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••••••• W••• • N•••••••• I•••
Latest filing Mar 20, 2026
First filing on the tape Mar 14, 2012 · 17 filings
SEC status approved since Jan 25, 2008
RAUM
$284M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
52%
$148M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$284M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$284M as of Mar 20, 2026
Mar 14, 2012$120M then
HNW client RAUM$92.0M as of Mar 20, 2026
Mar 22, 2023$23.7M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Mar 14, 20120 then
Employees (5.A)2 as of Mar 20, 2026
Mar 19, 20132 then
Private funds: no history
RAUM +11% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $284MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 358derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $219,446derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 47%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- 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
- Pension and profit-sharing plans$134M47%
- High-net-worth individuals$92.0M32%
- Individuals$56.4M20%
- Corporations and businesses$1.6M0.6%
- Individual clients
- 308reported
- HNW clients
- 50reported
- Pension plan clients
- 28reported
- Charitable clients
- n/areported
- Accounts
- 1,295reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.52 fund_share=0.0 institutional_share=0.47 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• B•••••• F••••••Chartered Financial Consultant | E•••Sville, In | Jul 5, 2007 | 51 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• P••••••• B•••••• · Presidentcontrolsince 08/1992 · owns less than 5%
- F••••••• P••••••• E••• · Chief Compliance Officercontrolsince 01/2002 · 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.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 20, 2026institutional share of RAUM of 47% against a peer median of 0% (5676 comparable advisers, 99.0th percentile, 15.8 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 99% percentile
- low discretionary shareStatic outlier · filing Mar 20, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 991 to 1,295Mar 12, 2025 to Mar 20, 2026
- Corporate clients · unset to 2.0Mar 12, 2025 to Mar 20, 2026
- HNW clients · 37 to 50Mar 12, 2025 to Mar 20, 2026
- Individual clients · 258 to 308Mar 12, 2025 to Mar 20, 2026
- Pension plan clients · 52 to 28Mar 12, 2025 to Mar 20, 2026
- HNW RAUM · $64.1M to $92.0MMar 12, 2025 to Mar 20, 2026
- Individual RAUM · $55.9M to $56.4MMar 12, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $256M to $284MMar 12, 2025 to Mar 20, 2026
- Pension RAUM · $136M to $134MMar 12, 2025 to Mar 20, 2026
- RAUM · $256M to $284MMar 12, 2025 to Mar 20, 2026
- Accounts · 353 to 991Feb 27, 2024 to Mar 12, 2025
- HNW clients · 19 to 37Feb 27, 2024 to Mar 12, 2025
- Individual clients · 283 to 258Feb 27, 2024 to Mar 12, 2025
- Pension plan clients · 51 to 52Feb 27, 2024 to Mar 12, 2025
- Employees · 7 to 2Feb 27, 2024 to Mar 12, 2025
- Financial planning clients · 1-10 to 1-10Feb 27, 2024 to Mar 12, 2025
- HNW RAUM · $37.3M to $64.1MFeb 27, 2024 to Mar 12, 2025
- Individual RAUM · $74.3M to $55.9MFeb 27, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $231M to $256MFeb 27, 2024 to Mar 12, 2025
- Pension RAUM · $120M to $136MFeb 27, 2024 to Mar 12, 2025
- RAUM · $231M to $256MFeb 27, 2024 to Mar 12, 2025
- Accounts · 346 to 353Mar 22, 2023 to Feb 27, 2024
- HNW clients · 11 to 19Mar 22, 2023 to Feb 27, 2024
- Individual clients · 286 to 283Mar 22, 2023 to Feb 27, 2024
- Pension plan clients · 49 to 51Mar 22, 2023 to Feb 27, 2024
- HNW RAUM · $23.7M to $37.3MMar 22, 2023 to Feb 27, 2024
- Individual RAUM · $70.0M to $74.3MMar 22, 2023 to Feb 27, 2024
- Non-discretionary RAUM · $205M to $231MMar 22, 2023 to Feb 27, 2024
- Pension RAUM · $111M to $120MMar 22, 2023 to Feb 27, 2024
- RAUM · $205M to $231MMar 22, 2023 to Feb 27, 2024
- Accounts · 1,028 to 346Mar 30, 2022 to Mar 22, 2023
- HNW clients · unset to 11.0Mar 30, 2022 to Mar 22, 2023
- Individual clients · 156 to 286Mar 30, 2022 to Mar 22, 2023
- Financial planning clients · 11-25 to 1-10Mar 30, 2022 to Mar 22, 2023
- HNW RAUM · unset to 23653628.0Mar 30, 2022 to Mar 22, 2023
- Individual RAUM · $112M to $70.0MMar 30, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $230M to $205MMar 30, 2022 to Mar 22, 2023
- Pension RAUM · $119M to $111MMar 30, 2022 to Mar 22, 2023
- RAUM · $230M to $205MMar 30, 2022 to Mar 22, 2023
- Accounts · 320 to 1,028Jul 8, 2021 to Mar 30, 2022
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.
How to reach
public business contact points only, each with its source
- Business email
- e••••@f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- l••••@f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- k•••••@f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j•••••@f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- e•••••••••@f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- e•••••••••@f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 812-425-1030reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 812-421-4115reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 812-425-1030reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- f•••••••••.comreportedpublished 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
- $284Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026