DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 1b 10b

U•••••• C••• A••••••• S•••••••• L••

CRD 136904

INDIANAPOLIS, IN

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Data as of Mar 1, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Dec 2, 2011 to Mar 1, 2019
12 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: $1.0B••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• B••••• C•••••••••	CHIEF COMPLIANCE OFFICER	Na	yes	12/2011	Dec 2, 2011	Mar 1, 2019
H••• U•••••• • A••••••••• C•••••••• P••••• A••••••••• L••	Member	E	yes	01/2010	Dec 2, 2011	Mar 1, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••• T•••• M•••••••• A•••••••• L••	n/a	n/a	n/a	Y	no	n/a
B•••• T•••• V•••••• K••••• L••	n/a	n/a	n/a	Y	no	n/a
H••• U•••••• • A••••••••• C•••••••• P••••• A••••••••• L••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$1.0B	$953M	8.7%	$446M	32.4%	4	4	0	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B•••• T•••• I••••••••• S•••••••	4	Mar 29, 2019	Mar 18, 2019	INDIANAPOLIS, IN	Firm absorbed	Other	100.0%

Relationships

Controls (5)

← J•••••• J•••• D••••••OwnerPARTNER, ownership code C, individual
Dec 2, 2011 to presentfactForm ADV
← S•••••• J•••• M•OwnerPARTNER, ownership code C, individual
Mar 24, 2016 to presentfactForm ADV
← S••••••••• T•••• A•••••OwnerMANAGING MEMBER, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV
← C•••••• B••••• C•••••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 2, 2011 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 2, 2011
Last observed: Mar 1, 2019 92 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.