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
H•••••• I••••••••• S•••••••• L•••
Latest filing May 11, 2026
First filing on the tape Mar 21, 2012 · 47 filings
SEC status approved since Apr 8, 2004
RAUM
$364M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$331M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$52.0M
derived; firm RAUM over IAPD count
Employees
14
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$364M as of May 11, 2026
Mar 21, 2012$138M then
HNW client RAUM$206M as of May 11, 2026
Mar 23, 2018$136M then
State-registered IARs (5.B.3)7 as of May 11, 2026
Mar 20, 20135 then
Employees (5.A)14 as of May 11, 2026
Mar 20, 201314 then
Private funds: no history
RAUM +15% over the last fiscal year+18% a year over threeIARs 7 to 7
Practice profile
derived from the filing of May 11, 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
- $52.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $640,535derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $58.6M, 96 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$206M57%
- Individuals$125M34%
- Corporations and businesses$28.6M7.9%
- Other investment advisers$3.8M1.0%
- Individual clients
- 251reported
- HNW clients
- 67reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 568reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $3.1M managedreported
- Custody of client assets
- $58.6M for 96 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.01 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• J••• M••••••Chartered Financial Analyst | Hammond, In | Jul 6, 2001 | 37 y | 0 |
| C•••••• B•••• C••••••Chartered Financial Analyst | Hammond, In | Jul 6, 2001 | 44 y | 0 |
| M••••••• M••• B••••••• | Delray Beach, Fl | Mar 9, 2009 | 17 y | 0 |
| D•••• A••• W•••••Chartered Financial Analyst | Hammond, In | Jun 17, 2011 | 36 y | 0 |
| S••••• L••• C•••••••• | Hammond, In | Jan 29, 2018 | 19 y | 0 |
| D•••• B••••• W••••Chartered Financial Analyst | Hammond, In | Mar 26, 2018 | 18 y | 0 |
| R••••• A•••• S••••Chartered Financial Analyst | Hammond, In | Apr 2, 2021 | 26 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• C••••••• B•••• · Chief Executive Officercontrolsince 11/1997 · owns less than 5%
- E••••• R•••••• T••••• · Presidentcontrolsince 11/1997 · owns less than 5%
- H••••••• T•••••• J••••• · Chief Compliance Officer/Cfocontrolsince 11/1997 · owns less than 5%
- M•••••••• E••••• C••••• · Secretarycontrolsince 01/2001 · owns less than 5%
- M••••••• R••••••• J••• · Chief Investment Officercontrolsince 11/1997 · owns less than 5%
- E••••• R•••••• T••••• · Shareholder - Voting And Nonvotingcontrolsince 06/1995 · owns 75% or more of H•••••• M••••••••• S•••••••• I••
Entity owners
- H•••••• M••••••••• S•••••••• I•• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Hammond, In · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 567 to 568Feb 9, 2026 to Mar 20, 2026
- HNW clients · 55 to 67Feb 9, 2026 to Mar 20, 2026
- Individual clients · 241 to 251Feb 9, 2026 to Mar 20, 2026
- Assets in custody · $38.8M to $58.6MFeb 9, 2026 to Mar 20, 2026
- Discretionary RAUM · $316M to $364MFeb 9, 2026 to Mar 20, 2026
- HNW RAUM · $162M to $206MFeb 9, 2026 to Mar 20, 2026
- Individual RAUM · $119M to $125MFeb 9, 2026 to Mar 20, 2026
- RAUM · $316M to $364MFeb 9, 2026 to Mar 20, 2026
- Wrap assets (manager) · $3.1M to $3.1MFeb 9, 2026 to Mar 20, 2026
- Accounts · 549 to 567Mar 26, 2024 to Mar 20, 2025
- HNW clients · 43 to 55Mar 26, 2024 to Mar 20, 2025
- Individual clients · 235 to 241Mar 26, 2024 to Mar 20, 2025
- Assets in custody · $54.1M to $38.8MMar 26, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 20, 2025
- Discretionary RAUM · $258M to $316MMar 26, 2024 to Mar 20, 2025
- HNW RAUM · $118M to $162MMar 26, 2024 to Mar 20, 2025
- Individual RAUM · $110M to $119MMar 26, 2024 to Mar 20, 2025
- RAUM · $258M to $316MMar 26, 2024 to Mar 20, 2025
- Wrap assets (manager) · $2.9M to $3.1MMar 26, 2024 to Mar 20, 2025
- HNW clients · 36 to 43Feb 12, 2024 to Mar 19, 2024
- Individual clients · 219 to 235Feb 12, 2024 to Mar 19, 2024
- Assets in custody · $35.6M to $54.1MFeb 12, 2024 to Mar 19, 2024
- Discretionary RAUM · $224M to $258MFeb 12, 2024 to Mar 19, 2024
- HNW RAUM · $90.9M to $118MFeb 12, 2024 to Mar 19, 2024
- Individual RAUM · $109M to $110MFeb 12, 2024 to Mar 19, 2024
- RAUM · $224M to $258MFeb 12, 2024 to Mar 19, 2024
- Wrap assets (manager) · $0 to $2.9MFeb 12, 2024 to Mar 19, 2024
- Accounts · 534 to 549Oct 26, 2022 to Mar 20, 2023
- Corporate clients · unset to 6.0Oct 26, 2022 to Mar 20, 2023
- HNW clients · 57 to 36Oct 26, 2022 to Mar 20, 2023
- Individual clients · 228 to 219Oct 26, 2022 to Mar 20, 2023
- Assets in custody · $34.8M to $35.6MOct 26, 2022 to Mar 20, 2023
- Discretionary RAUM · $281M to $224MOct 26, 2022 to Mar 20, 2023
- HNW RAUM · $144M to $90.9MOct 26, 2022 to Mar 20, 2023
- Individual RAUM · $111M to $109MOct 26, 2022 to Mar 20, 2023
- RAUM · $281M to $224MOct 26, 2022 to Mar 20, 2023
- Wrap assets (manager) · $2.0M to $0Oct 26, 2022 to Mar 20, 2023
- Accounts · 473 to 534Jan 10, 2022 to Mar 24, 2022
- Advisory activities · 4 to 3Jan 10, 2022 to Mar 24, 2022
- HNW clients · 41 to 57Jan 10, 2022 to Mar 24, 2022
Signals
1 dated events
- H•••••• I••••••••• S•••••••• L••• reported RAUM $193.9M, down 34% from $295.5M (2018-12-10 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
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 phone
- 219-852-3218reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-711-7969reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H••••••INVESTMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 219-852-3215reportedpublic record, Form ADV, May 11, 2026
- Contact form
- HORIZONINVESTMENT.COM/contact.aspxreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- HORIZONINVESTMENT.COM/team.aspxreportedpublished 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
- $52.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026