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

Column Capital Advisors, LLC

Former SEC-registered adviserIndianapolis, IndianaCRD 135118SEC 801-64213IAPD
Latest filing Apr 1, 2024
First filing on the tape Mar 22, 2012 · 35 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
22 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$1.3B as of Mar 27, 2023
Mar 22, 2012$392M then
HNW client RAUM$1.1B as of Mar 27, 2023
Mar 22, 2018$743M then
State-registered IARs (5.B.3)16 as of Apr 1, 2024
Mar 22, 20120 then
Employees (5.A)22 as of Apr 1, 2024
Mar 8, 201312 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 16 to 16
Practice profile
derived from the filing of Apr 1, 2024; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
5.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Douglas Kevin Sweet · Directorcontrol
      since 05/2005 · owns less than 5%
    • Williams Brian Upchurch · Managing Directorcontrol
      since 05/2005 · owns less than 5%
    • Jen-Chie Jeffrey Yu · Chief Compliance Officercontrol
      since 05/2007 · owns less than 5%
    • Douglas Kevin Sweet · Shareholdercontrol
      since 05/2005 · owns 25% to 50% of Column Capital Group, Ltd.
    • Williams Brian Upchurch · Managing Directorcontrol
      since 05/2005 · owns 50% to 75% of Column Capital Group, Ltd.
    • Jen-Chie Jeffrey Yu · Shareholdercontrol
      since 07/2008 · owns F of Column Capital Group, Ltd.
    Entity owners
    • Column Capital Group, Ltd. · Corporation / Holding Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Ft Myers, Fl000
    Indianapolis, In · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1634.0 to unset
      Nov 1, 2023 to Apr 1, 2024
    • Charity clients · 9.0 to unset
      Nov 1, 2023 to Apr 1, 2024
    • Corporate clients · 6.0 to unset
      Nov 1, 2023 to Apr 1, 2024
    • HNW clients · 242.0 to unset
      Nov 1, 2023 to Apr 1, 2024
    • Individual clients · 103.0 to unset
      Nov 1, 2023 to Apr 1, 2024
    • Assets in custody · 618707005.0 to unset
      Nov 1, 2023 to Apr 1, 2024
    • Custody of client assets · true to false
      Nov 1, 2023 to Apr 1, 2024
    • Discretionary RAUM · 1206325951.0 to unset
      Nov 1, 2023 to Apr 1, 2024
    • HNW RAUM · 1054407395.0 to unset
      Nov 1, 2023 to Apr 1, 2024
    • Individual RAUM · 55514787.0 to unset
      Nov 1, 2023 to Apr 1, 2024
    • Non-discretionary RAUM · 52703962.0 to unset
      Nov 1, 2023 to Apr 1, 2024
    • Pension RAUM · 8530209.0 to unset
      Nov 1, 2023 to Apr 1, 2024
    • RAUM · 1259029913.0 to unset
      Nov 1, 2023 to Apr 1, 2024
    • Related adviser · false to true
      Mar 28, 2023 to Nov 1, 2023
    • Related broker-dealer · false to true
      Mar 28, 2023 to Nov 1, 2023
    • Accounts · 1,608 to 1,634
      Sep 6, 2022 to Mar 27, 2023
    • Advisory employees · 20 to 22
      Sep 6, 2022 to Mar 27, 2023
    • Charity clients · 7 to 9
      Sep 6, 2022 to Mar 27, 2023
    • HNW clients · 257 to 242
      Sep 6, 2022 to Mar 27, 2023
    • Individual clients · 68 to 103
      Sep 6, 2022 to Mar 27, 2023
    • Assets in custody · $713M to $619M
      Sep 6, 2022 to Mar 27, 2023
    • State-registered IARs · 15 to 16
      Sep 6, 2022 to Mar 27, 2023
    • Other offices · 3 to 2
      Sep 6, 2022 to Mar 27, 2023
    • Discretionary RAUM · $1.3B to $1.2B
      Sep 6, 2022 to Mar 27, 2023
    • HNW RAUM · $1.2B to $1.1B
      Sep 6, 2022 to Mar 27, 2023
    • Individual RAUM · $37.0M to $55.5M
      Sep 6, 2022 to Mar 27, 2023
    • Non-discretionary RAUM · $57.8M to $52.7M
      Sep 6, 2022 to Mar 27, 2023
    • Pension RAUM · $8.7M to $8.5M
      Sep 6, 2022 to Mar 27, 2023
    • RAUM · $1.3B to $1.3B
      Sep 6, 2022 to Mar 27, 2023
    • Accounts · 1,482 to 1,608
      Nov 9, 2021 to Mar 30, 2022
    • Charity clients · 5 to 7
      Nov 9, 2021 to Mar 30, 2022
    • HNW clients · 231 to 257
      Nov 9, 2021 to Mar 30, 2022
    • Individual clients · 67 to 68
      Nov 9, 2021 to Mar 30, 2022
    • Assets in custody · $803M to $713M
      Nov 9, 2021 to Mar 30, 2022
    • Employees · 20 to 22
      Nov 9, 2021 to Mar 30, 2022
    • State-registered IARs · 16 to 15
      Nov 9, 2021 to Mar 30, 2022
    • Other offices · 2 to 3
      Nov 9, 2021 to Mar 30, 2022
    • Discretionary RAUM · $1.1B to $1.3B
      Nov 9, 2021 to Mar 30, 2022
    • HNW RAUM · $1.0B to $1.2B
      Nov 9, 2021 to Mar 30, 2022
    • Individual RAUM · $36.8M to $37.0M
      Nov 9, 2021 to Mar 30, 2022
    Signals
    17 dated events
    • Sarah Little Grecco left Column Capital Advisors, Llc for Captrust (registered 2023-10-16)
      Aug 9, 2024 · Advisor changed firm · fact
    • Casey James Bollock left Column Capital Advisors, Llc for Captrust (registered 2023-11-01)
      Aug 9, 2024 · Advisor changed firm · fact
    • Justin Paul Kassanits left Column Capital Advisors, Llc for Captrust (registered 2023-10-16)
      Aug 9, 2024 · Advisor changed firm · fact
    • Mark August Deprez left Column Capital Advisors, Llc for Captrust (registered 2023-10-16)
      Aug 9, 2024 · Advisor changed firm · fact
    • Kevin Douglas Sweet left Column Capital Advisors, Llc for Captrust (registered 2023-10-16)
      Aug 9, 2024 · Advisor changed firm · fact
    • Brian Upchurch left Column Capital Advisors, Llc for Captrust (registered 2023-10-16)
      Aug 9, 2024 · Advisor changed firm · fact
    • Bradley Yu left Column Capital Advisors, Llc for Captrust (registered 2023-10-16)
      Aug 9, 2024 · Advisor changed firm · fact
    • Mariah Lynn Day left Column Capital Advisors, Llc for Captrust (registered 2023-10-31)
      Aug 9, 2024 · Advisor changed firm · fact
    • Charlsie Irene Ashlock left Column Capital Advisors, Llc for Captrust (registered 2023-10-23)
      Aug 9, 2024 · Advisor changed firm · fact
    • Ryan Thomas Konop left Column Capital Advisors, Llc for Captrust (registered 2023-10-16)
      Aug 9, 2024 · Advisor changed firm · fact
    • Sheri Lynn Kendall left Column Capital Advisors, Llc for Captrust (registered 2023-10-16)
      Aug 9, 2024 · Advisor changed firm · fact
    • Jeffrey Jen-Chie Yu left Column Capital Advisors, Llc for Captrust (registered 2023-12-01)
      Aug 9, 2024 · Advisor changed firm · fact
    • Larry Ryan Thomas left Column Capital Advisors, Llc for Captrust (registered 2023-10-16)
      Aug 9, 2024 · Advisor changed firm · fact
    • Kristin Elizabeth Moistner left Column Capital Advisors, Llc for Captrust (registered 2023-10-20)
      Aug 9, 2024 · Advisor changed firm · fact
    • Column Capital Advisors, LLC's advisors moved to Captrust (Indianapolis, IN): 13 of 14 registered, on the same day
      Aug 9, 2024 · Firm absorbed (people side) · derived
    • Jordan L Crabb left Column Capital Advisors, Llc for Mariner (registered 2022-04-05)
      Mar 23, 2022 · Advisor changed firm · fact
    • Eric Francis Geary left Column Capital Advisors, Llc for Centerpoint Wealth Management, Llc (registered 2022-03-25)
      Feb 15, 2022 · Advisor changed firm · 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