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
A••••••• I••••••••• S••••••••• G••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 23, 2012 · 28 filings
SEC status approved since May 27, 2008
RAUM
$986M
reported, Item 5.F
Discretionary
5.4%
of RAUM
Private clients
98%
$967M individuals and HNW
Advisors
47
registered through the firm on IAPD
RAUM per advisor
$21.0M
derived; firm RAUM over IAPD count
Employees
49
49 advisory (5.B.1)
Offices
36
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$986M as of Mar 31, 2026
Mar 19, 2012$76.5M then
HNW client RAUM$389M as of Mar 31, 2026
Mar 7, 2018$26.2M then
State-registered IARs (5.B.3)48 as of Mar 31, 2026
Apr 1, 20133 then
Employees (5.A)49 as of Mar 31, 2026
Apr 1, 20138 then
Private funds: no history
RAUM +63% over the last fiscal year+34% a year over threeIARs 34 to 48offices 28 to 36
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $21.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $890,463derivedHNW RAUM over HNW clients
- Average account
- $224,933derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 5.4%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived37 offices incl. principal (1.F.5)
- RAUM growth, one year
- +63%derivedbetween the last two annual amendments
- Advisor growth, one year
- +41%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +46%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 4,000reportedItem 5.H
- 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 a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$578M59%
- High-net-worth individuals$389M39%
- Corporations and businesses$8.6M0.9%
- Pension and profit-sharing plans$5.5M0.6%
- Charitable organizations$4.9M0.5%
- Individual clients
- 3,902reported
- HNW clients
- 437reported
- Pension plan clients
- 18reported
- Charitable clients
- 13reported
- Accounts
- 4,385reported
- Financial planning clients
- 4,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=46.0derived
Advisors registered through the firm
46 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• S•••• C•••••• | Meridian, Id | Oct 18, 2005 | 26 y | 2 |
| S••••• Y••••• J••••Certified Financial Planner | Eugene, Or | Jan 9, 2006 | 30 y | 1 |
| P••• T••••• F•••••••Chartered Financial Consultant | Edmonds, Wa | Mar 23, 2007 | 31 y | 2 |
| T•••• L•• B••••••• | E••••, Id | Apr 10, 2007 | 27 y | 0 |
| K•••• E••••• A••••••Certified Financial Planner | E••••, Id | Nov 14, 2007 | 22 y | 0 |
| D•••• R•••••• V••••••••• | E••••, Id | Feb 22, 2008 | 28 y | 0 |
| R•••••• J••• P•••••• | Idaho Falls, Id | Oct 25, 2010 | 21 y | 0 |
| J••••• E••••• T••••••• | Greenwood Village, Co | Jan 30, 2012 | 29 y | 4 |
| N••••••• J•••• D••••• | Denver, Co | Apr 12, 2012 | 21 y | 0 |
| J••••• T••••• | E••••, Id | Jun 27, 2012 | 40 y | 1 |
| S•• P••• | Lake Oswego, Or | Jul 29, 2015 | 41 y | 2 |
| W•••••• B••••• K•••• | Albany, Or | Apr 8, 2016 | 34 y | 3 |
| P••••• K•••••• M••Chartered Financial Consultant | Henderson, Nv | Sep 22, 2016 | 21 y | 4 |
| L•••• L••• A••••••• | E••••, Id | Nov 3, 2016 | 31 y | 3 |
| L••• M•••• A•••• | E••••, Id | May 24, 2017 | 11 y | 0 |
| C••••••••• P••• R••• | E••••, Id | Jul 5, 2017 | 15 y | 0 |
| E••• D••• R•••••••• | Florence, Mt | Aug 18, 2017 | 39 y | 2 |
| T••••• A•••• A•••• | E••••, Id | Jan 23, 2018 | 14 y | 1 |
| R•••• C•••••• W••••• | Spokane, Wa | Jan 4, 2019 | 29 y | 3 |
| B•••••• D•••••• H••••••••• | E••••, Id | Mar 25, 2019 | 18 y | 3 |
| R•••••• M•••••• B••• | Spokane, Wa | Apr 23, 2019 | 35 y | 1 |
| W••••• L•• R••••••• | Lake Havasu City, Az | Dec 20, 2019 | 46 y | 1 |
| G•••••• S•••• B•••••••• | E••••, Id | Jan 20, 2021 | 32 y | 5 |
| C••• F••••••••• | Rockford, Il | Jan 27, 2022 | 24 y | 7 |
| J••••••• A••••• M•••• | E••••, Id | Jul 7, 2023 | 18 y | 0 |
| F•••••••• C••• O••••••••• | E••••, Id | Oct 6, 2023 | 45 y | 3 |
| A••••• J•••• D•••• | E••••, Id | May 22, 2024 | 25 y | 1 |
| S•••••• I••••• | Honolulu, Hi | Sep 4, 2024 | 12 y | 0 |
| M•••••• J• W•••• | E••••, Id | Dec 3, 2024 | 27 y | 1 |
| P•••••• J••• B••• | Wisconsin Dells, Wi | Jan 1, 2025 | 25 y | 1 |
| D•••• J•••• M••••• | Solana Beach, Ca | Jan 1, 2025 | 36 y | 2 |
| K•••• R••••• J••••• | E••••, Id | Feb 4, 2025 | 12 y | 0 |
| X•••••• L• | E••••, Id | Feb 20, 2025 | 26 y | 1 |
| W•••• L• S••••••• | Troy, Mi | Mar 27, 2025 | 24 y | 1 |
| Z•••••• J•••• C••••••• | Troy, Mi | Mar 27, 2025 | 12 y | 1 |
| B•••••• T••••• L••• | E••••, Id | Mar 31, 2025 | 29 y | 4 |
| A••• M•••••••• T••••• | Overland Park, Ks | Apr 17, 2025 | 24 y | 2 |
| J••• W•••••• D••••• | E••••, Id | May 1, 2025 | 25 y | 6 |
| M••• B•••••• K•••• | E••••, Id | May 29, 2025 | 35 y | 3 |
| M••••• S••••• H•••• | E••••, Id | Jun 3, 2025 | 23 y | 3 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 2.1% of current headcount2 left over 36 months
Left, latest
- P••••• K••••• to M•• I•••••••• S•••••••• L••Jul 6, 2026 · RIA to affiliated broker-dealer or bank
- K•••••• R••••••• C•••• to I••••••• F••Apr 1, 2025 · RIA to RIA
- D•••• M• R•••••• to E•••• F•••••••• S•••••••••Jan 6, 2023 · RIA to RIA
- M•••••• W•••• N•••••••• to K•••••••• W••••• A•••••••• L••Aug 17, 2022 · RIA to RIA
- M••••• M•••••••• P••••• to L•• F•••••••• L••Dec 31, 2020 · RIA to affiliated broker-dealer or bank
- N•••••• R•••• Z••••• to L••• S••••• A•••••••• L••Feb 24, 2020 · RIA to affiliated broker-dealer or bank
- T••••• W•••• D•••• to L••• S••••• A•••••••• L••Feb 24, 2020 · RIA to affiliated broker-dealer or bank
- L•••• D••• P•••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 4, 2019 · RIA to affiliated broker-dealer or bank
- C•••••• R••• G••••• to I••••••••• F•••••••• G••••• L••Aug 9, 2016 · Other
- R••• W•••• L••••••• to L••••• W••••• M••••••••• L••Aug 8, 2016 · Other
- D••••• L••• L••••• to L•• F•••••••• L••Apr 5, 2016 · Other
- R•••••• J••• A••••• to A••••••• F•••••••• S•••••••Dec 11, 2015 · Other
- P•••• C•••••• C••••• to A•••••••Jan 23, 2015 · Other
- R•••••• J•••• T••••• to I•••••••• I••••••••• A•••••••• I••Sep 2, 2014 · Other
- R••••• L••••••• K•••• to M•••••• A••••• S••••••••• L••Jun 17, 2013 · Other
Joined, latest
- T•••••• R•• S•••• from U•• F•••••••• S••••••••• L••Mar 30, 2026 · RIA to RIA
- M••• M•••••• M•••• from L••• K••• • C••••••Sep 16, 2025 · RIA to RIA
- T••••• H••••• T•••••••• from L••• K••• • C••••••Jul 2, 2025 · RIA to RIA
- F••• H••••• S••••• from L••• K••• • C••••••Jun 20, 2025 · RIA to RIA
- M••••• S••••• H•••• from L••• K••• • C••••••Jun 3, 2025 · RIA to RIA
- M••• B•••••• K•••• from L••• K••• • C••••••May 29, 2025 · RIA to RIA
- J••• W•••••• D••••• from L••• K••• • C••••••May 1, 2025 · RIA to RIA
- A••• M•••••••• T••••• from L••• K••• • C••••••Apr 17, 2025 · RIA to RIA
- B•••••• T••••• L••• from L••• K••• • C••••••Mar 31, 2025 · RIA to RIA
- Z•••••• J•••• C••••••• from L••• K••• • C••••••Mar 27, 2025 · RIA to RIA
- W•••• L• S••••••• from L••• K••• • C••••••Mar 27, 2025 · RIA to RIA
- X•••••• L• from T••••••••• F•••••••• A•••••••• L••Feb 20, 2025 · Affiliated broker-dealer or bank to independent RIA
- P••••• K••••• from B•••••••• I••••••••• M••••••••• L••Jan 16, 2025 · Other
- D•••• J•••• M••••• from A•• A•••••• S••••••• L••Jan 1, 2025 · Other
- P•••••• J••• B••• from E••••• J••••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L••• K••• • C••••••Jun 9, 2025 · Troy, Mi
- 3 joined from L••• K••• • C••••••Mar 28, 2025 · Troy, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• R••• S•••• · Member, Ceocontrolsince 03/2025 · owns 75% or more
- S•••••• T••••• C••••••• · Membercontrolsince 12/2023 · owns 50% to 75%
- F••••• R••••••• M•••• · P••••••••, Finopsince 04/2021 · owns less than 5%
- K••••••• S••••• A• · P••••••••, Chief Compliance Officersince 04/2021 · owns less than 5%
- T•••••• J••••• A•••••• J• · Municipal Pricipal,Registered Options And S••••••••• Futures P•••••••• ,Membersince 07/2011 · owns less than 5%
Related persons
Schedule D 7.A
- A••••••• I••••••••• S••••••••• G••••• L••broker-dealeryRAUM $986M
Advisers that list A••••••• I••••••••• S••••••••• G••••• L•• as a related person
- 135288 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| E••••, Id · principal | 47 | 2 | 1 | ||
| Troy, Mi | 5 | 0 | 0 | ||
| Honolulu, Hi | 3 | 0 | 0 | ||
| Edmonds, Wa | 2 | 0 | 0 | ||
| Spokane, Wa | 2 | 0 | 0 | ||
| Pocatello, Id | 2 | 0 | 0 | ||
| Greenwood Village, Co | 2 | 0 | 0 | ||
| Meridian, Id | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Albany, OR2 employees
- , 2 employees
- Pocatello, ID2 employees
- Greenwood Village, CO2 employees
- Idaho Falls, ID1 employees
- Irvine, CA1 employees
- , 1 employees
- , 1 employees
- E••••, ID1 employees
- , 1 employees
- , 1 employees
- Honolulu, HI1 employees
- Olympia, WA1 employees
- , 1 employees
- , 1 employees
- Wichita, KS1 employees
- , 1 employees
- Spokane, WA1 employees
- , 1 employees
- Barboo, WI1 employees
- Winthrop, WA1 employees
- Post Falls, ID1 employees
- Minot, ND1 employees
- , 1 employees
- Rockford, IL1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- growth on all axesCombination · filing Mar 31, 2026RAUM, offices and advisors all grew 25 percent or more in one year: a platform in expansion or an acquisition. RAUM $604,888,609 to $986,332,007, advisors 34 to 48, private clients 2966 to 4339, offices 28 to 36 (2025-03-25 to 2026-03-31)peers: WEALTH_I•••••••••, $500M to $1B (1,482)
- control person changedChange between filings · filing Mar 31, 2026S•••••• T••••• C••••••• (MEMBER) left Schedule A between the filings of 2021-04-12 and 2026-03-31peers: WEALTH_I•••••••••, $500M to $1B (1,482)
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $604,888,609 to $986,332,007 (+63.0%) between the annual amendments of 2025-03-25 and 2026-03-31; the peer median change was +16.0% (1385 comparable advisers, 95.0th percentile of changes)peers: WEALTH_I•••••••••, $500M to $1B (1,385) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 2,987 to 4,385Nov 6, 2025 to Mar 31, 2026
- Advisory employees · 34 to 49Nov 6, 2025 to Mar 31, 2026
- BD registered reps · 34 to 46Nov 6, 2025 to Mar 31, 2026
- Charity clients · 8 to 13Nov 6, 2025 to Mar 31, 2026
- Corporate clients · 6 to 15Nov 6, 2025 to Mar 31, 2026
- HNW clients · 309 to 437Nov 6, 2025 to Mar 31, 2026
- Individual clients · 2,657 to 3,902Nov 6, 2025 to Mar 31, 2026
- Pension plan clients · 7 to 18Nov 6, 2025 to Mar 31, 2026
- Employees · 34 to 49Nov 6, 2025 to Mar 31, 2026
- State-registered IARs · 34 to 48Nov 6, 2025 to Mar 31, 2026
- Other offices · 28 to 36Nov 6, 2025 to Mar 31, 2026
- Discretionary RAUM · $67.3M to $53.6MNov 6, 2025 to Mar 31, 2026
- HNW RAUM · $232M to $389MNov 6, 2025 to Mar 31, 2026
- Individual RAUM · $366M to $578MNov 6, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $538M to $933MNov 6, 2025 to Mar 31, 2026
- Pension RAUM · $3.4M to $5.5MNov 6, 2025 to Mar 31, 2026
- RAUM · $605M to $986MNov 6, 2025 to Mar 31, 2026
- Related adviser · false to trueNov 6, 2025 to Mar 31, 2026
- Accounts · 2,830 to 2,987Mar 27, 2024 to Mar 25, 2025
- Advisory employees · 33 to 34Mar 27, 2024 to Mar 25, 2025
- BD registered reps · 33 to 34Mar 27, 2024 to Mar 25, 2025
- Charity clients · 2 to 8Mar 27, 2024 to Mar 25, 2025
- Corporate clients · 3 to 6Mar 27, 2024 to Mar 25, 2025
- HNW clients · 209 to 309Mar 27, 2024 to Mar 25, 2025
- Individual clients · 2,605 to 2,657Mar 27, 2024 to Mar 25, 2025
- Pension plan clients · 11 to 7Mar 27, 2024 to Mar 25, 2025
- Employees · 33 to 34Mar 27, 2024 to Mar 25, 2025
- Financial planning clients · More than 500 to More than 500Mar 27, 2024 to Mar 25, 2025
- State-registered IARs · 33 to 34Mar 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $20.5M to $67.3MMar 27, 2024 to Mar 25, 2025
- HNW RAUM · $188M to $232MMar 27, 2024 to Mar 25, 2025
- Individual RAUM · $314M to $366MMar 27, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $493M to $538MMar 27, 2024 to Mar 25, 2025
- Pension RAUM · $8.8M to $3.4MMar 27, 2024 to Mar 25, 2025
- RAUM · $513M to $605MMar 27, 2024 to Mar 25, 2025
- Accounts · 2,737 to 2,830Mar 31, 2023 to Mar 27, 2024
- Charity clients · 1 to 2Mar 31, 2023 to Mar 27, 2024
- Corporate clients · 4 to 3Mar 31, 2023 to Mar 27, 2024
- HNW clients · 154 to 209Mar 31, 2023 to Mar 27, 2024
- Individual clients · 2,589 to 2,605Mar 31, 2023 to Mar 27, 2024
Signals
13 dated events
- P••••• K••••• left A••••••• I••••••••• S••••••••• G••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2026-07-09)Jul 6, 2026 · a•••••• firm change · fact
- A••••••• I••••••••• S••••••••• G••••• L•• reported 36 offices beyond its principal office, up from 28 (2025-11-06 to 2026-03-31)Mar 31, 2026 · Office count change · derived
- A••••••• I••••••••• S••••••••• G••••• L•• reported 48 state-registered advisory representatives, up from 34 (2025-11-06 to 2026-03-31)Mar 31, 2026 · ria a•••••• headcount change · derived
- A••••••• I••••••••• S••••••••• G••••• L•• reported RAUM $986.3M, up 63% from $604.9M (2025-11-06 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- 2 advisors left L••• K••• • C•••••• (Troy, MI) for A••••••• I••••••••• S••••••••• G••••• L•• within 14 daysJun 9, 2025 · Team lift-out · derived
- K•••••• R••••••• C•••• left A••••••• I••••••••• S••••••••• G••••• L•• for I••••••• F•• (registered 2025-04-04)Apr 1, 2025 · a•••••• firm change · fact
- 3 advisors left L••• K••• • C•••••• (Troy, MI) for A••••••• I••••••••• S••••••••• G••••• L•• on the same dayMar 28, 2025 · Team lift-out · derived
- A••••••• I••••••••• S••••••••• G••••• L•• reported RAUM $513.3M, up 26% from $407.7M (2023-03-31 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- A••••••• I••••••••• S••••••••• G••••• L•• reported 28 offices beyond its principal office, down from 39 (2022-03-31 to 2023-03-31)Mar 31, 2023 · Office count change · derived
- D•••• M• R•••••• left A••••••• I••••••••• S••••••••• G••••• L•• for E•••• F•••••••• S••••••••• (registered 2023-01-24)Jan 6, 2023 · a•••••• firm change · fact
- M•••••• W•••• N•••••••• left A••••••• I••••••••• S••••••••• G••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-08-19)Aug 17, 2022 · a•••••• firm change · fact
- A••••••• I••••••••• S••••••••• G••••• L•• reported RAUM $313.5M, up 47% from $213.4M (2020-01-22 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- A••••••• I••••••••• S••••••••• G••••• L•• reported 38 offices beyond its principal office, up from 27 (2018-01-12 to 2018-03-07)Mar 7, 2018 · Office count change · 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
- 208-489-3123reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 208-489-3131reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-485-4635reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/american-independent-securities-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- americanisg.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 208-489-3131reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- americanisg.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- americanisg.com/leadershipreportedpublished by the firm, firm site, Sep 15, 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
- I••••••••• WEALTHderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $21.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026