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
M••••••••• A•••• M••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Apr 22, 2025 · 3 filings
SEC status approved since May 22, 2025
RAUM
$176M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$169M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$44.0M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$176M as of Mar 31, 2026
Apr 22, 2025$125M then
HNW client RAUM$154M as of Mar 31, 2026
Apr 22, 2025$103M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Apr 22, 20253 then
Employees (5.A)4 as of Mar 31, 2026
Apr 22, 20253 then
Private funds: no history
RAUM +41% over the last fiscal yearIARs 3 to 4offices 2 to 1
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
- RAUM per advisor
- $44.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $552,186derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $4.2M, 4 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$154M87%
- Individuals$15.7M8.9%
- Charitable organizations$6.9M3.9%
- Individual clients
- 55reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 319reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.2M for 4 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• A••••• M••••••••• | Danville, Il | May 12, 2003 | 23 y | 0 |
| R••• J•••• M••••••••• | Danville, Il | Feb 7, 2006 | 23 y | 0 |
| J•••• E••••• K•••• | Lafayette, In | May 1, 2024 | 23 y | 0 |
| J•••• T••••• P•••••Certified Financial Planner | Lafayette, In | May 27, 2026 | 13 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J•••• T••••• P••••• from W•••••• A•••••••• L••May 27, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• D•••••• A••••• · Chairman Of The Boardcontrolsince 04/2003 · owns 50% to 75%
- M••••••••• R•••• J•••• · President & Chief Investment Officer & Chief Compliance Officercontrolsince 06/2003 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Danville, Il · principal | 2 | 0 | 0 | ||
| Lafayette, In | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $125,317,842 to $176,147,241 (+41.0%) between the annual amendments of 2025-04-22 and 2026-03-31; the peer median change was +15.0% (4550 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 93% percentile
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-08-28, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 281 to 319Aug 28, 2025 to Mar 31, 2026
- Advisory employees · 3 to 4Aug 28, 2025 to Mar 31, 2026
- HNW clients · 41 to 56Aug 28, 2025 to Mar 31, 2026
- Individual clients · 58 to 55Aug 28, 2025 to Mar 31, 2026
- Assets in custody · unset to 4239630.0Aug 28, 2025 to Mar 31, 2026
- Custody of client assets · false to trueAug 28, 2025 to Mar 31, 2026
- Employees · 3 to 4Aug 28, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 26-50Aug 28, 2025 to Mar 31, 2026
- HQ city · to DANVILLEAug 28, 2025 to Mar 31, 2026
- HQ state · to ILAug 28, 2025 to Mar 31, 2026
- State-registered IARs · 3 to 4Aug 28, 2025 to Mar 31, 2026
- Other offices · 2 to 1Aug 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $125M to $176MAug 28, 2025 to Mar 31, 2026
- HNW RAUM · $103M to $154MAug 28, 2025 to Mar 31, 2026
- Individual RAUM · $15.3M to $15.7MAug 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $254,822 to $124,630Aug 28, 2025 to Mar 31, 2026
- RAUM · $125M to $176MAug 28, 2025 to Mar 31, 2026
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
- 217-442-6484reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 765-463-1419reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- MAMINVESTING.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 217-442-6484reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- maminvesting.com/contact-usreportedpublished 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
- $44.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026