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.

Former SEC-registered adviser

Lindner Capital Advisors, Inc.

Former SEC-registered adviserAtlanta, GeorgiaCRD 108584SEC 801-54866IAPD
Latest filing Oct 15, 2020
First filing on the tape Mar 29, 2012 · 24 filings
RAUM
$147M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$146M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$320M as of Apr 5, 2020
Mar 29, 2012$412M then
HNW client RAUM$118M as of Mar 29, 2019
Mar 29, 2018$47.0M then
State-registered IARs (5.B.3)4 as of Apr 5, 2020
Apr 1, 20132 then
Employees (5.A)8 as of Apr 5, 2020
Apr 1, 201314 then
Private funds: no history
RAUM -68% over the last fiscal year-36% a year over threeIARs 10 to 4offices 2 to 3
Practice profile
derived from the filing of Oct 15, 2020; every figure names its basis
RAUM per advisor
$36.7MderivedRAUM 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
$249,104derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived4 offices incl. principal (1.F.5)
RAUM growth, one year
-31%derivedbetween the last two annual amendments
Advisor growth, one year
-60%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$146M100%
Individual clients
396reported
HNW clients
n/areported
Pension plan clients
11reported
Charitable clients
1reported
Accounts
590reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Left, latest
Joined, latest
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
    • Joseph Robert Lindner · Ceocontrol
      since 12/1996 · owns 75% or more
    • Bryan Charles Wood · Coo And Chief Compliance Officercontrol
      since 10/2018 · owns less than 5%
    • L. Michelle Claeys · Shareholder
      since 12/2007 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Hanover, MA1 employees
    • Jacksonville, FL1 employees
    • Port Jefferson Station, NY1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,186 to 590
      Jul 30, 2020 to Oct 15, 2020
    • Individual clients · 737 to 396
      Jul 30, 2020 to Oct 15, 2020
    • Discretionary RAUM · $304M to $146M
      Jul 30, 2020 to Oct 15, 2020
    • Individual RAUM · $284M to $146M
      Jul 30, 2020 to Oct 15, 2020
    • Non-discretionary RAUM · $16.0M to $1.4M
      Jul 30, 2020 to Oct 15, 2020
    • Pension RAUM · $20.2M to $0
      Jul 30, 2020 to Oct 15, 2020
    • RAUM · $320M to $147M
      Jul 30, 2020 to Oct 15, 2020
    • Related adviser · false to true
      Jul 10, 2020 to Jul 30, 2020
    • HQ city · MARIETTA to ATLANTA
      Jun 9, 2020 to Jul 10, 2020
    • Accounts · 2,105 to 1,186
      Apr 29, 2019 to Apr 5, 2020
    • Advisory employees · 11 to 4
      Apr 29, 2019 to Apr 5, 2020
    • Charity clients · 3 to 1
      Apr 29, 2019 to Apr 5, 2020
    • Corporate clients · 64.0 to unset
      Apr 29, 2019 to Apr 5, 2020
    • HNW clients · 77.0 to unset
      Apr 29, 2019 to Apr 5, 2020
    • Individual clients · 1,137 to 737
      Apr 29, 2019 to Apr 5, 2020
    • Pension plan clients · 17 to 11
      Apr 29, 2019 to Apr 5, 2020
    • Employees · 17 to 8
      Apr 29, 2019 to Apr 5, 2020
    • State-registered IARs · 10 to 4
      Apr 29, 2019 to Apr 5, 2020
    • Other offices · 2 to 3
      Apr 29, 2019 to Apr 5, 2020
    • Discretionary RAUM · $436M to $304M
      Apr 29, 2019 to Apr 5, 2020
    • HNW RAUM · 118037191.0 to unset
      Apr 29, 2019 to Apr 5, 2020
    • Individual RAUM · $291M to $284M
      Apr 29, 2019 to Apr 5, 2020
    • Non-discretionary RAUM · $25.8M to $16.0M
      Apr 29, 2019 to Apr 5, 2020
    • Pension RAUM · $21.4M to $20.2M
      Apr 29, 2019 to Apr 5, 2020
    • RAUM · $462M to $320M
      Apr 29, 2019 to Apr 5, 2020
    • Accounts · 2,391 to 2,105
      Oct 12, 2018 to Mar 29, 2019
    • Advisory employees · 13 to 11
      Oct 12, 2018 to Mar 29, 2019
    • Charity clients · 2 to 3
      Oct 12, 2018 to Mar 29, 2019
    • Corporate clients · 13 to 64
      Oct 12, 2018 to Mar 29, 2019
    • HNW clients · 18 to 77
      Oct 12, 2018 to Mar 29, 2019
    • Individual clients · 2,349 to 1,137
      Oct 12, 2018 to Mar 29, 2019
    • Pension plan clients · 25 to 17
      Oct 12, 2018 to Mar 29, 2019
    • Pooled vehicle clients · unset to 0.0
      Oct 12, 2018 to Mar 29, 2019
    • Employees · 19 to 17
      Oct 12, 2018 to Mar 29, 2019
    • State-registered IARs · 13 to 10
      Oct 12, 2018 to Mar 29, 2019
    • Other offices · 0 to 2
      Oct 12, 2018 to Mar 29, 2019
    • Discretionary RAUM · $557M to $436M
      Oct 12, 2018 to Mar 29, 2019
    • HNW RAUM · $47.0M to $118M
      Oct 12, 2018 to Mar 29, 2019
    • Individual RAUM · $491M to $291M
      Oct 12, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $35.9M to $25.8M
      Oct 12, 2018 to Mar 29, 2019
    Signals
    3 dated events
    • Lindner Capital Advisors, Inc. reported RAUM $147.0M, down 54% from $320.0M (2020-07-30 to 2020-10-15)
      Oct 15, 2020 · RAUM change · derived
    • Lindner Capital Advisors, Inc. reported RAUM $320.0M, down 31% from $461.6M (2019-04-29 to 2020-04-05)
      Apr 5, 2020 · RAUM change · derived
    • Patricia Linda Rose (Secretary/Treasurer) no longer on Schedule A of Lindner Capital Advisors, Inc. (listed 2019-04-29, absent 2020-04-05)
      Apr 5, 2020 · 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.
    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