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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

C•••••• F•••••••• A••••••• L••

CRD 109131

FORT WAYNE, IN

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Search this name across graphsid dfx:ria:e5f44161-d3b3-3d5d-0a18-5046849956d4

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 4
On other graphs: 0
Observed: Apr 23, 2012 to Mar 26, 2026
39 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: independent wealth managerderivedprivate_client_share=0.69 fund_share=0.0 institutional_share=0.31 related_bd=false related_bank=false bd_reps=3.0
Regulatory AUM: $282MItem 5.F on the latest filing (2026-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $281M
Private client RAUM: $194MderivedItem 5.D individuals plus high net worth individuals
Private client share: 69%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L••• R•• F••••	n/a	CHESTERTON, IN	27	36	1	no
J•••• J••••• B••••	n/a	CHESTERTON, IN	24	25

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••••• J••••• J•••••	Member	Na	yes	01/2000	Apr 23, 2012	Mar 19, 2024
F•••••• D••••• E•••••	Member	D	yes	01/1988	Apr 23, 2012

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Chesterton	In	United States	2	no
Hebron	In	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$282M	$265M	6.7%	$199M	12.4%	9	7	3	3

Relationships

Registered with (20)

← J•••• A••••• W••••Advisorregistration: current employment
May 18, 2023 to presentfactForm ADV
← C••••••••• J••• S••••••Advisorregistration: current employment
Oct 11, 2012 to presentfactForm ADV
← K••• A••• G•••••Advisorregistration: current employment
Jun 3, 2009 to presentfactForm ADV
← C••••••• L•• M••••••

Dated events

Occurred
Feb 4, 2021
Control person left
John Christopher Swanson (Chief Compliance Officer) no longer on Schedule A of C•••••• F•••••••• A••••••• L•• (listed 2020-09-08, absent 2021-02-04)
Form ADVobserved 6 days ago
Occurred
Mar 20, 2020
Control person joined
Lee Clifford Malings (Member) appeared on Schedule A of C•••••• F•••••••• A••••••• L••
Form ADVobserved 6 days ago
Occurred
Mar 19, 2020
Control person left
Jay Louis Rogers (Partner) no longer on Schedule A of C•••••• F•••••••• A••••••• L•• (listed 2019-03-25, absent 2020-03-19)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e5f44161-d3b3-3d5d-0a18-5046849956d4
First observed: Apr 23, 2012
Last observed: Mar 26, 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.

2025	Mar 26, 2026	$282M	$281M	9	9	3	n/a	n/a
2024	Mar 5, 2025	$265M	$263M	7	7	3	n/a	n/a
2023	Mar 19, 2024	$231M	$231M	9	7	3	n/a	n/a
2022	Mar 1, 2023	$199M	$198M	9	7	2	n/a	n/a
2021	Mar 11, 2022	$234M	$232M	8	6	2	n/a	n/a
2020	Feb 4, 2021	$210M	$209M	8	6	2	n/a	n/a
2019	Mar 19, 2020	$245M	$244M	12	9	3	n/a	n/a
2018	Mar 25, 2019	$190M	$189M	11	11	4	n/a	n/a
2017	Mar 8, 2018	$233M	$233M	12	12	4	n/a	n/a
2016	Mar 21, 2017	$195M	$195M	12	12	n/a	n/a	n/a
2015	Mar 8, 2016	$157M	$141M	15	15	n/a	n/a	n/a
2014	Feb 19, 2015	$193M	$145M	15	15	n/a	n/a	n/a
2013	Mar 31, 2014	$212M	$166M	8	8	n/a	n/a	n/a
2012	Apr 1, 2013	$183M	$183M	8	8	n/a	n/a	n/a
2011	Apr 23, 2012	$169M	$169M	n/a	n/a	n/a	n/a	n/a