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.
SEC-registered adviser
Canterbury Investment Management, LLC
Latest filing Mar 6, 2026
First filing on the tape Jan 9, 2012 · 19 filings
SEC status approved since Mar 14, 2003
RAUM
$69.8M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
88%
$61.2M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$34.9M
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
19 filings and snapshots on the tape
RAUM$69.8M as of Mar 6, 2026
Mar 22, 2012$122M then
HNW client RAUM$53.1M as of Mar 6, 2026
Mar 16, 2018$30.1M then
State-registered IARs (5.B.3)2 as of Mar 6, 2026
Mar 20, 20130 then
Employees (5.A)2 as of Mar 6, 2026
Mar 20, 20131 then
Private funds: no history
RAUM +8.2% over the last fiscal year-8.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 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
- $34.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $691,484derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%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
- +8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -17%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, educational seminarsreportedItem 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$53.1M76%
- Investment companies$8.4M12%
- Individuals$8.1M12%
- Other investment advisers$296,5230.4%
- Individual clients
- 29reported
- HNW clients
- 16reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 101reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.12 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 |
|---|---|---|---|---|
| Thomas Lee HardinCertified Financial Planner | Zionsville, In | Apr 2, 2003 | 45 y | 1 |
| Kimberly Jo Custer | Zionsville, In | Sep 26, 2014 | 25 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 headcount1 left over 36 months
Left, latest
- Brandon Bischof to UBS Financial Services Inc.Mar 12, 2025 · RIA to wirehouse
- Tyler Ray Needler to Wealth Advisory Solutions, LLCFeb 26, 2019 · Other
- Kregg Anthony Kiel to Kiel Investment CompanyMay 2, 2017 · Other
Joined, latest
- Tyler Ray Needler from Elkhorn InvestmentsAug 3, 2016 · Other
- Kregg Anthony Kiel from Kiel Investment CompanyFeb 3, 2016 · Other
- Thomas Lee Hardin from Citigroup Global Markets Inc.Apr 2, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lee Thomas Hardin · Ceocontrolsince 04/2003 · owns less than 5%
- Lee Thomas Hardin · Membercontrolsince 02/2003 · owns 75% or more of Canterbury Group, LLC
- Jo Kimberly Custer · Chief Compliance Officersince 04/2003 · owns less than 5%
Entity owners
- Canterbury Investment Management, LLC · Memberdirect · 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 |
|---|---|---|---|---|---|
| Zionsville, In · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 105 to 101Mar 6, 2025 to Mar 6, 2026
- Individual clients · 38 to 29Mar 6, 2025 to Mar 6, 2026
- Discretionary RAUM · $61.4M to $66.5MMar 6, 2025 to Mar 6, 2026
- HNW RAUM · $48.7M to $53.1MMar 6, 2025 to Mar 6, 2026
- Individual RAUM · $7.5M to $8.1MMar 6, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $3.2M to $3.4MMar 6, 2025 to Mar 6, 2026
- RAUM · $64.6M to $69.8MMar 6, 2025 to Mar 6, 2026
- Accounts · 109 to 105Mar 18, 2024 to Mar 6, 2025
- Advisory employees · 3 to 2Mar 18, 2024 to Mar 6, 2025
- HNW clients · 13 to 16Mar 18, 2024 to Mar 6, 2025
- Individual clients · 36 to 38Mar 18, 2024 to Mar 6, 2025
- Employees · 3 to 2Mar 18, 2024 to Mar 6, 2025
- Financial planning clients · 0 to 0Mar 18, 2024 to Mar 6, 2025
- State-registered IARs · 3 to 2Mar 18, 2024 to Mar 6, 2025
- Discretionary RAUM · $69.3M to $61.4MMar 18, 2024 to Mar 6, 2025
- HNW RAUM · $42.9M to $48.7MMar 18, 2024 to Mar 6, 2025
- Individual RAUM · $6.0M to $7.5MMar 18, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $3.0M to $3.2MMar 18, 2024 to Mar 6, 2025
- RAUM · $72.3M to $64.6MMar 18, 2024 to Mar 6, 2025
- Accounts · 386 to 109Mar 7, 2023 to Mar 18, 2024
- HNW clients · 11 to 13Mar 7, 2023 to Mar 18, 2024
- Individual clients · 37 to 36Mar 7, 2023 to Mar 18, 2024
- Employees · 4 to 3Mar 7, 2023 to Mar 18, 2024
- Discretionary RAUM · $87.9M to $69.3MMar 7, 2023 to Mar 18, 2024
- HNW RAUM · $41.5M to $42.9MMar 7, 2023 to Mar 18, 2024
- Individual RAUM · $6.5M to $6.0MMar 7, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $2.6M to $3.0MMar 7, 2023 to Mar 18, 2024
- RAUM · $90.5M to $72.3MMar 7, 2023 to Mar 18, 2024
- Accounts · 429 to 386Feb 25, 2022 to Mar 7, 2023
- HNW clients · 12 to 11Feb 25, 2022 to Mar 7, 2023
- Individual clients · 108 to 37Feb 25, 2022 to Mar 7, 2023
- Discretionary RAUM · $91.8M to $87.9MFeb 25, 2022 to Mar 7, 2023
- HNW RAUM · $46.9M to $41.5MFeb 25, 2022 to Mar 7, 2023
- Individual RAUM · $6.5M to $6.5MFeb 25, 2022 to Mar 7, 2023
- Non-discretionary RAUM · $4.0M to $2.6MFeb 25, 2022 to Mar 7, 2023
- RAUM · $95.8M to $90.5MFeb 25, 2022 to Mar 7, 2023
- Accounts · 1,642 to 429Mar 17, 2021 to Feb 25, 2022
- HNW clients · 13 to 12Mar 17, 2021 to Feb 25, 2022
- Individual clients · 55 to 108Mar 17, 2021 to Feb 25, 2022
- Discretionary RAUM · $98.1M to $91.8MMar 17, 2021 to Feb 25, 2022
Signals
1 dated events
- Brandon Bischof left Canterbury Investment Management, Llc for Ubs Financial Services Inc. (registered 2025-12-05)Mar 12, 2025 · Advisor changed firm · 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
- 317-732-2075reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- canterburygroup.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 317-732-2075reportedpublic record, Form ADV, Mar 6, 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
- $34.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026