DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

W•••••••• W••••• M••••••••• L••

CRD 146530

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:b9feeabd-5d22-e058-dcb3-5212c17c8f82

Data as of Jun 9, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 1
On other graphs: 0
Observed: Jun 9, 2021 to Jun 9, 2021
1 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: $138MItem 5.F on the latest filing (2021-06-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $137M
Private client RAUM: $137MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
B•••••••• A••••••• T•••••	MANAGING MEMBER	E	yes	03/2012	Jun 9, 2021	Jun 9, 2021
C•••••• J••••••• D••••	MANAGING MEMBER	E	yes	03/2012	Jun 9, 2021

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
W•••••••• C•• G••••	n/a	n/a	n/a	Y	yes	n/a

Relationships

Owns (5)

← F••• B••••••••• L••OwnerMEMBER, ownership code B, domestic entity
Jun 9, 2021 to presentfactForm ADV
← N••• L•••• C•• G•••• P•OwnerMEMBER, ownership code B, domestic entity
Jun 9, 2021 to presentfactForm ADV
← P••••••• E••••••••• L••OwnerMEMBER, ownership code B, domestic entity
Jun 9, 2021 to presentfactForm ADV
← S••• O• L••••••• L••OwnerMEMBER, ownership code B, domestic entity
Jun 9, 2021 to presentfact

Dated events

Occurred
Jun 9, 2021
First Form ADV filing
W•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b9feeabd-5d22-e058-dcb3-5212c17c8f82
First observed: Jun 9, 2021
Last observed: Jun 9, 2021 64 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.