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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
I••••••• F•••••••• P••••••• G••••• L••
Latest filing May 6, 2026
First filing on the tape Mar 27, 2012 · 33 filings
SEC status approved since Apr 9, 2002
RAUM
$390M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$386M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$35.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$390M as of May 6, 2026
Mar 27, 2012$168M then
HNW client RAUM$257M as of May 6, 2026
Mar 29, 2018$141M then
State-registered IARs (5.B.3)3 as of May 6, 2026
Mar 27, 20133 then
Employees (5.A)3 as of May 6, 2026
Mar 27, 20134 then
Private funds: no history
RAUM +10.0% over the last fiscal year+13% a year over threeIARs 3 to 3offices 7 to 6
Practice profile
derived from the filing of May 6, 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
- RAUM per advisor
- $35.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $267,949derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.3derivedItem 5.A over advisors
- Advisors per office
- 1.6derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$257M66%
- Individuals$129M33%
- Corporations and businesses$3.7M1.0%
- Charitable organizations$236,9200.1%
- Individual clients
- 1,232reported
- HNW clients
- 212reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 1,457reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• A••• H•••• | Carmel, In | Jan 14, 2000 | 40 y | 0 |
| D•••••• F•••••• B•••• | Carmel, In | Jan 14, 2000 | 38 y | 0 |
| J••• A•••• C••••••• | Carmel, In | Feb 2, 2000 | 26 y | 0 |
| T••••• E••••• A••••••• | Carmel, In | Jun 29, 2000 | 39 y | 0 |
| R••••• E••••• C•••••••Certified Financial Planner | Carmel, In | Oct 24, 2001 | 42 y | 1 |
| J• A•• H•••••• | Indianapolis, In | Feb 7, 2002 | 35 y | 0 |
| J•••• L•••• F••• | Indianapolis, In | Apr 1, 2002 | 26 y | 0 |
| D•••• H•••• C•••••• | Carmel, In | Aug 27, 2002 | 33 y | 0 |
| N•••• G••• W•••••• | Indianapolis, In | Jan 6, 2006 | 35 y | 0 |
| C••• A••• B••••• | Carmel, In | Jul 16, 2010 | 16 y | 0 |
| C•••• D•••• M••••••• | Carmel, In | Jul 6, 2024 | 12 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
- C•••• M•••••• M••••••• to T•• W••••• C••••••••• G••••Jan 17, 2023 · RIA to RIA
- M••• E••••• R••••• to M•••• W••••• M•••••••••Nov 8, 2021 · RIA to RIA
- T•••••• D••• B•••• to S••Sep 10, 2012 · Other
- R•••••• J• G••• to U••• F•••••••• A•••••••Dec 31, 2011 · Other
- A••••• J••••• T•••• to T•••• • T•••• F•••••••• A••••••• S•••••••• L•••••Dec 31, 2004 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• C•••• A••• · Chief Compliance Officercontrolsince 04/2019 · owns less than 5%
- L••••• J•••• K• · Principal Ownercontrolsince 04/2019 · owns 50% to 75%
- B•••••••• D••••• · Membercontrolsince 07/1998 · owns 50% to 75% of B••• L••
- H••••• G•••• A••• · Presidentcontrolsince 02/2003 · owns 50% to 75% of H•••• F••••••••• I•••
Entity owners
- B••• L•• · Memberdirect · owns 5% to 10%
- H•••• F••••••••• I••• · Memberdirect · owns 5% to 10%
- W•••••••• F••••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- D•••• C••••••insurancen
- D•••••• B••••insurancen
- G••• H••••insurancen
- J• A•• H••••••insurancen
- L••••• F•••••••• P••••••• L••investment adviserinsurancen
- N•••• W••••••insurancen
- R••••• W•••••insurancen
- R••••• C•••••••insurancen
- T••••• A•••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Carmel, In · principal | 8 | 0 | 0 | ||
| Indianapolis, In | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Carmel, IN1 employees
- Crown Point, IN1 employees
- Fishers, IN1 employees
- Lagrange, IN1 employees
- Mooresville, IN1 employees
- Muncie, IN1 employees
- New Palestine, IN1 employees
What changed
consecutive filings, newest first
- Accounts · 1,407 to 1,457Nov 6, 2025 to Mar 24, 2026
- Charity clients · 3 to 2Nov 6, 2025 to Mar 24, 2026
- Corporate clients · 8 to 11Nov 6, 2025 to Mar 24, 2026
- HNW clients · 192 to 212Nov 6, 2025 to Mar 24, 2026
- Individual clients · 1,204 to 1,232Nov 6, 2025 to Mar 24, 2026
- Other offices · 7 to 6Nov 6, 2025 to Mar 24, 2026
- Discretionary RAUM · $355M to $390MNov 6, 2025 to Mar 24, 2026
- HNW RAUM · $225M to $257MNov 6, 2025 to Mar 24, 2026
- Individual RAUM · $128M to $129MNov 6, 2025 to Mar 24, 2026
- RAUM · $355M to $390MNov 6, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 0May 5, 2025 to Nov 6, 2025
- Accounts · 1,379 to 1,407Dec 13, 2024 to Mar 25, 2025
- Advisory employees · 2 to 3Dec 13, 2024 to Mar 25, 2025
- Corporate clients · 7 to 8Dec 13, 2024 to Mar 25, 2025
- HNW clients · 186 to 192Dec 13, 2024 to Mar 25, 2025
- Individual clients · 1,183 to 1,204Dec 13, 2024 to Mar 25, 2025
- Employees · 2 to 3Dec 13, 2024 to Mar 25, 2025
- State-registered IARs · 2 to 3Dec 13, 2024 to Mar 25, 2025
- Discretionary RAUM · $316M to $355MDec 13, 2024 to Mar 25, 2025
- HNW RAUM · $217M to $225MDec 13, 2024 to Mar 25, 2025
- Individual RAUM · $97.9M to $128MDec 13, 2024 to Mar 25, 2025
- RAUM · $316M to $355MDec 13, 2024 to Mar 25, 2025
- Accounts · 1,353 to 1,379Jan 4, 2024 to Mar 20, 2024
- Corporate clients · 6 to 7Jan 4, 2024 to Mar 20, 2024
- HNW clients · 156 to 186Jan 4, 2024 to Mar 20, 2024
- Individual clients · 1,187 to 1,183Jan 4, 2024 to Mar 20, 2024
- Pension plan clients · 1 to 0Jan 4, 2024 to Mar 20, 2024
- Discretionary RAUM · $273M to $316MJan 4, 2024 to Mar 20, 2024
- HNW RAUM · $164M to $217MJan 4, 2024 to Mar 20, 2024
- Individual RAUM · $107M to $97.9MJan 4, 2024 to Mar 20, 2024
- Pension RAUM · $843,805 to $0Jan 4, 2024 to Mar 20, 2024
- RAUM · $273M to $316MJan 4, 2024 to Mar 20, 2024
- Accounts · 1,324 to 1,353Mar 29, 2022 to Mar 27, 2023
- Advisory employees · 3 to 2Mar 29, 2022 to Mar 27, 2023
- Corporate clients · 8 to 6Mar 29, 2022 to Mar 27, 2023
- HNW clients · 237 to 156Mar 29, 2022 to Mar 27, 2023
- Individual clients · 1,075 to 1,187Mar 29, 2022 to Mar 27, 2023
- Employees · 3 to 2Mar 29, 2022 to Mar 27, 2023
- State-registered IARs · 3 to 2Mar 29, 2022 to Mar 27, 2023
- Discretionary RAUM · $349M to $273MMar 29, 2022 to Mar 27, 2023
Signals
4 dated events
- C•••• M•••••• M••••••• left I••••••• F•••••••• P••••••• G••••• L•• for T•• W••••• C••••••••• G•••• (registered 2023-05-03)Jan 17, 2023 · Advisor changed firm · fact
- K J••• L•••• (Principal Owner) appeared on Schedule A of I••••••• F•••••••• P••••••• G••••• L••May 10, 2019 · Control person joined · fact
- Alan Chad Bailey (Chief Compliance Officer) appeared on Schedule A of I••••••• F•••••••• P••••••• G••••• L••May 10, 2019 · Control person joined · fact
- Keith Richard L•••• (Principal, Chief Compliance Officer) no longer on Schedule A of I••••••• F•••••••• P••••••• G••••• L•• (listed 2019-03-26, absent 2019-05-10)May 10, 2019 · 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
- intrepid@intrepidfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 317-818-1774reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 317-818-1776reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- I•••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 317-818-1776reportedpublic record, Form ADV, May 6, 2026
- Contact form
- intrepidfinancial.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $35.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026