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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Former SEC-registered adviser

U•••••• C••• A••••••• S•••••••• L••

Former SEC-registered adviserIndianapolis, IndianaCRD 136904SEC 801-64788IAPD
Latest filing Mar 1, 2019
First filing on the tape Dec 2, 2011 · 12 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
0.0%
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.0B as of Mar 28, 2018
Mar 27, 2012$363M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 28, 2018
Mar 26, 20132 then
Employees (5.A)4 as of Mar 28, 2018
Mar 26, 20132 then
Private funds: no history
RAUM +8.7% over the last fiscal year+32% a year over threeIARs 1 to 4
Practice profile
derived from the filing of Mar 1, 2019; every figure names its basis
RAUM per advisor
$259MderivedRAUM 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
$16.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.7%derivedbetween the last two annual amendments
Advisor growth, one year
+300%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, publications, educational seminarsreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$1.0B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
63reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
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
    • C•••••• B••••• C••••••••• · Chief Compliance Officercontrol
      since 12/2011 · owns less than 5%
    • J•••••• J•••• D•••••• · Managing Membercontrol
      since 01/2010 · owns less than 5%
    • S••••••••• T•••• A••••• · Managing Membercontrol
      since 01/2010 · owns less than 5%
    • S•••••• J•••• M• · Managing Membercontrol
      since 01/2016 · owns less than 5%
    • J•••••• J•••• D•••••• · Partnercontrol
      since 07/1990 · owns 25% to 50% of H.J. Umbaugh & Associates, Certified Public Accountants, Llp
    • S•••••• J•••• M• · Partnercontrol
      since 01/1992 · owns 25% to 50% of H.J. Umbaugh & Associates, Certified Public Accountants, Llp
    Entity owners
    • H••• U•••••• • A••••••••• C•••••••• P••••• A••••••••• L•• · Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • B•••• T•••• M•••••••• A•••••••• L••
      y
    • B•••• T•••• V•••••• K••••• L••
      insurancey
    • H••• U•••••• • A••••••••• C•••••••• P••••• A••••••••• L••
      insurancey
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 57 to 63
      Mar 28, 2017 to Mar 28, 2018
    • State-registered IARs · 1 to 4
      Mar 28, 2017 to Mar 28, 2018
    • Other offices · unset to 0.0
      Mar 28, 2017 to Mar 28, 2018
    • Non-discretionary RAUM · $953M to $1.0B
      Mar 28, 2017 to Mar 28, 2018
    • RAUM · $953M to $1.0B
      Mar 28, 2017 to Mar 28, 2018
    • Accounts · 45 to 57
      Mar 24, 2016 to Mar 28, 2017
    • Advisory employees · 3 to 4
      Mar 24, 2016 to Mar 28, 2017
    • Employees · 3 to 4
      Mar 24, 2016 to Mar 28, 2017
    • State-registered IARs · 3 to 1
      Mar 24, 2016 to Mar 28, 2017
    • Non-discretionary RAUM · $482M to $953M
      Mar 24, 2016 to Mar 28, 2017
    • RAUM · $482M to $953M
      Mar 24, 2016 to Mar 28, 2017
    • Accounts · 34 to 45
      Mar 26, 2015 to Mar 24, 2016
    • Non-discretionary RAUM · $446M to $482M
      Mar 26, 2015 to Mar 24, 2016
    • RAUM · $446M to $482M
      Mar 26, 2015 to Mar 24, 2016
    • Accounts · 31 to 34
      Jan 12, 2015 to Mar 26, 2015
    • Advisory employees · 2 to 3
      Jan 12, 2015 to Mar 26, 2015
    • Employees · 2 to 3
      Jan 12, 2015 to Mar 26, 2015
    • State-registered IARs · 2 to 3
      Jan 12, 2015 to Mar 26, 2015
    • Non-discretionary RAUM · $492M to $446M
      Jan 12, 2015 to Mar 26, 2015
    • RAUM · $492M to $446M
      Jan 12, 2015 to Mar 26, 2015
    • Accounts · 34 to 31
      Mar 26, 2013 to Mar 28, 2014
    • Non-discretionary RAUM · $345M to $492M
      Mar 26, 2013 to Mar 28, 2014
    • RAUM · $345M to $492M
      Mar 26, 2013 to Mar 28, 2014
    • Accounts · 40 to 34
      Mar 28, 2012 to Mar 26, 2013
    • Advisory employees · unset to 2.0
      Mar 28, 2012 to Mar 26, 2013
    • Employees · unset to 2.0
      Mar 28, 2012 to Mar 26, 2013
    • State-registered IARs · unset to 2.0
      Mar 28, 2012 to Mar 26, 2013
    • Non-discretionary RAUM · $363M to $345M
      Mar 28, 2012 to Mar 26, 2013
    • RAUM · $363M to $345M
      Mar 28, 2012 to Mar 26, 2013
    • Accounts · 32 to 40
      Dec 2, 2011 to Mar 27, 2012
    • Advisory activities · 1 to 3
      Dec 2, 2011 to Mar 27, 2012
    • Non-discretionary RAUM · $328M to $363M
      Dec 2, 2011 to Mar 27, 2012
    • RAUM · $328M to $363M
      Dec 2, 2011 to Mar 27, 2012
    Signals
    No event on the tape.
    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