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•• W••••• M••••••••• I•••
Latest filing Aug 21, 2026
First filing on the tape May 21, 2025 · 4 filings
SEC status approved since May 30, 2025
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$146M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$48.7M
derived; firm RAUM over IAPD count
Employees
4
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$146M as of Aug 21, 2026
May 21, 2025$112M then
HNW client RAUM$81.3M as of Aug 21, 2026
May 21, 2025$55.6M then
State-registered IARs (5.B.3)3 as of Aug 21, 2026
May 21, 20253 then
Employees (5.A)4 as of Aug 21, 2026
May 21, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 21, 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
- $48.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $160,650derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 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, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
- is an insurance broker or agent (6.A.6)
- 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)
- 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$81.3M56%
- Individuals$64.8M44%
- Individual clients
- 288reported
- HNW clients
- 39reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 909reported
- Financial planning clients
- 11-25reported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• R•• M••••••••Certified Financial Planner, Chartered Financial Consultant | Indianapolis, In | May 21, 2003 | 36 y | 1 |
| T•••• L••• K•••••• | Indianapolis, In | May 21, 2003 | 29 y | 1 |
| J•••••• J•••• G•••••• | Indianapolis, In | Oct 12, 2017 | 13 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
- T•••• L••• K•••••• from A••••••• G•••••• S••••••••• I•••••••••May 21, 2003 · Other
- M•••••• R•• M•••••••• from A••••••• G•••••• S••••••••• I•••••••••May 21, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• A••••• L••• · Member Officer/Membercontrolsince 03/2003 · 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 |
|---|---|---|---|---|---|
| Indianapolis, In · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 889 to 909May 14, 2026 to Aug 21, 2026
- HNW clients · 34 to 39May 14, 2026 to Aug 21, 2026
- Individual clients · 294 to 288May 14, 2026 to Aug 21, 2026
- Discretionary RAUM · $139M to $146MMay 14, 2026 to Aug 21, 2026
- HNW RAUM · $75.4M to $81.3MMay 14, 2026 to Aug 21, 2026
- Individual RAUM · $63.5M to $64.8MMay 14, 2026 to Aug 21, 2026
- RAUM · $139M to $146MMay 14, 2026 to Aug 21, 2026
- Accounts · 875 to 889Mar 16, 2026 to May 14, 2026
- Charity clients · unset to 0.0Mar 16, 2026 to May 14, 2026
- Corporate clients · unset to 0.0Mar 16, 2026 to May 14, 2026
- HNW clients · 29 to 34Mar 16, 2026 to May 14, 2026
- Individual clients · 295 to 294Mar 16, 2026 to May 14, 2026
- Pension plan clients · unset to 0.0Mar 16, 2026 to May 14, 2026
- Pooled vehicle clients · unset to 0.0Mar 16, 2026 to May 14, 2026
- Discretionary RAUM · $131M to $139MMar 16, 2026 to May 14, 2026
- HNW RAUM · $61.5M to $75.4MMar 16, 2026 to May 14, 2026
- Individual RAUM · $69.1M to $63.5MMar 16, 2026 to May 14, 2026
- Pension RAUM · unset to 0.0Mar 16, 2026 to May 14, 2026
- Pooled vehicle RAUM · unset to 0.0Mar 16, 2026 to May 14, 2026
- RAUM · $131M to $139MMar 16, 2026 to May 14, 2026
- Accounts · 755 to 875May 21, 2025 to Mar 16, 2026
- Individual clients · 317 to 295May 21, 2025 to Mar 16, 2026
- Discretionary RAUM · $112M to $131MMay 21, 2025 to Mar 16, 2026
- HNW RAUM · $55.6M to $61.5MMay 21, 2025 to Mar 16, 2026
- Individual RAUM · $56.2M to $69.1MMay 21, 2025 to Mar 16, 2026
- RAUM · $112M to $131MMay 21, 2025 to Mar 16, 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
- 317-780-1006reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/25042350reportedpublic record, Form ADV, Sep 19, 2026
- Website
- MFGWEALTHMGMT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 317-780-1006reportedpublic record, Form ADV, Aug 21, 2026
- Contact form
- mfgwealthmgmt.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- mfgwealthmgmt.com/who-we-are-1reportedpublished 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
- $48.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026