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
Q•••••• F•••••••• S••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Apr 16, 2007
RAUM
$731M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$731M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$365M
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
18 filings and snapshots on the tape
RAUM$731M as of Mar 31, 2026
Mar 30, 2012$116M then
HNW client RAUM$731M as of Mar 31, 2026
Mar 29, 2018$177M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)2 as of Mar 31, 2026
Mar 28, 20132 then
Private funds: no history
RAUM +24% over the last fiscal year+30% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $365MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.4MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%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, pension consulting, 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
- 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
- High-net-worth individuals$731M100%
- Individual clients
- n/areported
- HNW clients
- 78reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 516reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• T••••• K••••Certified Financial Planner | Indianapolis, In | Nov 10, 1998 | 44 y | 0 |
| R•• M••• | Indianapolis, In | Jun 1, 2021 | 11 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
- V•••••• J•••• C•••••• to W••••••••• F•••••••• G••••• I•••Jun 6, 2006 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• J•••• T••••• · President/Chief Compliance Officercontrolsince 03/1994 · 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 |
|---|---|---|---|---|---|
| Indianapolis, In · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 31, 2026discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 96 to 516Mar 21, 2025 to Mar 31, 2026
- HNW clients · 96 to 78Mar 21, 2025 to Mar 31, 2026
- HNW RAUM · $591M to $731MMar 21, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $591M to $731MMar 21, 2025 to Mar 31, 2026
- RAUM · $591M to $731MMar 21, 2025 to Mar 31, 2026
- Accounts · 75 to 96Jul 15, 2024 to Mar 21, 2025
- HNW clients · 75 to 96Jul 15, 2024 to Mar 21, 2025
- Financial planning clients · 51-100 to 51-100Jul 15, 2024 to Mar 21, 2025
- HNW RAUM · $486M to $591MJul 15, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $486M to $591MJul 15, 2024 to Mar 21, 2025
- RAUM · $486M to $591MJul 15, 2024 to Mar 21, 2025
- Accounts · 92 to 75Mar 30, 2023 to Mar 27, 2024
- HNW clients · 84 to 75Mar 30, 2023 to Mar 27, 2024
- Individual clients · 8.0 to unsetMar 30, 2023 to Mar 27, 2024
- Employees · 3 to 2Mar 30, 2023 to Mar 27, 2024
- Financial planning clients · 26-50 to 51-100Mar 30, 2023 to Mar 27, 2024
- HNW RAUM · $328M to $486MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · 761068.0 to unsetMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $329M to $486MMar 30, 2023 to Mar 27, 2024
- RAUM · $329M to $486MMar 30, 2023 to Mar 27, 2024
- Accounts · 104 to 92Mar 31, 2022 to Mar 30, 2023
- HNW clients · 85 to 84Mar 31, 2022 to Mar 30, 2023
- Individual clients · 19 to 8Mar 31, 2022 to Mar 30, 2023
- HNW RAUM · $321M to $328MMar 31, 2022 to Mar 30, 2023
- Individual RAUM · $256,048 to $761,068Mar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $321M to $329MMar 31, 2022 to Mar 30, 2023
- RAUM · $321M to $329MMar 31, 2022 to Mar 30, 2023
- Accounts · 415 to 104Mar 30, 2021 to Mar 31, 2022
- Advisory employees · 1 to 2Mar 30, 2021 to Mar 31, 2022
- HNW clients · 81 to 85Mar 30, 2021 to Mar 31, 2022
- Individual clients · 11 to 19Mar 30, 2021 to Mar 31, 2022
- Employees · 2 to 3Mar 30, 2021 to Mar 31, 2022
- State-registered IARs · 1 to 2Mar 30, 2021 to Mar 31, 2022
- HNW RAUM · $251M to $321MMar 30, 2021 to Mar 31, 2022
- Individual RAUM · $1.6M to $256,048Mar 30, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $252M to $321MMar 30, 2021 to Mar 31, 2022
- RAUM · $252M to $321MMar 30, 2021 to Mar 31, 2022
- Accounts · 89 to 415Jun 29, 2020 to Mar 30, 2021
- HNW clients · 76 to 81Jun 29, 2020 to Mar 30, 2021
- Individual clients · 14 to 11Jun 29, 2020 to Mar 30, 2021
Signals
1 dated events
- Q•••••• F•••••••• S••••••• I••• reported RAUM $486.4M, up 48% from $329.1M (2023-03-30 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-845-1786reportedpublic record, Form ADV, Mar 31, 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
- $365Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026