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
A•••••••• C••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 9 filings
SEC status approved since Jun 2, 2021
RAUM
$167M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
93%
$155M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$83.5M
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
9 filings and snapshots on the tape
RAUM$167M as of Mar 31, 2026
Mar 30, 2012$46.6M then
HNW client RAUM$126M as of Mar 31, 2026
Mar 31, 2022$90.8M 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 31, 20222 then
Private funds: no history
RAUM +3.2% over the last fiscal year+6.0% 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
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $83.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $545,439derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 4.7%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
- +3.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$126M75%
- Individuals$29.6M18%
- Charitable organizations$6.2M3.7%
- Corporations and businesses$3.7M2.2%
- Pension and profit-sharing plans$1.7M1.0%
- Individual clients
- 105reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 306reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| K•••••• R•••••• S•••••••Chartered Financial Analyst | Carmel, In | Jan 14, 1999 | 44 y | 0 |
| E••••• A••••• S••••••• | Carmel, In | Oct 14, 1999 | 30 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
- S•••••••• E•••••• A••••• · Managing Member/Vp/Chief Compliance Officercontrolsince 01/1999 · owns 25% to 50%
- S•••••••• K••••••• R•••••• · President/Managing Membercontrolsince 01/1999 · owns 25% to 50%
- C••••• M••••••• R••••• · Membersince 02/1999 · owns less than 5%
- M••••• K•••• F•••• · Membersince 02/1999 · owns less than 5%
- R•••••••• D•••••• J•• · Membersince 02/1999 · owns 10% to 25%
- S••••• R••••••• P••• · Membersince 02/1999 · 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 |
|---|---|---|---|---|---|
| Carmel, In · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 339 to 306Mar 31, 2025 to Mar 31, 2026
- HNW clients · 45 to 42Mar 31, 2025 to Mar 31, 2026
- Individual clients · 112 to 105Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $153M to $161MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $121M to $126MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $30.9M to $29.6MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $8.6M to $5.6MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $1.6M to $1.7MMar 31, 2025 to Mar 31, 2026
- RAUM · $162M to $167MMar 31, 2025 to Mar 31, 2026
- Accounts · 337 to 339Nov 13, 2024 to Mar 31, 2025
- HNW clients · 44 to 45Nov 13, 2024 to Mar 31, 2025
- Individual clients · 116 to 112Nov 13, 2024 to Mar 31, 2025
- Financial planning clients · unset to Nov 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $143M to $153MNov 13, 2024 to Mar 31, 2025
- HNW RAUM · $106M to $121MNov 13, 2024 to Mar 31, 2025
- Individual RAUM · $33.9M to $30.9MNov 13, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $6.4M to $8.6MNov 13, 2024 to Mar 31, 2025
- Pension RAUM · $1.5M to $1.6MNov 13, 2024 to Mar 31, 2025
- RAUM · $149M to $162MNov 13, 2024 to Mar 31, 2025
- Accounts · 331 to 337Mar 31, 2023 to Mar 30, 2024
- HNW clients · 38 to 44Mar 31, 2023 to Mar 30, 2024
- Individual clients · 112 to 116Mar 31, 2023 to Mar 30, 2024
- Discretionary RAUM · $135M to $143MMar 31, 2023 to Mar 30, 2024
- HNW RAUM · $99.5M to $106MMar 31, 2023 to Mar 30, 2024
- Individual RAUM · $31.5M to $33.9MMar 31, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $4.9M to $6.4MMar 31, 2023 to Mar 30, 2024
- Pension RAUM · $1.3M to $1.5MMar 31, 2023 to Mar 30, 2024
- RAUM · $140M to $149MMar 31, 2023 to Mar 30, 2024
- Accounts · 336 to 331Mar 31, 2022 to Mar 31, 2023
- HNW clients · 35 to 38Mar 31, 2022 to Mar 31, 2023
- Individual clients · 113 to 112Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $132M to $135MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $90.8M to $99.5MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $32.4M to $31.5MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $1.9M to $4.9MMar 31, 2022 to Mar 31, 2023
- Pension RAUM · $2.6M to $1.3MMar 31, 2022 to Mar 31, 2023
- RAUM · $134M to $140MMar 31, 2022 to Mar 31, 2023
- Accounts · 328 to 336Oct 14, 2021 to Mar 31, 2022
- HNW clients · 41 to 35Oct 14, 2021 to Mar 31, 2022
- Individual clients · 99 to 113Oct 14, 2021 to Mar 31, 2022
Signals
1 dated events
- A•••••••• C••••••• L•• filed its initial SEC registration (Form ADV)May 3, 2021 · 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 email
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 317-818-7827reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- A••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 317-818-7827reportedpublic 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
- $83.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026