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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Former SEC-registered adviser
E••••••• T•••• C••••••
Latest filing Mar 28, 2019
First filing on the tape Mar 27, 2012 · 16 filings
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
44%
$722M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
80
59 advisory (5.B.1)
Offices
11
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.7B as of Mar 28, 2019
Mar 27, 2012$808M then
HNW client RAUM$193M as of Mar 28, 2019
Mar 28, 2018$226M then
State-registered IARs (5.B.3)59 as of Mar 28, 2019
Mar 27, 20130 then
Employees (5.A)80 as of Mar 28, 2019
Mar 27, 2013110 then
Private funds: no history
RAUM -0.7% over the last fiscal year+8.1% a year over threeIARs 59 to 59
Practice profile
derived from the filing of Mar 28, 2019; every figure names its basis
- RAUM per advisor
- $28.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $875,182derivedHNW RAUM over HNW clients
- Average account
- $388,845derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 56%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 4.9derived12 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.6%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, educational seminars, otherreportedItem 5.G
- Wrap fee program
- $1.7BreportedItem 5.I
- Custody
- $278,000, 2 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)
- an independent public accountant performs a surprise examination (9.C.1)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$580M35%
- Individuals$529M32%
- Charitable organizations$322M20%
- High-net-worth individuals$193M12%
- Insurance companies$20.2M1.2%
- Corporations and businesses$7.1M0.4%
- Individual clients
- 3,638reported
- HNW clients
- 220reported
- Pension plan clients
- 90reported
- Charitable clients
- 283reported
- Accounts
- 4,247reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $278,000 for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- E••• S•••• G•••• to C••••• I••••••••• A••••••• L••Sep 30, 2019 · RIA to affiliated broker-dealer or bank
- R•••••• M•••••• B••••• to C••••• I••••••••• A••••••• L••Sep 30, 2019 · RIA to affiliated broker-dealer or bank
- J•• K•••• K••••• to S••••••••• A•••••••• L••Sep 30, 2019 · RIA to RIA
- K•••••• J•••• B•••••• to C••••• I••••••••• A••••••• L••Sep 30, 2019 · RIA to affiliated broker-dealer or bank
- S••••• E••• S•••••• to C••••• I••••••••• A••••••• L••Sep 30, 2019 · RIA to affiliated broker-dealer or bank
- S•••• M•••••• L••••• to C••••• I••••••••• A••••••• L••Sep 30, 2019 · RIA to affiliated broker-dealer or bank
- B•••• F•••••••• R••••• to C•••••••• F•••••••• G•••• A•••••••Sep 30, 2019 · RIA to affiliated broker-dealer or bank
- R••••• A•••• W••• to C••••• I••••••••• A••••••• L••Sep 30, 2019 · RIA to affiliated broker-dealer or bank
- D••••• A•••• L•••••• to C••••• I••••••••• A••••••• L••Sep 30, 2019 · RIA to affiliated broker-dealer or bank
- B••••••• E• G•••••• to C••••• I••••••••• A••••••• L••Sep 30, 2019 · RIA to affiliated broker-dealer or bank
- K•••• J•••• N••• to C••••• I••••••••• A••••••• L••Sep 30, 2019 · RIA to affiliated broker-dealer or bank
- K••••••• G•••• to G••••••••• A•••••••• L••Sep 30, 2019 · Other
- H••••• J••• G•••••• to C•••••••• F•••••••• G•••• A•••••••Sep 30, 2019 · Other
- G••• E•••••• K••••••• to C••••• I••••••••• A••••••• L••Sep 30, 2019 · RIA to affiliated broker-dealer or bank
- C••••••••• J•••• K•••••• to C••••• I••••••••• A••••••• L••Sep 30, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- B••••••• E• G•••••• from C•••••••• F•••••••• G•••• A•••••••Mar 1, 2018 · Other
- K••••••• G•••• from C•••••••• F•••••••• G•••• A•••••••Feb 14, 2018 · Other
- L•••• C•••••• F•• from C•••••••• F•••••••• G•••• A•••••••Dec 7, 2017 · Other
- S•••• M•••••• L••••• from C•••••••• F•••••••• G•••• A•••••••Jul 3, 2017 · Other
- K•••• J•••• N••• from C•••••••• F•••••••• G•••• A•••••••Feb 22, 2017 · Other
- R••••• J••• H••••• from C•••••••• F•••••••• G•••• A•••••••Mar 9, 2016 · Other
- R•••••• M•••••• B••••• from C•••••••• F•••••••• G•••• A•••••••Aug 11, 2014 · Other
- J•• K•••• K••••• from C•••••••• F•••••••• G•••• A•••••••Feb 13, 2013 · Other
- C••••••••• J•••• K•••••• from C•••••••• F•••••••• G•••• A•••••••Jun 4, 2012 · Other
- R••••• A•••• W••• from C•••••••• F•••••••• G•••• A•••••••Jan 3, 2012 · Other
- S••••• T•••• M•••• from C•••••••• F•••••••• G•••• A•••••••Feb 25, 2011 · Other
- E••• S•••• G•••• from C•••••••• F•••••••• G•••• A•••••••Jan 25, 2010 · Other
- S••••• E••• S•••••• from C•••••••• F•••••••• G•••• A•••••••Dec 4, 2009 · Other
- D••••• A•••• L•••••• from C•••••••• F•••••••• G•••• A•••••••Oct 14, 2009 · Other
- K•••••• J•••• B•••••• from C•••••••• F•••••••• G•••• A•••••••Jun 14, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 10 left for C••••• I••••••••• A••••••• L••Sep 30, 2019 · Goshen, In · Firm absorbed
- 12 joined from C•••••••• F•••••••• G•••• A•••••••Feb 20, 2025 · Birmingham, Al
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• R•••••• D• · President/Directorcontrolsince 05/2001 · owns less than 5%
- H••••••• W••••••• S• · Vice Presidentcontrolsince 01/2009 · owns less than 5%
- H••••••••• R••• A•••• · Vice Presidentcontrolsince 07/2018 · owns less than 5%
- H••••••••• K••••••• D••• · Directorcontrolsince 09/2014 · owns less than 5%
- J•••••• R••••••• M••••• · Directorcontrolsince 01/2014 · owns less than 5%
- K•••••• K••••• R••• · Directorcontrolsince 01/2016 · owns less than 5%
- K•••••• A••••• J••• · Senior Investment Officercontrolsince 02/2016 · owns less than 5%
- M••••••••• L••••• G•••• · Directorcontrolsince 01/2010 · owns less than 5%
- W•••••• D••••• T••••• · Vice Presidentcontrolsince 12/2017 · owns less than 5%
- Z••••••••• P•••••• R• · Chief Compliance Officercontrolsince 10/2004 · owns less than 5%
Entity owners
- E••••••• H•••••••• I••• · Ownerdirect · owns 75% or more
- E••••••• A••••••••• I••• · Ownerindirect · owns 75% or more of E••••••• H•••••••• I•••
Related persons
Schedule D 7.A
- E••••••• A••••••••• I•••real estaten
- Praxis Investment Management, Inc.investment advisernRAUM $3.3B
- E••••••• I•••••••• C••••••real estaten
- M•• D••••••••• I•••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3,871 to 4,247Mar 19, 2019 to Mar 28, 2019
- Charity clients · 261 to 283Mar 19, 2019 to Mar 28, 2019
- Corporate clients · 11 to 14Mar 19, 2019 to Mar 28, 2019
- HNW clients · 242 to 220Mar 19, 2019 to Mar 28, 2019
- Individual clients · 3,277 to 3,638Mar 19, 2019 to Mar 28, 2019
- Pension plan clients · 78 to 90Mar 19, 2019 to Mar 28, 2019
- Assets in custody · $493,493 to $278,000Mar 19, 2019 to Mar 28, 2019
- Discretionary RAUM · $1.7B to $1.7BMar 19, 2019 to Mar 28, 2019
- HNW RAUM · $226M to $193MMar 19, 2019 to Mar 28, 2019
- Individual RAUM · $484M to $529MMar 19, 2019 to Mar 28, 2019
- Non-discretionary RAUM · $493,000 to $278,000Mar 19, 2019 to Mar 28, 2019
- Pension RAUM · $592M to $580MMar 19, 2019 to Mar 28, 2019
- RAUM · $1.7B to $1.7BMar 19, 2019 to Mar 28, 2019
- Accounts · 3,697 to 3,871Aug 30, 2017 to Mar 28, 2018
- Advisory employees · 55 to 59Aug 30, 2017 to Mar 28, 2018
- BD registered reps · 53 to 57Aug 30, 2017 to Mar 28, 2018
- Charity clients · unset to 261.0Aug 30, 2017 to Mar 28, 2018
- Corporate clients · unset to 11.0Aug 30, 2017 to Mar 28, 2018
- HNW clients · unset to 242.0Aug 30, 2017 to Mar 28, 2018
- Individual clients · unset to 3277.0Aug 30, 2017 to Mar 28, 2018
- Pension plan clients · unset to 78.0Aug 30, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 0.0Aug 30, 2017 to Mar 28, 2018
- Assets in custody · $4.1M to $493,493Aug 30, 2017 to Mar 28, 2018
- Insurance-licensed employees · 34 to 40Aug 30, 2017 to Mar 28, 2018
- State-registered IARs · 55 to 59Aug 30, 2017 to Mar 28, 2018
- Other offices · unset to 11.0Aug 30, 2017 to Mar 28, 2018
- Discretionary RAUM · $1.4B to $1.7BAug 30, 2017 to Mar 28, 2018
- HNW RAUM · unset to 225674000.0Aug 30, 2017 to Mar 28, 2018
- Individual RAUM · unset to 484176000.0Aug 30, 2017 to Mar 28, 2018
- Non-discretionary RAUM · $1.6M to $493,000Aug 30, 2017 to Mar 28, 2018
- Pension RAUM · unset to 591607000.0Aug 30, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 0.0Aug 30, 2017 to Mar 28, 2018
- RAUM · $1.4B to $1.7BAug 30, 2017 to Mar 28, 2018
- Related broker-dealer · true to falseAug 30, 2017 to Mar 28, 2018
- Wrap assets (manager) · unset to 0.0Aug 30, 2017 to Mar 28, 2018
- Wrap assets (sponsor) · unset to 0.0Aug 30, 2017 to Mar 28, 2018
- Accounts · 3,721 to 3,697Mar 29, 2016 to Mar 28, 2017
- Assets in custody · $3.8M to $4.1MMar 29, 2016 to Mar 28, 2017
- Employees · 77 to 80Mar 29, 2016 to Mar 28, 2017
- Financial planning clients · 101-250 to 251-500Mar 29, 2016 to Mar 28, 2017
Signals
4 dated events
- 11 advisors left C•••••••• F•••••••• G•••• A••••••• (Birmingham, AL) for E••••••• T•••• C•••••• on the same dayFeb 20, 2025 · Team lift-out · derived
- E J•••• Beitler (Director) no longer on Schedule A of E••••••• T•••• C•••••• (listed 2019-03-19, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- A Todd Holsopple (Vice President) no longer on Schedule A of E••••••• T•••• C•••••• (listed 2019-03-19, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- A•••• Rex H••••••••• (Vice President) appeared on Schedule A of E••••••• T•••• C••••••Mar 28, 2019 · Control person joined · fact
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