DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

3•••••••• • S•• A••••••• S•••••••• L••

CRD 331301

COLUMBUS, IN

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Data as of Jan 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 5
On other graphs: 0
Observed: Apr 17, 2024 to Jan 20, 2026
7 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $723M••• Locked
Discretionary RAUM: $723M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
3•••••••• R•••••••• L••	Owner	D	yes	08/2010	Apr 17, 2024	Nov 16, 2024
B•••••••• F••••••••• J••••	CHIEF COMPLIANCE OFFICER	Na	yes	04/2024	Apr 17, 2024	Nov 16, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•• A••••••• S•••••••• L••	n/a	Independent wealth	$949M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Jan 20, 2026

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	$723M	$446M	62.1%	n/a	n/a	6	6	0	0

Relationships

Affiliated with (1)

→ S•• A••••••• S•••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (10)

← S•• A••••••• S•••••••• L••OwnerOWNER, ownership code D, domestic entity
Apr 17, 2024 to Nov 16, 2024factForm ADV
← B•••••• M•••• A•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Apr 24, 2024 to Nov 16, 2024factForm ADV
← C••••••• E•••• S••••••OwnerPORTFOLIO MANAGER, ownership code NA, individual

Dated events

Order

Occurred
3 Jun 2025
Regulatory AUM changed
••• Locked
Form ADV
$394M
Occurred
16 Nov 2024
Regulatory AUM changed
••• Locked
Form ADV
$311M
Occurred
24 Apr 2024
Control person joined2 events
3•••••••• • S•• A••••••• S•••••••• L••: control person joined, 2 events, on 24 Apr 2024
- ••• Locked
- ••• Locked
Occurred
17 Apr 2024
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 17, 2024
Last observed: Jan 20, 2026 8 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.