DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Deerfield
Legal name Deerfield Financial Advisors, Inc.
Latest filing Mar 3, 2026
First filing on the tape Mar 29, 2012 · 30 filings
SEC status approved since Sep 5, 1985
RAUM
$1.2B
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
96%
$1.1B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$168M
derived; firm RAUM over IAPD count
Employees
14
6 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.2B as of Mar 3, 2026
Mar 29, 2012$476M then
HNW client RAUM$1.0B as of Mar 3, 2026
Mar 16, 2018$568M then
State-registered IARs (5.B.3)6 as of Mar 3, 2026
Mar 29, 20120 then
Employees (5.A)14 as of Mar 3, 2026
Apr 1, 201314 then
Private funds: no history
RAUM +23% over the last fiscal year+17% a year over threeIARs 7 to 6offices 8 to 7
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $168MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.2MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.9derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +68%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $516M, 187 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B86%
- Individuals$117M10.0%
- Charitable organizations$25.9M2.2%
- Pension and profit-sharing plans$10.8M0.9%
- Corporations and businesses$4.9M0.4%
- Individual clients
- 147reported
- HNW clients
- 163reported
- Pension plan clients
- 8reported
- Charitable clients
- 6reported
- Accounts
- 1,073reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $516M for 187 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Susan Marie SteelCertified Financial Planner | Carmel, In | Mar 30, 2004 | 35 y | 1 |
| Bradley Raymond CougillCertified Financial Planner | Indianapolis, In | Mar 30, 2004 | 34 y | 1 |
| Marcus Franklin MillerCertified Financial Planner | Indianapolis, In | Apr 27, 2012 | 16 y | 1 |
| Matthew Lewis RoopCertified Financial Planner | Carmel, In | Jul 1, 2015 | 28 y | 4 |
| Aidan Christopher FinetCertified Financial Planner | Indianapolis, In | Jan 19, 2021 | 13 y | 0 |
| Nathan Carter Melchi | Indianapolis, In | Mar 3, 2026 | 10 y | 3 |
| Kent Alexander DelphCertified Financial Planner | Indianapolis, In | Jul 17, 2026 | 15 y | 4 |
Advisor movement
2 left, 2 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 29% of current headcount2 left over 36 months
Left, latest
- Bryan Robert Byrer to Millennial Financial PlanningOct 31, 2025 · RIA to a state-registered adviser
- Hope Olivia Fry to Root Financial PartnersOct 31, 2025 · RIA to RIA
- Isobo Sokipriye Amaso to Signaturefd, LLCJun 23, 2021 · RIA to RIA
- Benjamin Joseph Hockema to Illuminate Wealth ManagementDec 31, 2019 · RIA to RIA
Joined, latest
- Kent Alexander Delph from FacetJul 17, 2026 · RIA to RIA
- Nathan Carter Melchi from LPL Enterprise, LLCMar 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- Bryan Robert Byrer from Wealthpoint Advisors LLCSep 16, 2024 · RIA to RIA
- Hope Olivia Fry from Raymond James & Associates, Inc.Sep 16, 2024 · Affiliated broker-dealer or bank to independent RIA
- Matthew Lewis Roop from Catalyst Financial Consulting, LLCJul 1, 2015 · Other
- Marcus Franklin Miller from Edward JonesApr 27, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Raymond Bradley Cougill · Senior Shareholder, Vice President, And Chief Investment Officercontrolsince 01/2000 · owns 25% to 50%
- Ann Marsha Kalasmiki · Chief Compliance Officercontrolsince 02/2019 · owns less than 5%
- Franklin Marcus Miller · Shareholdercontrolsince 10/2021 · owns 10% to 25%
- Lewis Matthew Roop · Shareholdercontrolsince 10/2021 · owns 10% to 25%
- Marie Susan Steel · Senior Shareholder, President, Chief Operating Officer, Chief Financial Officercontrolsince 10/1993 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Indianapolis, In · principal | 7 | 2 | 2 | ||
| Carmel, In | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Park Ridge, IL4 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Mar 3, 2026individual and HNW clients (Item 5.D) moved from 184.0 to 310.0 (+68.0%) between the annual amendments of 2025-03-11 and 2026-03-03; the peer median change was +5.0% (1132 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,132) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 938 to 1,073Nov 17, 2025 to Mar 3, 2026
- Advisory employees · 5 to 6Nov 17, 2025 to Mar 3, 2026
- Corporate clients · 5 to 7Nov 17, 2025 to Mar 3, 2026
- HNW clients · 67 to 163Nov 17, 2025 to Mar 3, 2026
- Individual clients · 117 to 147Nov 17, 2025 to Mar 3, 2026
- Assets in custody · $405M to $516MNov 17, 2025 to Mar 3, 2026
- Employees · 15 to 14Nov 17, 2025 to Mar 3, 2026
- State-registered IARs · 7 to 6Nov 17, 2025 to Mar 3, 2026
- Other offices · 8 to 7Nov 17, 2025 to Mar 3, 2026
- Discretionary RAUM · $797M to $975MNov 17, 2025 to Mar 3, 2026
- HNW RAUM · $860M to $1.0BNov 17, 2025 to Mar 3, 2026
- Individual RAUM · $60.0M to $117MNov 17, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $162M to $202MNov 17, 2025 to Mar 3, 2026
- Pension RAUM · $9.6M to $10.8MNov 17, 2025 to Mar 3, 2026
- RAUM · $959M to $1.2BNov 17, 2025 to Mar 3, 2026
- Financial planning clients · 101-250 to 101-250Mar 11, 2025 to May 7, 2025
- Employees · 12 to 15Mar 6, 2024 to Mar 11, 2025
- Accounts · 924 to 938Mar 6, 2024 to Mar 11, 2025
- Charity clients · 7 to 6Mar 6, 2024 to Mar 11, 2025
- HNW clients · 153 to 67Mar 6, 2024 to Mar 11, 2025
- Individual clients · 125 to 117Mar 6, 2024 to Mar 11, 2025
- Assets in custody · $360M to $405MMar 6, 2024 to Mar 11, 2025
- State-registered IARs · 5 to 7Mar 6, 2024 to Mar 11, 2025
- Other offices · 6 to 8Mar 6, 2024 to Mar 11, 2025
- Discretionary RAUM · $699M to $797MMar 6, 2024 to Mar 11, 2025
- HNW RAUM · $729M to $860MMar 6, 2024 to Mar 11, 2025
- Individual RAUM · $65.9M to $60.0MMar 6, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $132M to $162MMar 6, 2024 to Mar 11, 2025
- Pension RAUM · $8.9M to $9.6MMar 6, 2024 to Mar 11, 2025
- RAUM · $831M to $959MMar 6, 2024 to Mar 11, 2025
- Accounts · 903 to 924Dec 12, 2023 to Mar 6, 2024
- Corporate clients · 6 to 5Dec 12, 2023 to Mar 6, 2024
- HNW clients · 151 to 153Dec 12, 2023 to Mar 6, 2024
- Individual clients · 119 to 125Dec 12, 2023 to Mar 6, 2024
- Assets in custody · $335M to $360MDec 12, 2023 to Mar 6, 2024
- Employees · 11 to 12Dec 12, 2023 to Mar 6, 2024
- Discretionary RAUM · $616M to $699MDec 12, 2023 to Mar 6, 2024
- HNW RAUM · $644M to $729MDec 12, 2023 to Mar 6, 2024
- Individual RAUM · $61.5M to $65.9MDec 12, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $124M to $132MDec 12, 2023 to Mar 6, 2024
Signals
7 dated events
- Hope Olivia Fry left Deerfield for Root Financial Partners (registered 2025-11-21)Oct 31, 2025 · Advisor changed firm · fact
- Bryan Robert Byrer left Deerfield for Millennial Financial Planning (registered 2025-08-07)Oct 31, 2025 · Advisor changed firm · fact
- Deerfield reported 6 offices beyond its principal office, up from 1 (2022-03-07 to 2022-07-25)Jul 25, 2022 · Office count change · derived
- Lewis Matthew Roop (Shareholder) appeared on Schedule A of DeerfieldMar 7, 2022 · Control person joined · fact
- Franklin Marcus Miller (Shareholder) appeared on Schedule A of DeerfieldMar 7, 2022 · Control person joined · fact
- Joseph Benjamin Hockema (Director And Vice President) no longer on Schedule A of Deerfield (listed 2019-04-10, absent 2019-10-02)Oct 2, 2019 · Control person left · inference
- Ann Marsha Kalasmiki (Chief Compliance Officer) appeared on Schedule A of DeerfieldMar 5, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 317-469-2455reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 847-789-5000reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/DEERFIELD-FINANCIAL-ADVISORSreportedpublic record, Form ADV, Sep 17, 2026
- Website
- DEERFIELDFA.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 317-469-2455reportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- deerfieldfa.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- deerfieldfa.com/our-teamreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $168Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026