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CRD 145399
INDIANAPOLIS, IN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| L••••• L••• J••• | n/a | INDIANAPOLIS, IN | 17 | 32 | 2 | no |
| J•••• A•••• M••••• | n/a | INDIANAPOLIS, IN | 16 | 25 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| J•••• L•••••• L••• | PRESIDENT OFFICER | D | yes | 10/2008 | Aug 27, 2026 | Aug 27, 2026 |
| O••••• B••••••• H•••• | CHIEF COMPLIANCE OFFICER | A | yes | 02/2012 | Mar 21, 2013 | Mar 25, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Indianapolis | In | United States | 2 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 2 | -1 | 15.4% | 1 | 0 | 0 | 2 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.4B | $1.1B | 28.3% | $647M | 28.5% | 13 | 13 | 2 | 2 |
| no |
| J••••• D•••• J••• | n/a | INDIANAPOLIS, IN | 14 | 25 | n/a | no |
| B•••••• H•••• O•••• | Certified Financial Planner | INDIANAPOLIS, IN | 14 | 28 | 7 | no |
| J••••••• W•••••• R•••••• | n/a | INDIANAPOLIS, IN | 14 | 14 | n/a | no |
| D••••• K•••• L•••• | n/a | INDIANAPOLIS, IN | 12 | 16 | n/a | no |
| B•••• F•••••••• H•••••• | n/a | INDIANAPOLIS, IN | 11 | 25 | 1 | no |
| S••••• C•••••••• M••••• | n/a | INDIANAPOLIS, IN | CANONSBURG, PA | 9 | 31 | 1 | no |
| S•••• M•••••• R••••••• | n/a | INDIANAPOLIS, IN | 6 | 20 | 2 | no |
| T••••• S•••••• C•••••• | n/a | MUNCIE, IN | INDIANAPOLIS, IN | 6 | 11 | 1 | no |
| L••• N•••• D••• | n/a | INDIANAPOLIS, IN | 4 | 14 | n/a | no |
| Z•••••• N••••••• M••••• | n/a | INDIANAPOLIS, IN | 3 | 13 | n/a | no |
| J••• T••••• H••• | Certified Financial Planner | HIGHLANDS RANCH, CO | INDIANAPOLIS, IN | 0 | 32 | 2 | no |
| INVESTMENT ADVISER REPRESENTATIVE |
| A |
| no |
| 08/2016 |
| Aug 27, 2026 |
| Aug 27, 2026 |
| L••••• D•••••• K•••• | INVESTMENT ADVISER REPRESENTATIVE | A | no | 08/2016 | Aug 27, 2026 | Aug 27, 2026 |
| R••••••• J•••••••• W•••••• | INVESTMENT ADVISER REPRESENTATIVE | B | no | 08/2016 | Aug 27, 2026 | Aug 27, 2026 |
| Mar 30, 2026 |
| $1.4B |
| $1.2B |
| 13 |
| 13 |
| 2 |
| n/a |
| n/a |
| 2024 | Feb 28, 2025 | $1.1B | $890M | 13 | 13 | 2 | n/a | n/a |
| 2023 | Mar 25, 2024 | $853M | $644M | 15 | 15 | 2 | n/a | n/a |
| 2022 | Mar 19, 2023 | $647M | $460M | 15 | 15 | 2 | n/a | n/a |
| 2021 | Mar 17, 2022 | $554M | $554M | 11 | 11 | 2 | n/a | n/a |
| 2020 | Mar 13, 2021 | $431M | $431M | 9 | 9 | 2 | n/a | n/a |
| 2019 | Mar 20, 2020 | $311M | $311M | 8 | 8 | 2 | n/a | n/a |
| 2018 | Feb 14, 2019 | $244M | $241M | 8 | 8 | 1 | n/a | n/a |
| 2017 | Mar 14, 2018 | $214M | $211M | 9 | 8 | 1 | n/a | n/a |
| 2016 | Feb 10, 2017 | $170M | $167M | 7 | 7 | n/a | n/a | n/a |
| 2015 | Feb 19, 2016 | $141M | $139M | 8 | 7 | n/a | n/a | n/a |
| 2014 | Feb 11, 2015 | $125M | $123M | 7 | 7 | n/a | n/a | n/a |
| 2013 | Feb 21, 2014 | $107M | $104M | 5 | 4 | n/a | n/a | n/a |
| 2011 | Feb 23, 2012 | $62.5M | $55.7M | n/a | n/a | n/a | n/a | n/a |