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
S••••••• I••••••••• M•••••••••
Legal name S••••••• I••••••••• M••••••••• C•••••••••
Latest filing Mar 16, 2026
First filing on the tape Jan 19, 2012 · 4 filings
SEC status approved since Jun 23, 2025
RAUM
$156M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
93%
$146M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$52.1M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$156M as of Mar 16, 2026
May 27, 2025$140M then
HNW client RAUM$99.3M as of Mar 16, 2026
May 27, 2025$85.7M then
State-registered IARs (5.B.3)3 as of Mar 16, 2026
May 27, 20253 then
Employees (5.A)3 as of Mar 16, 2026
May 27, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 16, 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
- $52.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 170derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $198,250derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $144M, 168 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$99.3M64%
- Individuals$46.7M30%
- Corporations and businesses$6.1M3.9%
- Pension and profit-sharing plans$3.6M2.3%
- State and municipal entities$419,5680.3%
- Charitable organizations$194,9470.1%
- Individual clients
- 425reported
- HNW clients
- 86reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 789reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $144M for 168 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• W•••••• C•••••• | Terre Haute, In | Oct 18, 2000 | 42 y | 0 |
| J•• E• B•••••••• | Terre Haute, In | Jan 19, 2001 | 26 y | 0 |
| B•••• R• O••••• | Terre Haute, In | Jun 3, 2022 | 21 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
- B••••••••• J••• E• · Vice President And Chief Compliance Officercontrolsince 05/2000 · owns 50% to 75%
- C••••••• J•••• W•••••• · Presidentcontrolsince 05/2000 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Terre Haute, In · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 16, 2026pension consulting (Item 5.G.6): no on the filing of 2025-05-27, yes on the filing of 2026-03-16peers: independent wealth managers, $100M to $500M (5,678)
- business activity changedChange between filings · filing Mar 16, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-05-27, yes on the filing of 2026-03-16peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 749 to 789May 27, 2025 to Mar 16, 2026
- Advisory activities · 3 to 5May 27, 2025 to Mar 16, 2026
- Corporate clients · 7 to 10May 27, 2025 to Mar 16, 2026
- HNW clients · 75 to 86May 27, 2025 to Mar 16, 2026
- Individual clients · 360 to 425May 27, 2025 to Mar 16, 2026
- Pension plan clients · unset to 5.0May 27, 2025 to Mar 16, 2026
- Assets in custody · $129M to $144MMay 27, 2025 to Mar 16, 2026
- Employees · 5 to 3May 27, 2025 to Mar 16, 2026
- Discretionary RAUM · $138M to $154MMay 27, 2025 to Mar 16, 2026
- HNW RAUM · $85.7M to $99.3MMay 27, 2025 to Mar 16, 2026
- Individual RAUM · $43.5M to $46.7MMay 27, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $2.0M to $2.9MMay 27, 2025 to Mar 16, 2026
- Pension RAUM · $2.4M to $3.6MMay 27, 2025 to Mar 16, 2026
- RAUM · $140M to $156MMay 27, 2025 to Mar 16, 2026
- Accounts · 365 to 749Mar 22, 2012 to May 27, 2025
- Advisory employees · unset to 3.0Mar 22, 2012 to May 27, 2025
- Advisory activities · 4 to 3Mar 22, 2012 to May 27, 2025
- Corporate clients · unset to 7.0Mar 22, 2012 to May 27, 2025
- HNW clients · unset to 75.0Mar 22, 2012 to May 27, 2025
- Individual clients · unset to 360.0Mar 22, 2012 to May 27, 2025
- Pooled vehicle clients · unset to 0.0Mar 22, 2012 to May 27, 2025
- Assets in custody · unset to 129228775.0Mar 22, 2012 to May 27, 2025
- Custody of client assets · false to trueMar 22, 2012 to May 27, 2025
- Employees · unset to 5.0Mar 22, 2012 to May 27, 2025
- Financial planning clients · 51-100 to 101-250Mar 22, 2012 to May 27, 2025
- State-registered IARs · 0 to 3Mar 22, 2012 to May 27, 2025
- Other offices · unset to 0.0Mar 22, 2012 to May 27, 2025
- Discretionary RAUM · $36.9M to $138MMar 22, 2012 to May 27, 2025
- HNW RAUM · unset to 85718423.0Mar 22, 2012 to May 27, 2025
- Individual RAUM · unset to 43450510.0Mar 22, 2012 to May 27, 2025
- Non-discretionary RAUM · $0 to $2.0MMar 22, 2012 to May 27, 2025
- Pension RAUM · unset to 2380448.0Mar 22, 2012 to May 27, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 22, 2012 to May 27, 2025
- RAUM · $36.9M to $140MMar 22, 2012 to May 27, 2025
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 phone
- 812-238-8484reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (812) 238-8484reportedpublic record, Form ADV, Mar 16, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $52.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026