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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Former SEC-registered adviser

P•••• W••••• P•••••••• I•••

Former SEC-registered adviserEvansville, IndianaCRD 105904SEC 801-33446IAPD
Latest filing Mar 29, 2017
First filing on the tape Mar 26, 2012 · 12 filings
RAUM
$535M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$535M as of Mar 29, 2017
Mar 26, 2012$288M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 29, 2017
Mar 26, 20120 then
Employees (5.A)12 as of Mar 29, 2017
Mar 25, 201310 then
Private funds: no history
RAUM +31% over the last fiscal year+12% a year over threeIARs 9 to 7
Practice profile
derived from the filing of Mar 29, 2017; every figure names its basis
RAUM per advisor
$76.4MderivedRAUM 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
$316,899derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+31%derivedbetween the last two annual amendments
Advisor growth, one year
-22%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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
  • 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)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,687reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M••••• N•••••• P•••• · Director Of Wealth Planningcontrol
        since 01/2012 · owns 10% to 25%
      • P••••• T•• T••••• · President And Chief Compliance Officercontrol
        since 01/1989 · owns 75% or more
      • P••••••• A••• A•••• · Director Of Business Developmentcontrol
        since 01/2012 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1,416 to 1,687
        Feb 24, 2017 to Mar 29, 2017
      • Advisory employees · 9 to 7
        Feb 24, 2017 to Mar 29, 2017
      • Employees · 15 to 12
        Feb 24, 2017 to Mar 29, 2017
      • State-registered IARs · 9 to 7
        Feb 24, 2017 to Mar 29, 2017
      • Discretionary RAUM · $371M to $486M
        Feb 24, 2017 to Mar 29, 2017
      • Non-discretionary RAUM · $36.5M to $49.0M
        Feb 24, 2017 to Mar 29, 2017
      • RAUM · $407M to $535M
        Feb 24, 2017 to Mar 29, 2017
      • Accounts · 241 to 1,416
        Jul 10, 2015 to Mar 29, 2016
      • Advisory employees · 11 to 9
        Jul 10, 2015 to Mar 29, 2016
      • Employees · 13 to 15
        Jul 10, 2015 to Mar 29, 2016
      • State-registered IARs · 8 to 9
        Jul 10, 2015 to Mar 29, 2016
      • Discretionary RAUM · $362M to $371M
        Jul 10, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $39.4M to $36.5M
        Jul 10, 2015 to Mar 29, 2016
      • RAUM · $402M to $407M
        Jul 10, 2015 to Mar 29, 2016
      • Accounts · 231 to 241
        Jun 27, 2014 to Mar 31, 2015
      • Advisory employees · 11 to 8
        Jun 27, 2014 to Mar 31, 2015
      • Employees · 12 to 13
        Jun 27, 2014 to Mar 31, 2015
      • State-registered IARs · 6 to 8
        Jun 27, 2014 to Mar 31, 2015
      • Discretionary RAUM · $341M to $362M
        Jun 27, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $39.1M to $39.4M
        Jun 27, 2014 to Mar 31, 2015
      • RAUM · $381M to $402M
        Jun 27, 2014 to Mar 31, 2015
      • Advisory employees · 8 to 11
        Mar 31, 2015 to Mar 31, 2015
      • Accounts · 223 to 231
        Mar 25, 2013 to Mar 28, 2014
      • Advisory employees · 7 to 11
        Mar 25, 2013 to Mar 28, 2014
      • Advisory activities · 6 to 5
        Mar 25, 2013 to Mar 28, 2014
      • Employees · 10 to 12
        Mar 25, 2013 to Mar 28, 2014
      • State-registered IARs · 5 to 6
        Mar 25, 2013 to Mar 28, 2014
      • Discretionary RAUM · $294M to $341M
        Mar 25, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $31.7M to $39.1M
        Mar 25, 2013 to Mar 28, 2014
      • RAUM · $325M to $381M
        Mar 25, 2013 to Mar 28, 2014
      • Accounts · 219 to 223
        Sep 12, 2012 to Mar 25, 2013
      • Advisory employees · unset to 7.0
        Sep 12, 2012 to Mar 25, 2013
      • Employees · unset to 10.0
        Sep 12, 2012 to Mar 25, 2013
      • State-registered IARs · 0 to 5
        Sep 12, 2012 to Mar 25, 2013
      • Discretionary RAUM · $261M to $294M
        Sep 12, 2012 to Mar 25, 2013
      • Non-discretionary RAUM · $27.1M to $31.7M
        Sep 12, 2012 to Mar 25, 2013
      • RAUM · $288M to $325M
        Sep 12, 2012 to Mar 25, 2013
      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