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•••
Legal name C••••••••• F•••••••• C••••••••• I••••••••• I•••
Latest filing Feb 18, 2026
First filing on the tape Mar 3, 2012 · 38 filings
SEC status approved since Mar 4, 2004
RAUM
$596M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$547M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$54.1M
derived; firm RAUM over IAPD count
Employees
22
21 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$596M as of Feb 18, 2026
Mar 3, 2012$91.4M then
HNW client RAUM$337M as of Feb 18, 2026
Jan 22, 2018$82.5M then
State-registered IARs (5.B.3)10 as of Feb 18, 2026
Jan 29, 20137 then
Employees (5.A)22 as of Feb 18, 2026
Jan 29, 20137 then
Private funds: no history
RAUM +16% over the last fiscal year+16% a year over threeIARs 10 to 10offices 1 to 2
Practice profile
derived from the filing of Feb 18, 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
- RAUM per advisor
- $54.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $549,922derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $84.8M, 179 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$337M57%
- Individuals$210M35%
- Charitable organizations$48.6M8.2%
- Individual clients
- 930reported
- HNW clients
- 148reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 1,083reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $84.8M for 179 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=10.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• L•• H••••••• | Bloomington, In | Jun 18, 2004 | 30 y | 2 |
| D••••• L•• H••• | Bloomington, In | Jan 25, 2005 | 25 y | 2 |
| J••••• C•••• N••••• | Bloomington, In | Aug 16, 2019 | 10 y | 0 |
| C••••• L•• V••••••••• | Bloomington, In | Nov 5, 2021 | 32 y | 1 |
| E••• G•••••• N••••••• | Bloomington, In | Nov 8, 2021 | 36 y | 1 |
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
- E••• Q•••••• G•••••• to B••• C••• P•••••••Jan 23, 2023 · Other
- G•••••• A••• S•••• to B••• C••• P•••••••Nov 17, 2022 · Other
- D•••• E••• M••••• to C••••••••• F•••••••• C•••••••••Jul 17, 2013 · Other
- S•••• W•••• C••••••• to S••Feb 24, 2006 · Other
Joined, latest
- E••• G•••••• N••••••• from N••••••• • V••••••••• I•••Nov 8, 2021 · Other
- C••••• L•• V••••••••• from N••••••• • V••••••••• I•••Nov 5, 2021 · Other
- D•••• E••• M••••• from S••Sep 22, 2009 · Other
- S•••• W•••• C••••••• from S••Mar 21, 2005 · Other
- D••••• L•• H••• from S••Jan 25, 2005 · Other
- R••••• L•• H••••••• from S••Jun 18, 2004 · Other
- D•••••• B• H••••• from S••Jun 18, 2004 · Other
- D•••• K•••• H••• from S••Oct 22, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N••••••• • V••••••••• I•••Mar 8, 2022 · East Lansing, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• D•••••• L•• · Treasurer/Secretary/Ccocontrolsince 08/2003 · owns 5% to 10%
- H•••• D••••• K•••• · Presidentcontrolsince 08/2003 · owns 75% or more
- H•••••••• R•••••• L•• · Shareholdersince 05/2009 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Bloomington, In · principal | 11 | 1 | 0 | ||
| East Lansing, Mi | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- East Lansing, MI2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Feb 18, 2026accounts (Item 5.F.2.f) moved from 2,612.0 to 1,083.0 (-59.0%) between the annual amendments of 2025-02-15 and 2026-02-18; the peer median change was +6.0% (1256 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 1.4% percentile
What changed
consecutive filings, newest first
- Accounts · 2,612 to 1,083Oct 23, 2025 to Feb 18, 2026
- Advisory employees · 18 to 21Oct 23, 2025 to Feb 18, 2026
- BD registered reps · 9 to 10Oct 23, 2025 to Feb 18, 2026
- HNW clients · 120 to 148Oct 23, 2025 to Feb 18, 2026
- Individual clients · 988 to 930Oct 23, 2025 to Feb 18, 2026
- Assets in custody · $50.9M to $84.8MOct 23, 2025 to Feb 18, 2026
- Employees · 20 to 22Oct 23, 2025 to Feb 18, 2026
- Insurance-licensed employees · 6 to 7Oct 23, 2025 to Feb 18, 2026
- Discretionary RAUM · $515M to $596MOct 23, 2025 to Feb 18, 2026
- HNW RAUM · $258M to $337MOct 23, 2025 to Feb 18, 2026
- Individual RAUM · $212M to $210MOct 23, 2025 to Feb 18, 2026
- RAUM · $515M to $596MOct 23, 2025 to Feb 18, 2026
- Business name · C••••••••• F•••••••• C••••••••• I••••••••• I••• to C•••Feb 15, 2025 to Aug 19, 2025
- Other offices · 1 to 2Feb 15, 2025 to Aug 19, 2025
- Accounts · 1,168 to 2,612Oct 16, 2024 to Feb 15, 2025
- Charity clients · 4 to 5Oct 16, 2024 to Feb 15, 2025
- HNW clients · 96 to 120Oct 16, 2024 to Feb 15, 2025
- Individual clients · 1,068 to 988Oct 16, 2024 to Feb 15, 2025
- Assets in custody · $115,682 to $50.9MOct 16, 2024 to Feb 15, 2025
- Insurance-licensed employees · 8 to 6Oct 16, 2024 to Feb 15, 2025
- Financial planning clients · unset to Oct 16, 2024 to Feb 15, 2025
- State-registered IARs · 11 to 10Oct 16, 2024 to Feb 15, 2025
- Discretionary RAUM · $432M to $515MOct 16, 2024 to Feb 15, 2025
- HNW RAUM · $186M to $258MOct 16, 2024 to Feb 15, 2025
- Individual RAUM · $203M to $212MOct 16, 2024 to Feb 15, 2025
- RAUM · $432M to $515MOct 16, 2024 to Feb 15, 2025
- Accounts · 2,330 to 1,168Oct 17, 2023 to Feb 22, 2024
- Charity clients · 1 to 4Oct 17, 2023 to Feb 22, 2024
- HNW clients · 76 to 96Oct 17, 2023 to Feb 22, 2024
- Individual clients · 1,119 to 1,068Oct 17, 2023 to Feb 22, 2024
- Assets in custody · $85,476 to $115,682Oct 17, 2023 to Feb 22, 2024
- Insurance-licensed employees · 6 to 8Oct 17, 2023 to Feb 22, 2024
- Discretionary RAUM · $381M to $432MOct 17, 2023 to Feb 22, 2024
- HNW RAUM · $165M to $186MOct 17, 2023 to Feb 22, 2024
- Individual RAUM · $175M to $203MOct 17, 2023 to Feb 22, 2024
- RAUM · $381M to $432MOct 17, 2023 to Feb 22, 2024
- Accounts · 2,138 to 2,330Nov 17, 2022 to Feb 8, 2023
- Advisory employees · 16 to 18Nov 17, 2022 to Feb 8, 2023
- BD registered reps · 10 to 9Nov 17, 2022 to Feb 8, 2023
- HNW clients · 58 to 76Nov 17, 2022 to Feb 8, 2023
Signals
4 dated events
- Quinten Eric Giesler (Cco/Managing Director) no longer on Schedule A of C••• (listed 2022-11-17, absent 2023-02-08)Feb 8, 2023 · Control person left · inference
- E••• Q•••••• G•••••• left C••• for B••• C••• P••••••• (registered 2013-04-30)Jan 23, 2023 · Advisor changed firm · fact
- G•••••• A••• S•••• left C••• for B••• C••• P••••••• (registered 2020-10-14)Nov 17, 2022 · Advisor changed firm · fact
- 2 advisors left N••••••• • V••••••••• I••• (East Lansing, MI) for C••• on the same dayMar 8, 2022 · Team lift-out · 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
- Business phone
- 517-200-9425reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 517-200-9477reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 517-337-1767reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- nvinvestmentadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 812-334-3190reportedpublic record, Form ADV, Feb 18, 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
- $54.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026