DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

H••••• F••••••• F•••••••• I••

CRD 109563

CARMEL, IN

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Data as of Jul 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 8
On other graphs: 1
Observed: Jan 11, 2012 to Jul 27, 2026
35 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Independent Sponsorsidentity

H••••• F••••••• F•••••••• I••

Capital provider to sponsors · same CRD, same SEC file number

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderived••• Locked
Regulatory AUM: $705M••• Locked
Discretionary RAUM: $705M
Private client RAUM: $698Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $88.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B••••••• S•••• F•••••••	Chartered Financial Analyst	CARMEL, IN	20	21	n/a	no
T•••••• C•••••••• W••••	Certified Financial Planner	CARMEL, IN	11	19

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L••••••••• I•• A• S••••• O• H••• W• L••	Other Private Fund	$3.8M	Jul 27, 2026	29	Jul 27, 2026	reported	021-571504

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• B•••••••• S••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	02/2020	Jan 11, 2012	Sep 17, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G••• S••• I••••••••• M••••••••• L••	n/a	State registered	n/a	N	no	n/a

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
1	0	1	0.0%	1	0	0	1	0

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	$705M	$488M	44.5%	$267M	38.3%	15	12	0	0

Relationships

Registered with (8)

← J•••• A•••• D••••••Advisorregistration: current employment
Aug 3, 2026 to presentfactForm ADV
← L••• M•••• H•••••• A•••••Advisorregistration: current employment
May 11, 2026 to presentfactForm ADV
← H•••• M• D••••••Advisorregistration: current employment
Mar 31, 2026 to presentfactForm ADV
← B••••••• M••••• W••••

Dated events

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

Order

Occurred
27 Jul 2026
Private fund first reported
••• Locked
Form ADV
$3.8M
Occurred
26 Mar 2026
Regulatory AUM changed
••• Locked
Form ADV
$217M
Occurred
26 Feb 2025
Regulatory AUM changed
••• Locked
Form ADV
$110M
Occurred
1 Mar 2024
Regulatory AUM changed
••• Locked
Form ADV
$112M
Occurred
8 Mar 2021
Regulatory AUM changed
••• Locked
Form ADV
$124M

Show 2 bookkeeping events

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 11, 2012
Last observed: Jul 27, 2026 59 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Feb 5, 2016	$164M	$162M	6	6	n/a	n/a	n/a
2014	Jan 16, 2015	$180M	$180M	6	6	n/a	n/a	n/a
2013	Feb 24, 2014	$180M	$180M	3	3	n/a	n/a	n/a
2012	Jan 29, 2013	$148M	$148M	3	3	n/a	n/a	n/a
2011	Mar 22, 2012	$132M	$132M	n/a	n/a	n/a	n/a	n/a