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
F••• Q••••••• W••••• A•••••••• I•••
Latest filing Feb 18, 2026
First filing on the tape Jun 1, 2022 · 11 filings
SEC status approved since Jul 1, 2022
RAUM
$219M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$219M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$27.4M
derived; firm RAUM over IAPD count
Employees
34
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$219M as of Feb 18, 2026
Feb 10, 2023$126M then
HNW client RAUM$204M as of Feb 18, 2026
Feb 10, 2023$97.5M then
State-registered IARs (5.B.3)6 as of Feb 18, 2026
Feb 10, 20236 then
Employees (5.A)34 as of Feb 18, 2026
Feb 10, 202317 then
Private funds: no history
RAUM +27% over the last fiscal year+20% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Feb 18, 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
- $27.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $396,779derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.3derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $219M, 100 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$204M93%
- Individuals$14.5M6.6%
- Individual clients
- 38reported
- HNW clients
- 62reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 552reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $219M for 100 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• R••• S•••• | Carmel, In | Mar 23, 2004 | 27 y | 1 |
| B••••• D• B••••• | Indianapolis, In | Apr 30, 2004 | 22 y | 0 |
| S•••• A••• P••••••• | Carmel, In | May 4, 2018 | 21 y | 1 |
| K•• O••• | Carmel, In | Dec 7, 2021 | 16 y | 1 |
| W•••••• G•••••• C••••••• | Carmel, In | Oct 4, 2023 | 10 y | 3 |
| M•••••• D••••• B••••Certified Financial Planner | Carmel, In | Sep 22, 2024 | 21 y | 5 |
| B•••• F•••••• | Carmel, In | Apr 15, 2025 | 12 y | 1 |
| J••• K••••••••• K•••Certified Financial Planner | Carmel, In | May 18, 2026 | 14 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
- S••••• N••• to F•••••••• E••••••••• G••••Sep 15, 2023 · RIA to RIA
- C•••• H••••• to C••••••• P•••••••Sep 11, 2023 · RIA to RIA
- C•••• J•••• B•••••• to C••••• C•••••• A•••••••• L••Apr 7, 2023 · RIA to RIA
- K••• R••••• T••••• to P•••• S••••••••• L••Apr 14, 2022 · RIA to affiliated broker-dealer or bank
- M••••• J••••• R••• to B•••• F•••••••• C••••••••• I••Feb 16, 2018 · Other
Joined, latest
- B•••• F•••••• from T••••••• A•••••• N••••••• L••Apr 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- M•••••• D••••• B•••• from P•••••••• A•••••••Sep 22, 2024 · Affiliated broker-dealer or bank to independent RIA
- W•••••• G•••••• C••••••• from M••••• P•••••• W••••• L••Oct 4, 2023 · RIA to RIA
- S••••• N••• from E•••••••• A•••••••• L••Jun 24, 2022 · Affiliated broker-dealer or bank to independent RIA
- C•••• H••••• from M•• I•••••••• S•••••••• L••Jun 21, 2022 · Affiliated broker-dealer or bank to independent RIA
- K••• R••••• T••••• from O••••• F•••••••• G••••• L••Mar 24, 2022 · RIA to RIA
- C•••• J•••• B•••••• from F••••• M••••• W••••• A•••••••• L••Dec 7, 2021 · RIA to RIA
- K•• O••• from F•••• C•••••• A••••••• S•••••••Dec 7, 2021 · Affiliated broker-dealer or bank to independent RIA
- S•••• A••• P••••••• from S•••••••• F••••••••• I•••May 4, 2018 · Affiliated broker-dealer or bank to independent RIA
- J•••• R••• S•••• from O•••• F•• I•••Mar 23, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• B•••••• D• · Chief Operating Officercontrolsince 08/2014 · owns 5% to 10%
- S••••• J••••• R••• · President/Chief Compliance Officercontrolsince 03/2004 · 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 |
|---|---|---|---|---|---|
| Carmel, In · principal | 8 | 1 | 0 | ||
| Indianapolis, In | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high employee count relative to a••••••sStatic outlier · filing Feb 18, 2026employees per registered advisor of 4.2 against a peer median of 1.2 (1314 comparable advisers, 99.0th percentile, 10.3 robust deviations)peers: independent wealth managers, $100M to $500M (1,314) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 484 to 552Oct 23, 2025 to Feb 18, 2026
- HNW clients · 63 to 62Oct 23, 2025 to Feb 18, 2026
- Individual clients · 34 to 38Oct 23, 2025 to Feb 18, 2026
- Assets in custody · $173M to $219MOct 23, 2025 to Feb 18, 2026
- Discretionary RAUM · $172M to $219MOct 23, 2025 to Feb 18, 2026
- HNW RAUM · $160M to $204MOct 23, 2025 to Feb 18, 2026
- Individual RAUM · $11.7M to $14.5MOct 23, 2025 to Feb 18, 2026
- RAUM · $172M to $219MOct 23, 2025 to Feb 18, 2026
- Accounts · 453 to 484Sep 26, 2024 to Mar 17, 2025
- HNW clients · 34 to 63Sep 26, 2024 to Mar 17, 2025
- Individual clients · 64 to 34Sep 26, 2024 to Mar 17, 2025
- Assets in custody · $135M to $173MSep 26, 2024 to Mar 17, 2025
- Employees · 25 to 34Sep 26, 2024 to Mar 17, 2025
- Financial planning clients · 51-100 to 51-100Sep 26, 2024 to Mar 17, 2025
- Discretionary RAUM · $135M to $172MSep 26, 2024 to Mar 17, 2025
- HNW RAUM · $64.6M to $160MSep 26, 2024 to Mar 17, 2025
- Individual RAUM · $70.4M to $11.7MSep 26, 2024 to Mar 17, 2025
- RAUM · $135M to $172MSep 26, 2024 to Mar 17, 2025
- Accounts · 479 to 453Feb 10, 2023 to Feb 29, 2024
- HNW clients · 37 to 34Feb 10, 2023 to Feb 29, 2024
- Individual clients · 59 to 64Feb 10, 2023 to Feb 29, 2024
- Assets in custody · $8.7M to $135MFeb 10, 2023 to Feb 29, 2024
- Employees · 17 to 25Feb 10, 2023 to Feb 29, 2024
- Discretionary RAUM · $126M to $135MFeb 10, 2023 to Feb 29, 2024
- HNW RAUM · $97.5M to $64.6MFeb 10, 2023 to Feb 29, 2024
- Individual RAUM · $28.6M to $70.4MFeb 10, 2023 to Feb 29, 2024
- RAUM · $126M to $135MFeb 10, 2023 to Feb 29, 2024
- Accounts · 442 to 479Oct 25, 2022 to Feb 10, 2023
- Advisory employees · 5 to 6Oct 25, 2022 to Feb 10, 2023
- HNW clients · 45 to 37Oct 25, 2022 to Feb 10, 2023
- Individual clients · 45 to 59Oct 25, 2022 to Feb 10, 2023
- Assets in custody · $4.8M to $8.7MOct 25, 2022 to Feb 10, 2023
- Employees · 10 to 17Oct 25, 2022 to Feb 10, 2023
- State-registered IARs · 5 to 6Oct 25, 2022 to Feb 10, 2023
- Discretionary RAUM · $125M to $126MOct 25, 2022 to Feb 10, 2023
- HNW RAUM · $20.0M to $97.5MOct 25, 2022 to Feb 10, 2023
- Individual RAUM · $105M to $28.6MOct 25, 2022 to Feb 10, 2023
- RAUM · $125M to $126MOct 25, 2022 to Feb 10, 2023
Signals
5 dated events
- S••••• N••• left F••• Q••••••• W••••• A•••••••• I••• for F•••••••• E••••••••• G•••• (registered 2023-09-29)Sep 15, 2023 · a•••••• firm change · fact
- C•••• H••••• left F••• Q••••••• W••••• A•••••••• I••• for C••••••• P••••••• (registered 2023-07-20)Sep 11, 2023 · a•••••• firm change · fact
- C•••• J•••• B•••••• left F••• Q••••••• W••••• A•••••••• I••• for C••••• C•••••• A•••••••• L•• (registered 2022-05-11)Apr 7, 2023 · a•••••• firm change · fact
- F••• Q••••••• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jun 1, 2022 · ria f•••• adv filing · fact
- K••• R••••• T••••• left F••• Q••••••• W••••• A•••••••• I••• for P•••• S••••••••• L•• (registered 2022-10-18)Apr 14, 2022 · a•••••• firm change · 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 email
- info@4quadrant.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-720-6213reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/four-quadrants-advisoryreportedpublic record, Form ADV, Sep 18, 2026
- Website
- 4quadrant.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 877-441-5144reportedpublic 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
- $27.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026