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

C•••••• W••••• A•••••••• L••

Former SEC-registered adviserElkhart, IndianaCRD 117129SEC 801-60956IAPD
Latest filing Mar 14, 2017
First filing on the tape Feb 14, 2012 · 12 filings
RAUM
$202M
reported, Item 5.F
Discretionary
99%
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$202M as of Mar 14, 2017
Feb 14, 2012$141M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 14, 2017
Feb 14, 20120 then
Employees (5.A)4 as of Mar 14, 2017
Mar 8, 20138 then
Private funds: no history
RAUM +19% over the last fiscal year+5.9% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 14, 2017; every figure names its basis
RAUM per advisor
$50.6MderivedRAUM 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
$166,126derivedRAUM over accounts (5.F.2.f)
Discretionary
99%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
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,218reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D•••••• D••••••• A••••• · Chief Compliance Officercontrol
      since 03/2014 · owns less than 5%
    • S••••••••• G••••••• L•• · Chief Executive Officer, Managing Membercontrol
      since 10/2014 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 965 to 1,218
      Nov 1, 2016 to Mar 14, 2017
    • Discretionary RAUM · $166M to $201M
      Nov 1, 2016 to Mar 14, 2017
    • Non-discretionary RAUM · $4.7M to $1.8M
      Nov 1, 2016 to Mar 14, 2017
    • RAUM · $171M to $202M
      Nov 1, 2016 to Mar 14, 2017
    • BD registered reps · 2 to 0
      Feb 22, 2016 to Oct 18, 2016
    • Accounts · 870 to 965
      Mar 11, 2015 to Feb 22, 2016
    • BD registered reps · 4 to 2
      Mar 11, 2015 to Feb 22, 2016
    • Discretionary RAUM · $177M to $166M
      Mar 11, 2015 to Feb 22, 2016
    • Non-discretionary RAUM · $7.6M to $4.7M
      Mar 11, 2015 to Feb 22, 2016
    • RAUM · $185M to $171M
      Mar 11, 2015 to Feb 22, 2016
    • Accounts · 710 to 870
      Oct 23, 2014 to Mar 11, 2015
    • Advisory employees · 6 to 4
      Oct 23, 2014 to Mar 11, 2015
    • Employees · 6 to 4
      Oct 23, 2014 to Mar 11, 2015
    • State-registered IARs · 6 to 4
      Oct 23, 2014 to Mar 11, 2015
    • Discretionary RAUM · $170M to $177M
      Oct 23, 2014 to Mar 11, 2015
    • Non-discretionary RAUM · $0 to $7.6M
      Oct 23, 2014 to Mar 11, 2015
    • RAUM · $170M to $185M
      Oct 23, 2014 to Mar 11, 2015
    • Accounts · 577 to 710
      Mar 8, 2013 to Mar 31, 2014
    • Advisory employees · 4 to 6
      Mar 8, 2013 to Mar 31, 2014
    • Employees · 8 to 6
      Mar 8, 2013 to Mar 31, 2014
    • State-registered IARs · 4 to 6
      Mar 8, 2013 to Mar 31, 2014
    • Discretionary RAUM · $147M to $170M
      Mar 8, 2013 to Mar 31, 2014
    • RAUM · $147M to $170M
      Mar 8, 2013 to Mar 31, 2014
    • Accounts · 585 to 577
      Oct 23, 2012 to Mar 8, 2013
    • Advisory employees · unset to 4.0
      Oct 23, 2012 to Mar 8, 2013
    • BD registered reps · unset to 4.0
      Oct 23, 2012 to Mar 8, 2013
    • Employees · unset to 8.0
      Oct 23, 2012 to Mar 8, 2013
    • State-registered IARs · 0 to 4
      Oct 23, 2012 to Mar 8, 2013
    • Discretionary RAUM · $141M to $147M
      Oct 23, 2012 to Mar 8, 2013
    • RAUM · $141M to $147M
      Oct 23, 2012 to Mar 8, 2013
    Signals
    No event on the tape.
    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