: 31
On other graphs: 0
Observed: May 7, 2012 to Mar 30, 2026
33 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: broker-dealer affiliated wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=160.0
Regulatory AUM: $2.9B••• Locked
Discretionary RAUM: $2.9B
Private client RAUM: $2.9Bderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 162
RAUM per advisor

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••• A•••••• O••••	n/a	KOKOMO, IN	28	41	n/a	yes
M••••• L•• O••••	Certified Financial Planner\|Chartered Financial Consultant	KOKOMO, IN \| Flint, MI	27	57

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• M••••••• O•	CHIEF COMPLIANCE OFFICER	Na	yes	04/2012	Mar 30, 2026	Mar 30, 2026
O••••• B••••• A••••••	PRESIDENT, DIRECTOR	C	yes	08/1997	Mar 30, 2026	Mar 30, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•• I•••••••• P•••••••• I•••	n/a	n/a	n/a	N	yes	n/a
C•• I••••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Lenexa	Ks	United States	8	yes
Greenville	Oh	United States	5	yes
Boise	Id	United States	4	yes
Hollister	CA	United States	3	yes
Indianapolis	In	United States

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
11	4	7	2.5%	3	0	0	22	13

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.9B	$2.5B	18.7%	$1.7B	19.8%	170	150	104	101

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G••••••• B•••• W••••• M•••••••••	4	Dec 31, 2019	Feb 1, 2020	KOKOMO, IN	Team lift out	Ibd to new firm	3.8%
C••••• I••••••••• A••••••• L••	2	Dec 19, 2019	Mar 21, 2024

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P•• W••••• M•••••••••	2	Jul 7, 2026	Jul 6, 2026	CARMEL, IN	Team lift out	Ibd to ibd	0.2%
C•••••• G•••• • C• I••	2	May 1, 2024	May 1, 2024

Relationships

showing 80 of 306

Registered with (80)

← Shelbie Augustia WilliamsAdvisorregistration: current employment
Aug 5, 2026 to presentfactForm ADV
← SUE ELLEN ALLBAUGHAdvisorregistration: current employment
Jul 6, 2026 to presentfactForm ADV
← ROBERT KENNEDY KRETZAdvisorregistration: current employment
Jul 2, 2026 to presentfactForm ADV
← BRIAN Robert CARLSON

Dated events

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

Occurred
Jul 7, 2026
Team lift-out
2 advisors left P•• W••••• M••••••••• (Carmel, IN) for C••••••• F•••••••• D••••••• I••• on the same day
Form ADVobserved 7 days ago
2 advisors
Occurred
May 27, 2026
A•••••• firm change
Stephen Craig Matson left C••••••• F•••••••• D••••••• I••• for Ameriprise Financial Services, Llc (registered 2026-05-27)
Form ADVobserved 7 days ago
Occurred
Apr 20, 2026
A•••••• firm change
Macy Rose Fingerhut Reimbold left C••••••• F•••••••• D••••••• I••• for Domain Money Advisors, Llc (registered 2026-05-01)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9d1750b9-39a3-332b-40cf-7c2002a02710
First observed: May 7, 2012
Last observed: Mar 30, 2026 5 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.