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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

T•••• I••••••••• A•••••••

Former SEC-registered adviserIndianapolis, IndianaCRD 105330SEC 801-30680IAPD
Legal name T•••• • I••••••••• A•••••••• I•••
Latest filing Mar 16, 2020
First filing on the tape Nov 18, 2011 · 28 filings
RAUM
$124M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$116M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$124M as of Mar 16, 2020
Mar 22, 2012$135M then
HNW client RAUM$77.4M as of Mar 16, 2020
Feb 14, 2018$76.4M then
State-registered IARs (5.B.3)4 as of Mar 16, 2020
Mar 19, 20134 then
Employees (5.A)6 as of Mar 16, 2020
Mar 19, 20136 then
Private funds: no history
RAUM -5.6% over the last fiscal year-8.1% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 16, 2020; every figure names its basis
RAUM per advisor
$31.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$435,696derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
6.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-6.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$77.4M62%
  • Individuals$38.3M31%
  • Charitable organizations$8.4M6.8%
Individual clients
142reported
HNW clients
29reported
Pension plan clients
n/areported
Charitable clients
9reported
Accounts
285reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $39.0M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A•••••• J•••••••• M•••••• · Chief Compliance Officercontrol
    since 11/2011 · owns less than 5%
  • D••••• J••••• R••••• · Presidentcontrol
    since 08/2017 · owns less than 5%
  • P••••• S••••• C••••• · Owner And Chairman Of The Boardcontrol
    since 08/2017 · owns 75% or more
  • P••••• G•••••• M•••••• · Vice President
    since 04/1992 · owns less than 5%
Related persons
Schedule D 7.A
  • C••••• I••••••••• C••••••••• L••
    investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 322 to 285
    Mar 16, 2020 to Mar 16, 2020
  • HNW clients · 25 to 29
    Mar 16, 2020 to Mar 16, 2020
  • Individual clients · 157 to 142
    Mar 16, 2020 to Mar 16, 2020
  • Discretionary RAUM · $131M to $124M
    Mar 16, 2020 to Mar 16, 2020
  • HNW RAUM · $64.7M to $77.4M
    Mar 16, 2020 to Mar 16, 2020
  • Individual RAUM · $42.2M to $38.3M
    Mar 16, 2020 to Mar 16, 2020
  • RAUM · $131M to $124M
    Mar 16, 2020 to Mar 16, 2020
  • Accounts · 362 to 322
    Feb 14, 2018 to Mar 13, 2019
  • Advisory employees · 3 to 4
    Feb 14, 2018 to Mar 13, 2019
  • HNW clients · 29 to 25
    Feb 14, 2018 to Mar 13, 2019
  • Individual clients · 179 to 157
    Feb 14, 2018 to Mar 13, 2019
  • Employees · 5 to 6
    Feb 14, 2018 to Mar 13, 2019
  • State-registered IARs · 3 to 4
    Feb 14, 2018 to Mar 13, 2019
  • Discretionary RAUM · $158M to $131M
    Feb 14, 2018 to Mar 13, 2019
  • HNW RAUM · $76.4M to $64.7M
    Feb 14, 2018 to Mar 13, 2019
  • Individual RAUM · $49.6M to $42.2M
    Feb 14, 2018 to Mar 13, 2019
  • RAUM · $158M to $131M
    Feb 14, 2018 to Mar 13, 2019
  • Accounts · 221 to 362
    Aug 29, 2017 to Feb 14, 2018
  • Advisory employees · 4 to 3
    Aug 29, 2017 to Feb 14, 2018
  • Charity clients · unset to 9.0
    Aug 29, 2017 to Feb 14, 2018
  • HNW clients · unset to 29.0
    Aug 29, 2017 to Feb 14, 2018
  • Individual clients · unset to 179.0
    Aug 29, 2017 to Feb 14, 2018
  • Employees · 6 to 5
    Aug 29, 2017 to Feb 14, 2018
  • State-registered IARs · 4 to 3
    Aug 29, 2017 to Feb 14, 2018
  • Other offices · unset to 0.0
    Aug 29, 2017 to Feb 14, 2018
  • Discretionary RAUM · $160M to $158M
    Aug 29, 2017 to Feb 14, 2018
  • HNW RAUM · unset to 76375109.0
    Aug 29, 2017 to Feb 14, 2018
  • Individual RAUM · unset to 49589970.0
    Aug 29, 2017 to Feb 14, 2018
  • RAUM · $160M to $158M
    Aug 29, 2017 to Feb 14, 2018
  • Wrap assets (manager) · unset to 39000000.0
    Aug 29, 2017 to Feb 14, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Aug 29, 2017 to Feb 14, 2018
  • Accounts · 224 to 221
    Oct 7, 2016 to Feb 6, 2017
  • Discretionary RAUM · $155M to $160M
    Oct 7, 2016 to Feb 6, 2017
  • RAUM · $155M to $160M
    Oct 7, 2016 to Feb 6, 2017
  • Accounts · 537 to 224
    Nov 13, 2015 to Mar 3, 2016
  • Advisory employees · 2 to 4
    Nov 13, 2015 to Mar 3, 2016
  • Discretionary RAUM · $186M to $155M
    Nov 13, 2015 to Mar 3, 2016
  • RAUM · $186M to $155M
    Nov 13, 2015 to Mar 3, 2016
  • Accounts · 520 to 537
    Jan 6, 2015 to Apr 1, 2015
  • Discretionary RAUM · $168M to $186M
    Jan 6, 2015 to Apr 1, 2015
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026