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
N•••••••• F•••••••• S••••••• I••
Latest filing Mar 18, 2026
First filing on the tape Nov 22, 2011 · 27 filings
SEC status approved since Dec 29, 1992
RAUM
$635M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$635M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$70.5M
derived; firm RAUM over IAPD count
Employees
11
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$635M as of Mar 18, 2026
Mar 29, 2012$197M then
HNW client RAUM$534M as of Mar 18, 2026
Mar 27, 2018$263M then
State-registered IARs (5.B.3)9 as of Mar 18, 2026
Mar 29, 20120 then
Employees (5.A)11 as of Mar 18, 2026
Mar 28, 20139 then
Private funds: no history
RAUM +15% over the last fiscal year+15% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Mar 18, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $70.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $302M, 515 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$534M84%
- Individuals$101M16%
- Individual clients
- 208reported
- HNW clients
- 169reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 377reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $302M for 515 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• J•••• P••••••••Certified Financial Planner | Indianapolis, In | Apr 1, 2004 | 28 y | 0 |
| M•••••• C•••• Y•••••Certified Financial Planner | Indianapolis, In | Sep 13, 2011 | 15 y | 0 |
| T••••• D••• G••••Certified Financial Planner | Indianapolis, In | Nov 9, 2011 | 15 y | 0 |
| S•••• E• A•••••Certified Financial Planner | Indianapolis, In | May 5, 2016 | 10 y | 0 |
| R••••• L• L••••Certified Financial Planner | Indianapolis, In | Oct 2, 2017 | 13 y | 0 |
| B•••• G• W•••••• | Indianapolis, In | May 30, 2020 | 10 y | 0 |
| M•••• O••••• | Indianapolis, In | Sep 23, 2022 | 12 y | 0 |
| H•••• M•••• W••••••Certified Financial Planner | Indianapolis, In | Nov 13, 2024 | 19 y | 1 |
| D••••• A••••• W•••• | Indianapolis, In | Aug 22, 2025 | 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
- K••• N•••••• to C•••••• S••••• • C••• I•••Jun 2, 2021 · RIA to affiliated broker-dealer or bank
- T•••••• A••••• D•••••••• to S••••••• F••••••••Dec 16, 2016 · Other
- G••••••• N•••••• to C••• S••••••••• C•••••••••Jan 11, 2007 · Other
- D•••••• M•••••• R••••• to V•••• F•••••••• A•••••••• I•••Sep 8, 2005 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• T•••••• D••• · Vice Presidentcontrolsince 12/2020 · owns 25% to 50%
- P••••••••• A••••• J•••• · Chief Compliance Officer, Chief Investment Officer, And Secretarycontrolsince 01/2019 · owns 5% to 10%
- Y•••••• M••••••• C•••• · Presidentcontrolsince 12/2020 · owns 50% to 75%
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 | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 18, 2026custody of client assets (Item 9.A): no on the filing of 2025-11-11, yes on the filing of 2026-03-18peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 375 to 377Nov 11, 2025 to Mar 18, 2026
- Advisory employees · 8 to 9Nov 11, 2025 to Mar 18, 2026
- HNW clients · 199 to 169Nov 11, 2025 to Mar 18, 2026
- Individual clients · 176 to 208Nov 11, 2025 to Mar 18, 2026
- Assets in custody · $183M to $302MNov 11, 2025 to Mar 18, 2026
- Custody of client assets · false to trueNov 11, 2025 to Mar 18, 2026
- Employees · 10 to 11Nov 11, 2025 to Mar 18, 2026
- State-registered IARs · 8 to 9Nov 11, 2025 to Mar 18, 2026
- Discretionary RAUM · $551M to $635MNov 11, 2025 to Mar 18, 2026
- HNW RAUM · $495M to $534MNov 11, 2025 to Mar 18, 2026
- Individual RAUM · $56.3M to $101MNov 11, 2025 to Mar 18, 2026
- RAUM · $551M to $635MNov 11, 2025 to Mar 18, 2026
- Accounts · 376 to 375Nov 14, 2024 to Feb 25, 2025
- Advisory employees · 7 to 8Nov 14, 2024 to Feb 25, 2025
- HNW clients · 178 to 199Nov 14, 2024 to Feb 25, 2025
- Individual clients · 198 to 176Nov 14, 2024 to Feb 25, 2025
- Assets in custody · $179M to $183MNov 14, 2024 to Feb 25, 2025
- Employees · 9 to 10Nov 14, 2024 to Feb 25, 2025
- Financial planning clients · 251-500 to 251-500Nov 14, 2024 to Feb 25, 2025
- State-registered IARs · 7 to 8Nov 14, 2024 to Feb 25, 2025
- Discretionary RAUM · $482M to $551MNov 14, 2024 to Feb 25, 2025
- HNW RAUM · $422M to $495MNov 14, 2024 to Feb 25, 2025
- Individual RAUM · $60.6M to $56.3MNov 14, 2024 to Feb 25, 2025
- RAUM · $482M to $551MNov 14, 2024 to Feb 25, 2025
- Accounts · 450 to 376Mar 25, 2024 to Nov 14, 2024
- Individual clients · 272 to 198Mar 25, 2024 to Nov 14, 2024
- Discretionary RAUM · $487M to $482MMar 25, 2024 to Nov 14, 2024
- Individual RAUM · $65.1M to $60.6MMar 25, 2024 to Nov 14, 2024
- RAUM · $487M to $482MMar 25, 2024 to Nov 14, 2024
- Accounts · 375 to 450Sep 13, 2023 to Mar 25, 2024
- Advisory employees · 8 to 7Sep 13, 2023 to Mar 25, 2024
- HNW clients · 168 to 178Sep 13, 2023 to Mar 25, 2024
- Individual clients · 207 to 272Sep 13, 2023 to Mar 25, 2024
- Assets in custody · $255M to $179MSep 13, 2023 to Mar 25, 2024
- Custody of client assets · true to falseSep 13, 2023 to Mar 25, 2024
- Employees · 10 to 9Sep 13, 2023 to Mar 25, 2024
- State-registered IARs · 8 to 7Sep 13, 2023 to Mar 25, 2024
- Discretionary RAUM · $414M to $487MSep 13, 2023 to Mar 25, 2024
- HNW RAUM · $361M to $422MSep 13, 2023 to Mar 25, 2024
- Individual RAUM · $53.7M to $65.1MSep 13, 2023 to Mar 25, 2024
Signals
2 dated events
- Louis William Reno (President) no longer on Schedule A of N•••••••• F•••••••• S••••••• I•• (listed 2020-12-02, absent 2021-02-16)Feb 16, 2021 · Control person left · inference
- Elizabeth Kathleen Reno (Secretary) no longer on Schedule A of N•••••••• F•••••••• S••••••• I•• (listed 2020-12-02, absent 2021-02-16)Feb 16, 2021 · 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
- Business email
- i•••@n•••••••••.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-844-0448reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- N••••••••FINANCIAL.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 317-844-0448reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- n•••••••••.netreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- n•••••••••.netreportedpublished by the firm, firm site, Sep 15, 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
- $70.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026