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

1st Source Corporation Investment Advisors, Inc.

Former SEC-registered adviserSouth Bend, IndianaCRD 111331SEC 801-60100IAPD
Latest filing Mar 13, 2020
First filing on the tape Nov 21, 2011 · 18 filings
RAUM
$3.5B
reported, Item 5.F
Discretionary
100%
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
9
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$3.5B as of Mar 13, 2020
Mar 23, 2012$2.6B then
HNW client RAUM$0 as of Mar 13, 2020
Mar 30, 2018$0 then
State-registered IARs (5.B.3)9 as of Mar 13, 2020
Mar 23, 20120 then
Employees (5.A)9 as of Mar 13, 2020
Mar 18, 201310 then
Private funds: no history
RAUM -5.3% over the last fiscal year+5.3% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 13, 2020; every figure names its basis
RAUM per advisor
$394MderivedRAUM 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
$3.5BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-5.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Banks and thrifts$3.5B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
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
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Wayne Paul Gifford · President/Chief Investment Officer/Chairman Of The Boardcontrol
      since 07/2001 · owns less than 5%
    • Gayle Andrea Short · Directorcontrol
      since 01/2013 · owns less than 5%
    • Christopher William Strafford · Directorcontrol
      since 10/2016 · owns less than 5%
    • William Jonathan Cisna · Portfolio Manager/Officer
      since 07/2018 · owns less than 5%
    • David Erik Clapsaddle · Vice President/Fixed Income Portfolio Manager
      since 04/2015 · owns less than 5%
    • Werner Jason Cooper · Vice President/Portfolio Manager
      since 07/2002 · owns less than 5%
    • Mark Christopher Davis · Vice President/Portfolio Manager
      since 05/2015 · owns less than 5%
    • Anjum Noreen Kazi · Vice President/Portfolio Manager
      since 01/2014 · owns less than 5%
    • Ann Jacqueline Kronewitter · Vice President/Portfolio Manager
      since 11/2015 · owns less than 5%
    • Eugene Robert Romano · Vice President/Portfolio Manager
      since 08/2010 · owns less than 5%
    • L. Tamara Simon · Chief Compliance Officer/Secretary/Treasurer
      since 01/2007 · owns less than 5%
    Entity owners
    • 1st Source Bank · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Fort Wayne, IN1 employees
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $3.7B to $3.5B
      Nov 12, 2019 to Mar 13, 2020
    • RAUM · $3.7B to $3.5B
      Nov 12, 2019 to Mar 13, 2020
    • Accounts · 2 to 1
      Mar 30, 2018 to Jan 18, 2019
    • Advisory employees · 10 to 9
      Mar 30, 2018 to Jan 18, 2019
    • Advisory activities · 3 to 2
      Mar 30, 2018 to Jan 18, 2019
    • Employees · 10 to 9
      Mar 30, 2018 to Jan 18, 2019
    • State-registered IARs · 10 to 9
      Mar 30, 2018 to Jan 18, 2019
    • Discretionary RAUM · $4.5B to $3.7B
      Mar 30, 2018 to Jan 18, 2019
    • RAUM · $4.5B to $3.7B
      Mar 30, 2018 to Jan 18, 2019
    • Charity clients · unset to 0.0
      Mar 20, 2017 to Mar 30, 2018
    • Corporate clients · unset to 0.0
      Mar 20, 2017 to Mar 30, 2018
    • HNW clients · unset to 0.0
      Mar 20, 2017 to Mar 30, 2018
    • Individual clients · unset to 0.0
      Mar 20, 2017 to Mar 30, 2018
    • Pension plan clients · unset to 0.0
      Mar 20, 2017 to Mar 30, 2018
    • Pooled vehicle clients · unset to 0.0
      Mar 20, 2017 to Mar 30, 2018
    • Employees · 12 to 10
      Mar 20, 2017 to Mar 30, 2018
    • Other offices · unset to 1.0
      Mar 20, 2017 to Mar 30, 2018
    • Discretionary RAUM · $3.0B to $4.5B
      Mar 20, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 0.0
      Mar 20, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 0.0
      Mar 20, 2017 to Mar 30, 2018
    • Pension RAUM · unset to 0.0
      Mar 20, 2017 to Mar 30, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Mar 20, 2017 to Mar 30, 2018
    • RAUM · $3.0B to $4.5B
      Mar 20, 2017 to Mar 30, 2018
    • Advisory employees · 9 to 10
      Oct 21, 2016 to Mar 20, 2017
    • Employees · 11 to 12
      Oct 21, 2016 to Mar 20, 2017
    • State-registered IARs · 9 to 10
      Oct 21, 2016 to Mar 20, 2017
    • Discretionary RAUM · $3.0B to $3.0B
      Oct 21, 2016 to Mar 20, 2017
    • RAUM · $3.0B to $3.0B
      Oct 21, 2016 to Mar 20, 2017
    • Employees · 10 to 11
      Sep 2, 2015 to Mar 17, 2016
    • Discretionary RAUM · $2.8B to $3.0B
      Sep 2, 2015 to Mar 17, 2016
    • RAUM · $2.8B to $3.0B
      Sep 2, 2015 to Mar 17, 2016
    • Advisory employees · 6 to 9
      Mar 24, 2015 to May 27, 2015
    • Employees · 8 to 10
      Mar 24, 2015 to May 27, 2015
    • State-registered IARs · 6 to 9
      Mar 24, 2015 to May 27, 2015
    • Advisory employees · 8 to 6
      Mar 10, 2014 to Mar 24, 2015
    • Employees · 10 to 8
      Mar 10, 2014 to Mar 24, 2015
    • State-registered IARs · 8 to 6
      Mar 10, 2014 to Mar 24, 2015
    • Discretionary RAUM · $2.9B to $2.8B
      Mar 10, 2014 to Mar 24, 2015
    • RAUM · $2.9B to $2.8B
      Mar 10, 2014 to Mar 24, 2015
    • Employees · 9 to 10
      Oct 9, 2013 to Mar 10, 2014
    Signals
    2 dated events
    • John Steven Perlewitz (Director) no longer on Schedule A of 1St Source Corporation Investment Advisors, Inc. (listed 2019-01-18, absent 2019-09-30)
      Sep 30, 2019 · Control person left · inference
    • 1St Source Corporation Investment Advisors, Inc. reported RAUM $4.5B, up 48% from $3.0B (2017-03-20 to 2018-03-30)
      Mar 30, 2018 · 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.
    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