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••••• M••••••••• L••
Latest filing Apr 29, 2024
First filing on the tape Nov 21, 2011 · 29 filings
RAUM
$288M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
76%
$217M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$288M as of Feb 14, 2024
Mar 27, 2012$113M then
HNW client RAUM$196M as of Feb 14, 2024
Mar 22, 2018$109M then
State-registered IARs (5.B.3)3 as of Feb 14, 2024
Mar 27, 20120 then
Employees (5.A)5 as of Feb 14, 2024
Mar 26, 20135 then
Private funds: no history
RAUM +27% over the last fiscal year+11% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Apr 29, 2024; every figure names its basis
- RAUM per advisor
- $96.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- 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 advisers, otherreportedItem 5.G
- Custody
- $151M, 83 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$196M68%
- Corporations and businesses$70.5M24%
- Individuals$21.9M7.6%
- Individual clients
- 42reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 287reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $151M for 83 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
- B•••• J••••• B•••••• to W•••••• A•••••••• L••Dec 16, 2024 · RIA to RIA
- P•••••• J•••• H••••• to W•••••• A•••••••• L••Dec 16, 2024 · RIA to RIA
- E••• F•••••• G•••• to W•••••• A•••••••• L••Dec 16, 2024 · RIA to RIA
- G••• J••••• S•••••••• to C•••••• S••••• C•••••• L••Jan 25, 2024 · RIA to RIA
- J••••••• E••• B•••••• to F••••• M••••• W••••• A•••••••• L••May 13, 2022 · RIA to RIA
Joined, latest
- E••• F•••••• G•••• from C••••• C•••••• A•••••••• L••Mar 25, 2022 · RIA to RIA
- G••• J••••• S•••••••• from F••• S••• C•••••• A•••••••• L••Nov 28, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for W•••••• A•••••••• L••Dec 16, 2024 · Zionsville, In · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• B••••• J••••• · Managing Membercontrolsince 12/2001 · owns 75% or more
- S••••••••• G•••• J••••• · Chief Compliance Officersince 11/2011 · 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 |
|---|---|---|---|---|---|
| Plainfield, Il | 0 | 0 | 0 | ||
| Zionsville, In · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 278 to 287Sep 12, 2023 to Feb 14, 2024
- Advisory employees · 2 to 3Sep 12, 2023 to Feb 14, 2024
- HNW clients · 67 to 65Sep 12, 2023 to Feb 14, 2024
- Individual clients · 39 to 42Sep 12, 2023 to Feb 14, 2024
- Assets in custody · $71.0M to $151MSep 12, 2023 to Feb 14, 2024
- Employees · 4 to 5Sep 12, 2023 to Feb 14, 2024
- State-registered IARs · 2 to 3Sep 12, 2023 to Feb 14, 2024
- Discretionary RAUM · $226M to $288MSep 12, 2023 to Feb 14, 2024
- HNW RAUM · $149M to $196MSep 12, 2023 to Feb 14, 2024
- Individual RAUM · $14.2M to $21.9MSep 12, 2023 to Feb 14, 2024
- RAUM · $226M to $288MSep 12, 2023 to Feb 14, 2024
- Accounts · 279 to 278Jan 26, 2023 to Feb 20, 2023
- HNW clients · 62 to 67Jan 26, 2023 to Feb 20, 2023
- Individual clients · 40 to 39Jan 26, 2023 to Feb 20, 2023
- Assets in custody · $36.9M to $71.0MJan 26, 2023 to Feb 20, 2023
- Financial planning clients · 26-50 to 51-100Jan 26, 2023 to Feb 20, 2023
- Discretionary RAUM · $254M to $226MJan 26, 2023 to Feb 20, 2023
- HNW RAUM · $163M to $149MJan 26, 2023 to Feb 20, 2023
- Individual RAUM · $17.9M to $14.2MJan 26, 2023 to Feb 20, 2023
- RAUM · $254M to $226MJan 26, 2023 to Feb 20, 2023
- HNW clients · 56 to 62Feb 10, 2022 to Mar 9, 2022
- Accounts · 249 to 279Feb 11, 2021 to Feb 10, 2022
- HNW clients · 58 to 56Feb 11, 2021 to Feb 10, 2022
- Individual clients · 37 to 40Feb 11, 2021 to Feb 10, 2022
- Assets in custody · $5.9M to $36.9MFeb 11, 2021 to Feb 10, 2022
- Employees · 5 to 4Feb 11, 2021 to Feb 10, 2022
- State-registered IARs · 3 to 2Feb 11, 2021 to Feb 10, 2022
- Discretionary RAUM · $213M to $254MFeb 11, 2021 to Feb 10, 2022
- HNW RAUM · $135M to $163MFeb 11, 2021 to Feb 10, 2022
- Individual RAUM · $17.3M to $17.9MFeb 11, 2021 to Feb 10, 2022
- RAUM · $213M to $254MFeb 11, 2021 to Feb 10, 2022
- Accounts · 244 to 249Jun 15, 2020 to Feb 11, 2021
- Individual clients · 38 to 37Jun 15, 2020 to Feb 11, 2021
- Assets in custody · $6.0M to $5.9MJun 15, 2020 to Feb 11, 2021
- State-registered IARs · 2 to 3Jun 15, 2020 to Feb 11, 2021
- Discretionary RAUM · $198M to $213MJun 15, 2020 to Feb 11, 2021
- HNW RAUM · $124M to $135MJun 15, 2020 to Feb 11, 2021
- Individual RAUM · $18.7M to $17.3MJun 15, 2020 to Feb 11, 2021
- RAUM · $198M to $213MJun 15, 2020 to Feb 11, 2021
- Accounts · 231 to 244Mar 19, 2019 to Mar 17, 2020
Signals
6 dated events
- E••• F•••••• G•••• left C••••••••• W••••• M••••••••• L•• for W•••••• A•••••••• L•• (registered 2024-10-01)Dec 16, 2024 · Advisor changed firm · fact
- P•••••• J•••• H••••• left C••••••••• W••••• M••••••••• L•• for W•••••• A•••••••• L•• (registered 2024-10-01)Dec 16, 2024 · Advisor changed firm · fact
- B•••• J••••• B•••••• left C••••••••• W••••• M••••••••• L•• for W•••••• A•••••••• L•• (registered 2024-10-01)Dec 16, 2024 · Advisor changed firm · fact
- C••••••••• W••••• M••••••••• L••'s advisors moved to W•••••• A•••••••• L•• (Zionsville, IN): 3 of 3 registered, on the same dayDec 16, 2024 · Firm absorbed (people side) · derived
- G••• J••••• S•••••••• left C••••••••• W••••• M••••••••• L•• for C•••••• S••••• C•••••• L•• (registered 2011-12-01)Jan 25, 2024 · Advisor changed firm · fact
- J••••••• E••• B•••••• left C••••••••• W••••• M••••••••• L•• for F••••• M••••• W••••• A•••••••• L•• (registered 2022-06-08)May 13, 2022 · Advisor changed firm · 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