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
C•••••• A••••••• C•••••••••
Legal name F•••••••• C••••••••• • A••••••• C•••••••••
Latest filing Mar 24, 2026
First filing on the tape Oct 5, 2020 · 11 filings
SEC status approved since Jan 12, 2021
RAUM
$333M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
81%
$271M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$23.8M
derived; firm RAUM over IAPD count
Employees
15
15 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$333M as of Mar 24, 2026
Mar 31, 2021$204M then
HNW client RAUM$204M as of Mar 24, 2026
Mar 31, 2021$15.9M then
State-registered IARs (5.B.3)15 as of Mar 24, 2026
Mar 31, 202116 then
Employees (5.A)15 as of Mar 24, 2026
Mar 31, 202116 then
Private funds: no history
RAUM -9.1% over the last fiscal year+19% a year over threeIARs 14 to 15offices 9 to 8
Practice profile
derived from the filing of Mar 24, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $23.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $379,801derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 1.6derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -19%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $275MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$204M61%
- Individuals$66.8M20%
- Pension and profit-sharing plans$52.6M16%
- State and municipal entities$6.5M2.0%
- Corporations and businesses$2.3M0.7%
- Charitable organizations$927,8280.3%
- Individual clients
- 372reported
- HNW clients
- 203reported
- Pension plan clients
- 18reported
- Charitable clients
- n/areported
- Accounts
- 877reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.18 related_bd=false related_bank=false bd_reps=15.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• G••••• Y••••••• | Indianapolis, In | Sep 30, 1999 | 40 y | 0 |
| K•••• P••••••• G••••••• | Indianapolis, In | Sep 30, 1999 | 34 y | 0 |
| C•••••• P•••• P•••••• | Indianapolis, In | Sep 30, 1999 | 35 y | 0 |
| M•••••• J••••• K••••• | Indianapolis, In | Sep 30, 1999 | 44 y | 0 |
| J•••• A•• T••••••• | Indianapolis, In | Sep 30, 1999 | 42 y | 0 |
| R•••••• E••••• H••••••• | Indianapolis, In | Aug 27, 2009 | 18 y | 2 |
| D•••••• R••••• S•••• | Fishers, In | Aug 27, 2009 | 38 y | 1 |
| D•••• P•••••• D•••••• | Cincinnati, Oh | Sep 17, 2009 | 31 y | 1 |
| K•••• M•••••• P••••• | M••••Mont, Oh | Oct 1, 2009 | 26 y | 1 |
| T••••• A••••• B•••••Certified Financial Planner | Greenfield, In | Apr 6, 2010 | 44 y | 0 |
| S••• M••• N•••• | Indianapolis, In | Jul 9, 2015 | 30 y | 4 |
| L••••• E•••••• D•••• | Slidell, La | Oct 2, 2015 | 37 y | 2 |
| M•••••• M•••••Certified Financial Planner | Indianapolis, In | Dec 20, 2024 | 17 y | 0 |
| J•••• D• S•••• | Fishers, In | Apr 7, 2025 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 7.1% of current headcount1 left over 36 months
Left, latest
- C••••••••• F•••••••• to L•• F•••••••• L••Mar 18, 2026 · RIA to affiliated broker-dealer or bank
- G••••• A••••• L•••• to L•• F•••••••• L••Apr 6, 2020 · Other
- M•••••• A•••••• T•••• to T•••• I•••••••• • F•••••••• S•••••••• L••May 14, 2019 · RIA to a state-registered adviser
- D•••• C•••••• H•••• to W••••• A••••••• S••••••••• L••Mar 11, 2019 · RIA to RIA
- B••••••• C•••••• S••••• to C•••••• C••••• G••••• I•••May 5, 2017 · Other
- A••••••••• M•••• B••• to L•• F•••••••• L••Sep 3, 2014 · Other
- A•••• D• T•••••• to I•••••••• A•••••••• L••Mar 12, 2013 · Other
- W••••• P•••• S•••• to M•••• C••••••• A••••••• S••••••Apr 22, 2009 · Other
- M••••• E•••• J•••• to I••••• F•••••••• C•••••••••Jan 5, 2006 · Other
- G••• A••• S••••• to I••••• F•••••••• C•••••••••Jan 5, 2006 · Other
Joined, latest
- D•••• C•••••• H•••• from L•• F•••••••• L••Jul 26, 2018 · RIA to RIA
- B••••••• C•••••• S••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 7, 2016 · Other
- L••••• E•••••• D•••• from B••• W••••• A•••••••• I•••Oct 2, 2015 · Other
- S••• M••• N•••• from K••••• A•••••••• I•••Jul 9, 2015 · Other
- A••••••••• M•••• B••• from E••••• J••••Jun 7, 2012 · Affiliated broker-dealer or bank to independent RIA
- M•••••• A•••••• T•••• from L•• F•••••••• L••Jun 3, 2011 · Other
- K•••• M•••••• P••••• from M••••• S•••••• C•••••••••Oct 1, 2009 · Other
- A•••• D• T•••••• from L•• F•••••••• L••Oct 1, 2009 · Other
- D•••• P•••••• D•••••• from M••••• S•••••• C•••••••••Sep 17, 2009 · Other
- R•••••• E••••• H••••••• from M••••• S•••••• C•••••••••Aug 27, 2009 · Other
- D•••••• R••••• S•••• from M•••••• F•••••••• A•••••••• I•••Aug 27, 2009 · Other
- G••• A••• S••••• from M••••• S•••••• C•••••••••Aug 7, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• M••••••• J••••• · President/Chief Compliance Officercontrolsince 05/1982 · owns 75% or more
- Y•••••••• D••••• G••••• · Vp And Secretarycontrolsince 06/1987 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Indianapolis, In · principal | 10 | 0 | 0 | ||
| Fishers, In | 2 | 0 | 0 | ||
| Warsaw, In | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Indianapolis, IN1 employees
- Attica, IN1 employees
- Seymour, IN1 employees
- Fishers, IN1 employees
- Cincinnati, OH1 employees
- Warsaw, IN1 employees
- M••••Mont, OH1 employees
- , 1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,002 to 877Mar 20, 2025 to Mar 24, 2026
- Advisory employees · 14 to 15Mar 20, 2025 to Mar 24, 2026
- BD registered reps · 14 to 15Mar 20, 2025 to Mar 24, 2026
- HNW clients · 246 to 203Mar 20, 2025 to Mar 24, 2026
- Individual clients · 460 to 372Mar 20, 2025 to Mar 24, 2026
- Pension plan clients · 26 to 18Mar 20, 2025 to Mar 24, 2026
- Employees · 14 to 15Mar 20, 2025 to Mar 24, 2026
- State-registered IARs · 14 to 15Mar 20, 2025 to Mar 24, 2026
- Other offices · 9 to 8Mar 20, 2025 to Mar 24, 2026
- Discretionary RAUM · $310M to $276MMar 20, 2025 to Mar 24, 2026
- HNW RAUM · $217M to $204MMar 20, 2025 to Mar 24, 2026
- Individual RAUM · $84.7M to $66.8MMar 20, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $56.7M to $57.2MMar 20, 2025 to Mar 24, 2026
- Pension RAUM · $61.9M to $52.6MMar 20, 2025 to Mar 24, 2026
- RAUM · $366M to $333MMar 20, 2025 to Mar 24, 2026
- Accounts · 954 to 1,002Oct 28, 2024 to Mar 20, 2025
- BD registered reps · 15 to 14Oct 28, 2024 to Mar 20, 2025
- Corporate clients · 7.0 to unsetOct 28, 2024 to Mar 20, 2025
- HNW clients · 222 to 246Oct 28, 2024 to Mar 20, 2025
- Individual clients · 451 to 460Oct 28, 2024 to Mar 20, 2025
- Pension plan clients · 30 to 26Oct 28, 2024 to Mar 20, 2025
- Employees · 15 to 14Oct 28, 2024 to Mar 20, 2025
- Financial planning clients · 1-10 to 1-10Oct 28, 2024 to Mar 20, 2025
- State-registered IARs · 15 to 14Oct 28, 2024 to Mar 20, 2025
- Discretionary RAUM · $268M to $310MOct 28, 2024 to Mar 20, 2025
- HNW RAUM · $177M to $217MOct 28, 2024 to Mar 20, 2025
- Individual RAUM · $79.7M to $84.7MOct 28, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $51.3M to $56.7MOct 28, 2024 to Mar 20, 2025
- Pension RAUM · $59.1M to $61.9MOct 28, 2024 to Mar 20, 2025
- RAUM · $319M to $366MOct 28, 2024 to Mar 20, 2025
- Accounts · 907 to 954Mar 30, 2023 to Mar 28, 2024
- Corporate clients · unset to 7.0Mar 30, 2023 to Mar 28, 2024
- HNW clients · 192 to 222Mar 30, 2023 to Mar 28, 2024
- Individual clients · 425 to 451Mar 30, 2023 to Mar 28, 2024
- Pension plan clients · 10 to 30Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $195M to $268MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $118M to $177MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $67.9M to $79.7MMar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $4.2M to $51.3MMar 30, 2023 to Mar 28, 2024
- Pension RAUM · $10.1M to $59.1MMar 30, 2023 to Mar 28, 2024
Signals
3 dated events
- C••••••••• F•••••••• left C•••••• A••••••• C••••••••• for L•• F•••••••• L•• (registered 2020-03-20)Mar 18, 2026 · Advisor changed firm · fact
- C•••••• A••••••• C••••••••• reported RAUM $319.2M, up 60% from $199.5M (2023-03-30 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- C•••••• A••••••• C••••••••• filed its initial SEC registration (Form ADV)Oct 5, 2020 · First SEC registration · fact
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
- charter@charteradvisory.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-752-3295reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-844-7416reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-844-7528reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/C••••••-ADVISORY-CORPORATIOreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-844-7416reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- charteradvisory.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- charteradvisory.com/teamreportedpublished 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
- $23.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026