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.

Former SEC-registered adviser

The Index Group, Limited Liability Company

Former SEC-registered adviserColorado Springs, ColoradoCRD 131670SEC 801-66358IAPD
Latest filing Jul 5, 2019
First filing on the tape Feb 28, 2012 · 23 filings
RAUM
$32.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$32.3M as of Feb 15, 2019
Feb 28, 2012$35.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 15, 2019
Feb 28, 20120 then
Employees (5.A)2 as of Feb 15, 2019
Apr 1, 20132 then
Private funds: no history
RAUM +7.5% over the last fiscal year+119% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 5, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$32.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+7.5%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$32.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Wendall David Collett · Chief Compliance Officercontrol
    since 04/2018 · owns less than 5%
  • Todd Steven Johnson · Secretarycontrol
    since 03/2015 · owns less than 5%
  • Glenn Michael Willis · President/Ownercontrol
    since 04/2004 · owns 75% or more
  • Todd Steven Johnson · Membercontrol
    since 02/2014 · owns 75% or more of Stoa Capital Development, LLC
Entity owners
  • Stoa Capital Development, LLC · Owner
    direct · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Succession · true to false
    Jul 3, 2019 to Jul 5, 2019
  • Business name · THE INDEX GROUP, INC. to THE INDEX GROUP, LIMITED LIABILITY COMPANY
    Jul 2, 2019 to Jul 3, 2019
  • Organization form · Corporation to Limited Liability Company
    Jul 2, 2019 to Jul 3, 2019
  • Succession · false to true
    Jul 2, 2019 to Jul 3, 2019
  • Legal name · THE INDEX GROUP, INC. to THE INDEX GROUP, LLC
    Jun 28, 2019 to Jul 2, 2019
  • Legal name · THE INDEX GROUP, LLC to THE INDEX GROUP, LIMITED LIABILITY COMPANY
    Jul 2, 2019 to Jul 2, 2019
  • BD registered reps · 1 to 0
    Apr 18, 2018 to Feb 15, 2019
  • Employees · 3 to 2
    Apr 18, 2018 to Feb 15, 2019
  • State-registered IARs · 1 to 0
    Apr 18, 2018 to Feb 15, 2019
  • Discretionary RAUM · $30.0M to $32.3M
    Apr 18, 2018 to Feb 15, 2019
  • RAUM · $30.0M to $32.3M
    Apr 18, 2018 to Feb 15, 2019
  • Employees · 2 to 3
    Feb 21, 2018 to Apr 18, 2018
  • State-registered IARs · 0 to 1
    Feb 21, 2018 to Apr 18, 2018
  • Employees · 3 to 2
    Jun 5, 2017 to Feb 21, 2018
  • State-registered IARs · 1 to 0
    Jun 5, 2017 to Feb 21, 2018
  • Other offices · unset to 1.0
    Jun 5, 2017 to Feb 21, 2018
  • Discretionary RAUM · $12.1M to $30.0M
    Jun 5, 2017 to Feb 21, 2018
  • RAUM · $12.1M to $30.0M
    Jun 5, 2017 to Feb 21, 2018
  • Discretionary RAUM · $4.2M to $12.1M
    Nov 2, 2016 to Mar 29, 2017
  • RAUM · $4.2M to $12.1M
    Nov 2, 2016 to Mar 29, 2017
  • Employees · 2 to 3
    Mar 31, 2016 to Oct 31, 2016
  • State-registered IARs · 0 to 1
    Mar 31, 2016 to Oct 31, 2016
  • Discretionary RAUM · $3.1M to $4.2M
    Mar 31, 2016 to Oct 31, 2016
  • RAUM · $3.1M to $4.2M
    Mar 31, 2016 to Oct 31, 2016
  • BD registered reps · 0 to 1
    Jul 1, 2015 to Mar 31, 2016
  • Discretionary RAUM · $2.5M to $3.1M
    Jul 1, 2015 to Mar 31, 2016
  • RAUM · $2.5M to $3.1M
    Jul 1, 2015 to Mar 31, 2016
  • Accounts · 6 to 1
    Jun 19, 2015 to Jul 1, 2015
  • Advisory activities · 4 to 3
    Jun 19, 2015 to Jul 1, 2015
  • Discretionary RAUM · $32.6M to $2.5M
    Jun 19, 2015 to Jul 1, 2015
  • RAUM · $32.6M to $2.5M
    Jun 19, 2015 to Jul 1, 2015
  • Employees · 3 to 2
    Mar 31, 2015 to Jun 19, 2015
  • Business name · INDEX ASSET MANAGEMENT, INC. to THE INDEX GROUP, INC.
    Jun 19, 2015 to Jun 19, 2015
  • Legal name · INDEX ASSET MANAGEMENT, INC. to THE INDEX GROUP, INC.
    Jun 19, 2015 to Jun 19, 2015
  • Accounts · 9 to 6
    Nov 17, 2014 to Mar 31, 2015
  • Business name · THE WILLIS GROUP to INDEX ASSET MANAGEMENT, INC.
    Nov 17, 2014 to Mar 31, 2015
  • Legal name · THE WILLIS GROUP, INC. to INDEX ASSET MANAGEMENT, INC.
    Nov 17, 2014 to Mar 31, 2015
  • Discretionary RAUM · $34.2M to $32.6M
    Nov 17, 2014 to Mar 31, 2015
  • RAUM · $34.2M to $32.6M
    Nov 17, 2014 to Mar 31, 2015
  • Discretionary RAUM · $35.6M to $34.2M
    Mar 31, 2014 to Nov 17, 2014
Signals
2 dated events
  • The Index Group, Limited Liability Company reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Jul 3, 2019 · Succession (Item 4) · fact
  • Wendall David Collett (Chief Compliance Officer) appeared on Schedule A of The Index Group, Limited Liability Company
    Feb 15, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026