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
C•• W••••• M••••••••• S••••••• I••
Latest filing Mar 19, 2026
First filing on the tape Feb 13, 2012 · 3 filings
SEC status approved since Apr 20, 2026
RAUM
$110M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
73%
$80.2M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$55.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$110M as of Mar 19, 2026
Mar 19, 2012$64.5M then
HNW client RAUM: $73.3M
State-registered IARs (5.B.3)2 as of Mar 19, 2026
Mar 19, 20120 then
Employees (5.A): 2
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $55.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $545,554derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $26.4M, 46 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)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$73.3M67%
- Charitable organizations$25.2M23%
- Individuals$6.8M6.2%
- Corporations and businesses$4.8M4.4%
- Individual clients
- 23reported
- HNW clients
- 41reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 202reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $26.4M for 46 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.73 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D•••••• P••••••Certified Financial Planner | Indianapolis, In | Jul 16, 2009 | 44 y | 1 |
| J••••••• W•••• H••••••Certified Financial Planner | Indianapolis, In | Aug 4, 2009 | 28 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
- B•••• E••••• M••••• to S••••••••• A•••••• A•••••••• I•••Dec 11, 2015 · Other
Joined, latest
- B•••• E••••• M••••• from 1•• G••••• A••••••• I••Oct 27, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• J•••••••• W•••• · Chief Compliance Officer, Chief Investment Officercontrolsince 06/2004 · owns 25% to 50%
- P••••••• M••••••• D•••••• · President, Chief Executive Officercontrolsince 01/1995 · owns 75% or more
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 | 2 | 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 19, 2026custody of client assets (Item 9.A): no on the filing of 2012-03-19, yes on the filing of 2026-03-19peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 341 to 202Mar 19, 2012 to Mar 19, 2026
- Advisory employees · unset to 2.0Mar 19, 2012 to Mar 19, 2026
- Advisory activities · 5 to 4Mar 19, 2012 to Mar 19, 2026
- Charity clients · unset to 3.0Mar 19, 2012 to Mar 19, 2026
- Corporate clients · unset to 1.0Mar 19, 2012 to Mar 19, 2026
- HNW clients · unset to 41.0Mar 19, 2012 to Mar 19, 2026
- Individual clients · unset to 23.0Mar 19, 2012 to Mar 19, 2026
- Pension plan clients · unset to 0.0Mar 19, 2012 to Mar 19, 2026
- Pooled vehicle clients · unset to 0.0Mar 19, 2012 to Mar 19, 2026
- Assets in custody · unset to 26429052.0Mar 19, 2012 to Mar 19, 2026
- Custody of client assets · false to trueMar 19, 2012 to Mar 19, 2026
- Employees · unset to 2.0Mar 19, 2012 to Mar 19, 2026
- Financial planning clients · 11-25 to 1-10Mar 19, 2012 to Mar 19, 2026
- State-registered IARs · 0 to 2Mar 19, 2012 to Mar 19, 2026
- Other offices · unset to 0.0Mar 19, 2012 to Mar 19, 2026
- Discretionary RAUM · $62.9M to $110MMar 19, 2012 to Mar 19, 2026
- HNW RAUM · unset to 73336297.0Mar 19, 2012 to Mar 19, 2026
- Individual RAUM · unset to 6828858.0Mar 19, 2012 to Mar 19, 2026
- Non-discretionary RAUM · $1.7M to $0Mar 19, 2012 to Mar 19, 2026
- Pooled vehicle RAUM · unset to 0.0Mar 19, 2012 to Mar 19, 2026
- RAUM · $64.5M to $110MMar 19, 2012 to Mar 19, 2026
- Accounts · 328 to 341Feb 13, 2012 to Mar 19, 2012
- Discretionary RAUM · $68.0M to $62.9MFeb 13, 2012 to Mar 19, 2012
- Non-discretionary RAUM · $3.0M to $1.7MFeb 13, 2012 to Mar 19, 2012
- RAUM · $71.0M to $64.5MFeb 13, 2012 to Mar 19, 2012
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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/cfg-wealth-management-services-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- cfgwms.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-841-7959reportedpublic record, Form ADV, Mar 19, 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
- $55.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026