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
C•• F•••••••• G••••
Latest filing Jan 18, 2024
First filing on the tape Jan 6, 2012 · 23 filings
SEC status approved since Jan 7, 2011
RAUM
$279M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$279M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$279M as of Jan 18, 2024
Jan 6, 2012$356M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 18, 2024
Jan 6, 20120 then
Employees (5.A)1 as of Jan 18, 2024
Feb 22, 20131 then
Private funds: no history
RAUM -1.4% over the last fiscal year+5.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 18, 2024; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $279MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $7.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $289M, 35 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
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$279M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 37reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $289M for 35 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• R••••• F•••••• | Indianapolis, In | Aug 11, 2009 | 41 y | 2 |
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
- F••••••• C•••• R••••• · President & Chief Compliance Officercontrolsince 09/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jan 18, 2024discretionary share of RAUM of 0% against a peer median of 100% (1567 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $100M to $500M (1,567) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 35 to 37Feb 15, 2023 to Jan 18, 2024
- Pooled vehicle clients · 35 to 37Feb 15, 2023 to Jan 18, 2024
- Non-discretionary RAUM · $284M to $279MFeb 15, 2023 to Jan 18, 2024
- Pooled vehicle RAUM · $284M to $279MFeb 15, 2023 to Jan 18, 2024
- RAUM · $284M to $279MFeb 15, 2023 to Jan 18, 2024
- Non-discretionary RAUM · $289M to $284MMar 29, 2022 to Feb 15, 2023
- Pooled vehicle RAUM · $289M to $284MMar 29, 2022 to Feb 15, 2023
- RAUM · $289M to $284MMar 29, 2022 to Feb 15, 2023
- Accounts · 33 to 35Jan 8, 2021 to Mar 29, 2022
- Pooled vehicle clients · 33 to 35Jan 8, 2021 to Mar 29, 2022
- Assets in custody · $124M to $289MJan 8, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $238M to $289MJan 8, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $238M to $289MJan 8, 2021 to Mar 29, 2022
- RAUM · $238M to $289MJan 8, 2021 to Mar 29, 2022
- Accounts · 1 to 33Aug 24, 2020 to Jan 8, 2021
- Pooled vehicle clients · 1 to 33Aug 24, 2020 to Jan 8, 2021
- Non-discretionary RAUM · $124M to $238MAug 24, 2020 to Jan 8, 2021
- Pooled vehicle RAUM · $124M to $238MAug 24, 2020 to Jan 8, 2021
- RAUM · $124M to $238MAug 24, 2020 to Jan 8, 2021
- Accounts · 51 to 1Mar 4, 2020 to Aug 24, 2020
- Pooled vehicle clients · unset to 1.0Mar 4, 2020 to Aug 24, 2020
- Assets in custody · $95.0M to $124MMar 4, 2020 to Aug 24, 2020
- Non-discretionary RAUM · $95.0M to $124MMar 4, 2020 to Aug 24, 2020
- Pooled vehicle RAUM · unset to 123815000.0Mar 4, 2020 to Aug 24, 2020
- RAUM · $95.0M to $124MMar 4, 2020 to Aug 24, 2020
- Related adviser · true to falseMar 4, 2020 to Aug 24, 2020
- Assets in custody · $150M to $95.0MJan 15, 2019 to Mar 4, 2020
- Financial planning clients · 0 to unsetJan 15, 2019 to Mar 4, 2020
- Non-discretionary RAUM · $115M to $95.0MJan 15, 2019 to Mar 4, 2020
- RAUM · $115M to $95.0MJan 15, 2019 to Mar 4, 2020
- Accounts · 55 to 51Jan 8, 2018 to Jan 9, 2019
- Non-discretionary RAUM · $150M to $115MNov 20, 2017 to Jan 8, 2018
- RAUM · $150M to $115MNov 20, 2017 to Jan 8, 2018
- Other offices · unset to 0.0Sep 27, 2017 to Nov 20, 2017
- Related adviser · false to trueSep 18, 2017 to Sep 26, 2017
- Assets in custody · unset to 150000000.0Sep 14, 2017 to Sep 18, 2017
- Custody of client assets · false to trueSep 14, 2017 to Sep 18, 2017
- Accounts · 48 to 55Feb 5, 2016 to Apr 11, 2017
- Non-discretionary RAUM · $257M to $150MFeb 5, 2016 to Apr 11, 2017
- RAUM · $257M to $150MFeb 5, 2016 to Apr 11, 2017
Signals
1 dated events
- C•• F•••••••• G•••• reported RAUM $237.8M, up 92% from $123.8M (2020-08-24 to 2021-01-08)Jan 8, 2021 · RAUM change · derived
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
- Website
- w••.h•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-844-8077reportedpublic record, Form ADV, Jan 18, 2024
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $279Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026