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.
SEC-registered adviser
Asset Management Strategies, Inc.
Latest filing Mar 31, 2026
First filing on the tape Mar 19, 2012 · 20 filings
SEC status approved since Nov 10, 2016
RAUM
$220M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$220M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$27.5M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$220M as of Mar 31, 2026
Mar 19, 2012$40.0M then
HNW client RAUM$0 as of Mar 31, 2026
Apr 2, 2018$0 then
State-registered IARs (5.B.3)8 as of Mar 31, 2026
Mar 28, 20174 then
Employees (5.A)8 as of Mar 31, 2026
Mar 28, 20174 then
Private funds: no history
RAUM +6.2% over the last fiscal year+14% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 31, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $27.5MderivedRAUM 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
- $104,380derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.2%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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$220M100%
- Individual clients
- 2,110reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,110reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| Anthony Patrick Fiorillo | Indianapolis, In | May 31, 2005 | 34 y | 1 |
| Matthew Joseph Lux | Indianapolis, In | Nov 21, 2014 | 20 y | 2 |
| Jeffrey Alan Gasaway | Lafayette, In | Feb 9, 2017 | 13 y | 3 |
| Yadira Salinas Garcia | Indianapolis, In | Apr 26, 2017 | 23 y | 3 |
| Loyd Alan Timmons | Frankfort, In | Aug 12, 2017 | 19 y | 4 |
| Jason Ryan Gregory | Lafayette, In | Dec 16, 2017 | 18 y | 2 |
| Joyce Ann Smith | Lafayette, In | Jan 10, 2018 | 10 y | 0 |
| Andrea M Gasaway | Lafayette, In | Sep 29, 2022 | 19 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
- Alvin J Rudder to Regal Investment Advisors LLCOct 6, 2017 · Other
- John Radford Compton to LPL Financial LLCAug 23, 2017 · Other
- William Clay Tucker to Brookstone Wealth Advisors, LLCDec 20, 2016 · Other
- Lawrence Alan Stack to Stack Wealth Management, LLCJul 26, 2016 · Other
Joined, latest
- Jason Ryan Gregory from Waddell & ReedDec 16, 2017 · Other
- Loyd Alan Timmons from LPL Financial LLCAug 12, 2017 · Other
- Yadira Salinas Garcia from Raymond James & Associates, Inc.Apr 26, 2017 · Other
- Jeffrey Alan Gasaway from Center For Wealth Planning Advisors, IncFeb 9, 2017 · Other
- Lawrence Alan Stack from Questar Asset Management, Inc.Apr 22, 2016 · Other
- John Radford Compton from F500 Advisory Services, Inc.Feb 27, 2016 · Other
- Matthew Joseph Lux from Financial Engines Advisor Center, LLCNov 21, 2014 · Other
- William Clay Tucker from Berthel Fisher & Company Financial Services, Inc.Mar 8, 2013 · Other
- Anthony Patrick Fiorillo from Raymond James Financial Services, Inc.May 31, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Patrick Anthony Fiorillo · President / Chief Compliance Officercontrolsince 04/2005 · 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 |
|---|---|---|---|---|---|
| Indianapolis, In · principal | 4 | 0 | 0 | ||
| Lafayette, In | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lafayette, IN3 employees
- Frankfort, IN1 employees
What changed
consecutive filings, newest first
- Accounts · 2,038 to 2,110Mar 28, 2025 to Mar 31, 2026
- Individual clients · 2,038 to 2,110Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $207M to $220MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $207M to $220MMar 28, 2025 to Mar 31, 2026
- RAUM · $207M to $220MMar 28, 2025 to Mar 31, 2026
- Accounts · 1,955 to 2,038Mar 29, 2024 to Mar 28, 2025
- Individual clients · 1,955 to 2,038Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · 251-500 to 251-500Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $186M to $207MMar 29, 2024 to Mar 28, 2025
- Individual RAUM · $186M to $207MMar 29, 2024 to Mar 28, 2025
- RAUM · $186M to $207MMar 29, 2024 to Mar 28, 2025
- Accounts · 1,767 to 1,955Mar 29, 2023 to Mar 29, 2024
- Individual clients · 1,767 to 1,955Mar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $147M to $186MMar 29, 2023 to Mar 29, 2024
- Individual RAUM · $147M to $186MMar 29, 2023 to Mar 29, 2024
- RAUM · $147M to $186MMar 29, 2023 to Mar 29, 2024
- Accounts · 1,633 to 1,767Mar 31, 2022 to Mar 29, 2023
- Individual clients · 1,633 to 1,767Mar 31, 2022 to Mar 29, 2023
- HQ city · CARMEL to INDIANAPOLISMar 31, 2022 to Mar 29, 2023
- Discretionary RAUM · $157M to $147MMar 31, 2022 to Mar 29, 2023
- Individual RAUM · $157M to $147MMar 31, 2022 to Mar 29, 2023
- RAUM · $157M to $147MMar 31, 2022 to Mar 29, 2023
- Accounts · 1,636 to 1,633Mar 30, 2021 to Mar 31, 2022
- Advisory employees · 9 to 8Mar 30, 2021 to Mar 31, 2022
- Individual clients · 1,636 to 1,633Mar 30, 2021 to Mar 31, 2022
- Employees · 9 to 8Mar 30, 2021 to Mar 31, 2022
- State-registered IARs · 9 to 8Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $142M to $157MMar 30, 2021 to Mar 31, 2022
- Individual RAUM · $142M to $157MMar 30, 2021 to Mar 31, 2022
- RAUM · $142M to $157MMar 30, 2021 to Mar 31, 2022
- Accounts · 1,760 to 1,636Jul 28, 2020 to Mar 30, 2021
- Individual clients · 1,760 to 1,636Jul 28, 2020 to Mar 30, 2021
- Discretionary RAUM · $123M to $142MJul 28, 2020 to Mar 30, 2021
- Individual RAUM · $123M to $142MJul 28, 2020 to Mar 30, 2021
- RAUM · $123M to $142MJul 28, 2020 to Mar 30, 2021
- Accounts · 1,462 to 1,760Jun 30, 2020 to Jul 28, 2020
- Individual clients · 1,462 to 1,760Jun 30, 2020 to Jul 28, 2020
- HQ city · INDIANAPOLIS to CARMELJun 30, 2020 to Jul 28, 2020
- Discretionary RAUM · $106M to $123MJun 30, 2020 to Jul 28, 2020
- Individual RAUM · $106M to $123MJun 30, 2020 to Jul 28, 2020
Signals
1 dated events
- Asset Management Strategies, Inc. filed its initial SEC registration (Form ADV)Nov 2, 2016 · First SEC registration · 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 phone
- 317-577-6912reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- 401k.partnersreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 3175776912reportedpublic record, Form ADV, Mar 31, 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
- $27.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026