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.
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SEC-registered adviser
P••••• I••••••••• M••••••••• I•••
Latest filing Mar 23, 2026
First filing on the tape Mar 19, 2012 · 21 filings
SEC status approved since Apr 2, 1990
RAUM
$3.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$3.3B
derived; firm RAUM over IAPD count
Employees
14
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$3.3B as of Mar 23, 2026
Mar 19, 2012$737M then
HNW client RAUM$0 as of Mar 23, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 19, 20120 then
Employees (5.A)14 as of Mar 23, 2026
Mar 27, 201310 then
Private funds: no history
RAUM +19% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $3.3BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $330MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 14.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, otherreportedItem 5.G
- 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
- Investment companies$3.3B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 10reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• J•• B•••••Chartered Financial Analyst | Goshen, In | Mar 21, 2019 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- G••• E•••••• K••••••• to U•••• F•••••••• S••••••• G••••• I•••Dec 31, 2002 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• R•••••• D• · Vice President/Directorcontrolsince 06/2008 · owns less than 5%
- G••••••••• F•••••••• J• · Treasurer/Cfo/Directorcontrolsince 06/2022 · owns less than 5%
- G•••• M•••••• K••••••••• J•• · Asst Secretarycontrolsince 06/2022 · owns less than 5%
- H••••••••• R••• A•••• · Asst Vice Presidentcontrolsince 06/2022 · owns less than 5%
- H••••••••• K••••••• D••• · President/Directorcontrolsince 09/2014 · owns less than 5%
- H••••••• C•••• M•••••• · Asst Secretary/Directorcontrolsince 01/2014 · owns less than 5%
- K••••••• B••••• M•••••• · Asst Secretary/Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- M•••••• J••• · Asst Treasurercontrolsince 06/2022 · owns less than 5%
- M•••••• B••••• S• · Asst Vice Presidentcontrolsince 06/2022 · owns less than 5%
- S••••• A••••• M•••••• · Assistant Treasurercontrolsince 04/2023 · owns less than 5%
Entity owners
- E••••••• H•••••••• I••• · Ownerdirect · owns 75% or more
- E••••••• A••••••••• I••• · Ownerindirect · owns 75% or more of E••••••• H•••••••• I•••
Related persons
Schedule D 7.A
- E••••••• A••••••••• I•••real estatey
- E••••••• I•••••••• C••••••real estaten
- E••••••• T•••• C••••••investment adviserpooled vehicle sponsorLP sponsorn
- M•• D••••••••• I•••real estaten
Advisers that list P••••• I••••••••• M••••••••• I••• as a related person
- 113179 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 8 to 10Mar 21, 2025 to Mar 23, 2026
- BD registered reps · 3 to 2Mar 21, 2025 to Mar 23, 2026
- Employees · 15 to 14Mar 21, 2025 to Mar 23, 2026
- Discretionary RAUM · $2.8B to $3.3BMar 21, 2025 to Mar 23, 2026
- RAUM · $2.8B to $3.3BMar 21, 2025 to Mar 23, 2026
- BD registered reps · 1 to 3Nov 19, 2024 to Mar 21, 2025
- Business name · E••••••• C•••••• M••••••••• I••• to P••••• I••••••••• M••••••••• I•••Nov 19, 2024 to Mar 21, 2025
- Employees · 11 to 15Nov 19, 2024 to Mar 21, 2025
- Financial planning clients · 0 to 0Nov 19, 2024 to Mar 21, 2025
- Legal name · E••••••• C•••••• M••••••••• I••• to P••••• I••••••••• M••••••••• I•••Nov 19, 2024 to Mar 21, 2025
- Discretionary RAUM · $2.5B to $2.8BNov 19, 2024 to Mar 21, 2025
- RAUM · $2.5B to $2.8BNov 19, 2024 to Mar 21, 2025
- Employees · 12 to 11Mar 21, 2023 to Mar 5, 2024
- Discretionary RAUM · $2.0B to $2.5BMar 21, 2023 to Mar 5, 2024
- RAUM · $2.0B to $2.5BMar 21, 2023 to Mar 5, 2024
- Advisory employees · 4 to 5Mar 17, 2022 to Mar 21, 2023
- BD registered reps · 2 to 1Mar 17, 2022 to Mar 21, 2023
- Employees · 11 to 12Mar 17, 2022 to Mar 21, 2023
- Discretionary RAUM · $2.3B to $2.0BMar 17, 2022 to Mar 21, 2023
- RAUM · $2.3B to $2.0BMar 17, 2022 to Mar 21, 2023
- Related adviser · false to trueMar 17, 2022 to Mar 21, 2023
- Advisory employees · 5 to 4Mar 11, 2021 to Mar 17, 2022
- Employees · 12 to 11Mar 11, 2021 to Mar 17, 2022
- Discretionary RAUM · $1.9B to $2.3BMar 11, 2021 to Mar 17, 2022
- RAUM · $1.9B to $2.3BMar 11, 2021 to Mar 17, 2022
- Discretionary RAUM · $1.6B to $1.9BMar 23, 2020 to Mar 11, 2021
- RAUM · $1.6B to $1.9BMar 23, 2020 to Mar 11, 2021
- Advisory employees · 4 to 5Mar 28, 2019 to Mar 23, 2020
- BD registered reps · 0 to 2Mar 28, 2019 to Mar 23, 2020
- Employees · 11 to 12Mar 28, 2019 to Mar 23, 2020
- Insurance-licensed employees · 1 to 0Mar 28, 2019 to Mar 23, 2020
- State-registered IARs · 1 to 0Mar 28, 2019 to Mar 23, 2020
- Discretionary RAUM · $1.3B to $1.6BMar 28, 2019 to Mar 23, 2020
- RAUM · $1.3B to $1.6BMar 28, 2019 to Mar 23, 2020
- Related adviser · true to falseMar 28, 2019 to Mar 23, 2020
- Advisory employees · 5 to 4Apr 24, 2018 to Mar 28, 2019
- Discretionary RAUM · $1.3B to $1.3BApr 24, 2018 to Mar 28, 2019
- RAUM · $1.3B to $1.3BApr 24, 2018 to Mar 28, 2019
- Advisory employees · 4 to 5Jun 28, 2017 to Mar 28, 2018
- Charity clients · unset to 0.0Jun 28, 2017 to Mar 28, 2018
Signals
18 dated events
- M•••••• A•••• S•••• (Assistant Treasurer) appeared on Schedule A of P••••• I••••••••• M••••••••• I•••Mar 5, 2024 · Control person joined · fact
- D•••• M•••••• G••••• (Assistant Treasurer) no longer on Schedule A of P••••• I••••••••• M••••••••• I••• (listed 2022-03-17, absent 2023-03-21)Mar 21, 2023 · Control person left · inference
- J L••• N••••••• (Treasurer) no longer on Schedule A of P••••• I••••••••• M••••••••• I••• (listed 2022-03-17, absent 2023-03-21)Mar 21, 2023 · Control person left · inference
- F George Merryman (Cfo/Secretary/Director) no longer on Schedule A of P••••• I••••••••• M••••••••• I••• (listed 2022-03-17, absent 2023-03-21)Mar 21, 2023 · Control person left · inference
- Marlo Jay K••••••• (Asst Secretary) no longer on Schedule A of P••••• I••••••••• M••••••••• I••• (listed 2022-03-17, absent 2023-03-21)Mar 21, 2023 · Control person left · inference
- J••• M••••• (Asst Treasurer) appeared on Schedule A of P••••• I••••••••• M••••••••• I•••Mar 21, 2023 · Control person joined · fact
- S B•••• M••••• (Asst Vice President) appeared on Schedule A of P••••• I••••••••• M••••••••• I•••Mar 21, 2023 · Control person joined · fact
- A•••• Rex H••••••••• (Asst Vice President) appeared on Schedule A of P••••• I••••••••• M••••••••• I•••Mar 21, 2023 · Control person joined · fact
- Joy K•••••••• G•••• M••••• (Asst Secretary) appeared on Schedule A of P••••• I••••••••• M••••••••• I•••Mar 21, 2023 · Control person joined · fact
- J F••••••• G•••••••• (Treasurer/Cfo/Director) appeared on Schedule A of P••••• I••••••••• M••••••••• I•••Mar 21, 2023 · Control person joined · fact
- Eduardo Jaime Alvarez (Cfo/Secretary/Director) no longer on Schedule A of P••••• I••••••••• M••••••••• I••• (listed 2021-03-11, absent 2022-03-17)Mar 17, 2022 · Control person left · inference
- Ray Philip Zimmerman (Asst Sec/Chief Compliance Officer) no longer on Schedule A of P••••• I••••••••• M••••••••• I••• (listed 2021-03-11, absent 2022-03-17)Mar 17, 2022 · Control person left · inference
- F George Merryman (Cfo/Secretary/Director) appeared on Schedule A of P••••• I••••••••• M••••••••• I•••Mar 17, 2022 · Control person joined · fact
- M•••••• B•••• K•••••• (Asst Secretary/Chief Compliance Officer) appeared on Schedule A of P••••• I••••••••• M••••••••• I•••Mar 17, 2022 · Control person joined · fact
- J L••• N••••••• (Treasurer) appeared on Schedule A of P••••• I••••••••• M••••••••• I•••Mar 11, 2021 · Control person joined · fact
- Sidney Alan Richard (Asst Vice Pres) no longer on Schedule A of P••••• I••••••••• M••••••••• I••• (listed 2020-03-23, absent 2021-03-11)Mar 11, 2021 · Control person left · inference
- D•••• M•••••• G••••• (Assistant Treasurer) appeared on Schedule A of P••••• I••••••••• M••••••••• I•••Mar 23, 2020 · Control person joined · fact
- Delmar Kay King (Asst Treas) no longer on Schedule A of P••••• I••••••••• M••••••••• I••• (listed 2018-04-24, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
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
- Website
- E•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 574-533-9511reportedpublic record, Form ADV, Mar 23, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $3.3Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026