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
F•••••••• P••••••• S•••••••
Legal name S••••••• J•••• A••••
Latest filing Mar 17, 2026
First filing on the tape Mar 7, 2022 · 11 filings
SEC status approved since Apr 11, 2022
RAUM
$213M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$198M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$30.4M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$213M as of Mar 17, 2026
Feb 14, 2023$98.3M then
HNW client RAUM$99.0M as of Mar 17, 2026
Feb 14, 2023$46.3M then
State-registered IARs (5.B.3)7 as of Mar 17, 2026
Feb 14, 20234 then
Employees (5.A)7 as of Mar 17, 2026
Feb 14, 20234 then
Private funds: no history
RAUM +19% over the last fiscal year+29% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 17, 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
- $30.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $199,278derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 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
- +3.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $89.0M, 220 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$99.0M47%
- Individuals$98.5M46%
- Corporations and businesses$11.3M5.3%
- Charitable organizations$3.8M1.8%
- Individual clients
- 425reported
- HNW clients
- 58reported
- Pension plan clients
- 0reported
- Charitable clients
- 4reported
- Accounts
- 1,067reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $89.0M for 220 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=7.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• P••• S••••••Certified Financial Planner, Chartered Financial Consultant | Fort Wayne, In | Sep 5, 2007 | 43 y | 1 |
| J•••• A•••• S••••••Certified Financial Planner | Fort Wayne, In | Jan 19, 2015 | 13 y | 1 |
| C••• J•••• R•••••••Certified Financial Planner | Fort Wayne, In | Oct 14, 2020 | 13 y | 0 |
| N••• A••••• B•••••• | Fort Wayne, In | Jan 19, 2022 | 13 y | 2 |
| R••••• R•• M•••• | Fort Wayne, In | Aug 4, 2023 | 29 y | 2 |
| B••••••• P••• V••••••••• | Fort Wayne, In | Sep 5, 2024 | 14 y | 0 |
| A••••• P••• B••••• | Fort Wayne, In | Apr 8, 2025 | 13 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
none on the tape
Joined, latest
- R••••• R•• M•••• from S••Aug 4, 2023 · Affiliated broker-dealer or bank to independent RIA
- N••• A••••• B•••••• from S•••••••• I••••••••• M•••••••••Jan 19, 2022 · Affiliated broker-dealer or bank to independent RIA
- J•••• A•••• S•••••• from O•••• F•• I•••Jan 19, 2015 · Other
- K•••••• P••• S•••••• from 1•• G••••• A••••••• I••Sep 5, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• J••••• A•••• · Owner/Chief Compliance Officercontrolsince 10/2020 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Fort Wayne, In · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 957 to 1,067Apr 9, 2025 to Mar 17, 2026
- Charity clients · 2 to 4Apr 9, 2025 to Mar 17, 2026
- HNW clients · 64 to 58Apr 9, 2025 to Mar 17, 2026
- Individual clients · 403 to 425Apr 9, 2025 to Mar 17, 2026
- Pension plan clients · 1 to 0Apr 9, 2025 to Mar 17, 2026
- Assets in custody · $78.0M to $89.0MApr 9, 2025 to Mar 17, 2026
- Discretionary RAUM · $176M to $212MApr 9, 2025 to Mar 17, 2026
- HNW RAUM · $95.1M to $99.0MApr 9, 2025 to Mar 17, 2026
- Individual RAUM · $72.0M to $98.5MApr 9, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $3.0M to $552,471Apr 9, 2025 to Mar 17, 2026
- Pension RAUM · $616,803 to $0Apr 9, 2025 to Mar 17, 2026
- RAUM · $179M to $213MApr 9, 2025 to Mar 17, 2026
- Accounts · 872 to 957Jan 6, 2025 to Apr 9, 2025
- Advisory employees · 5 to 7Jan 6, 2025 to Apr 9, 2025
- BD registered reps · 4 to 7Jan 6, 2025 to Apr 9, 2025
- Charity clients · 1 to 2Jan 6, 2025 to Apr 9, 2025
- HNW clients · 45 to 64Jan 6, 2025 to Apr 9, 2025
- Individual clients · 391 to 403Jan 6, 2025 to Apr 9, 2025
- Assets in custody · $110M to $78.0MJan 6, 2025 to Apr 9, 2025
- Employees · 5 to 7Jan 6, 2025 to Apr 9, 2025
- Financial planning clients · 51-100 to 51-100Jan 6, 2025 to Apr 9, 2025
- State-registered IARs · 5 to 7Jan 6, 2025 to Apr 9, 2025
- Discretionary RAUM · $151M to $176MJan 6, 2025 to Apr 9, 2025
- HNW RAUM · $70.6M to $95.1MJan 6, 2025 to Apr 9, 2025
- Individual RAUM · $72.4M to $72.0MJan 6, 2025 to Apr 9, 2025
- Non-discretionary RAUM · $2.7M to $3.0MJan 6, 2025 to Apr 9, 2025
- Pension RAUM · $542,608 to $616,803Jan 6, 2025 to Apr 9, 2025
- RAUM · $153M to $179MJan 6, 2025 to Apr 9, 2025
- Accounts · 677 to 872Sep 6, 2023 to Feb 14, 2024
- Corporate clients · 0 to 2Sep 6, 2023 to Feb 14, 2024
- HNW clients · 30 to 45Sep 6, 2023 to Feb 14, 2024
- Individual clients · 321 to 391Sep 6, 2023 to Feb 14, 2024
- Assets in custody · $70.0M to $110MSep 6, 2023 to Feb 14, 2024
- Discretionary RAUM · $94.4M to $151MSep 6, 2023 to Feb 14, 2024
- HNW RAUM · $46.3M to $70.6MSep 6, 2023 to Feb 14, 2024
- Individual RAUM · $50.1M to $72.4MSep 6, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $3.9M to $2.7MSep 6, 2023 to Feb 14, 2024
- Pension RAUM · $454,976 to $542,608Sep 6, 2023 to Feb 14, 2024
- RAUM · $98.3M to $153MSep 6, 2023 to Feb 14, 2024
- Advisory employees · 4 to 5Aug 4, 2023 to Sep 6, 2023
Signals
1 dated events
- F•••••••• P••••••• S••••••• filed its initial SEC registration (Form ADV)Mar 7, 2022 · 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 phone
- 260-469-3218reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/financial-planning-services---tobuildwereportedpublic record, Form ADV, Sep 19, 2026
- Website
- TOBUILDWEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 260-469-3218reportedpublic record, Form ADV, Mar 17, 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
- $30.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026