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
C• D•••••• • G••• W••••• M•••••••••
Legal name C• D•••••• • G•••• L••
Latest filing Mar 24, 2025
First filing on the tape Apr 20, 2021 · 9 filings
SEC status approved since May 20, 2021
RAUM
$187M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
86%
$162M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$187M as of Mar 24, 2025
Mar 23, 2022$148M then
HNW client RAUM$114M as of Mar 24, 2025
Mar 23, 2022$106M then
State-registered IARs (5.B.3)6 as of Mar 24, 2025
Mar 23, 20225 then
Employees (5.A)7 as of Mar 24, 2025
Mar 23, 20226 then
Private funds: no history
RAUM +18% over the last fiscal year+8.2% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 24, 2025; every figure names its basis
- RAUM per advisor
- $31.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $357,923derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%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 consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$114M61%
- Individuals$47.7M25%
- Pension and profit-sharing plans$11.6M6.2%
- Charitable organizations$7.3M3.9%
- Other investment advisers$6.7M3.6%
- Individual clients
- 110reported
- HNW clients
- 47reported
- Pension plan clients
- 6reported
- Charitable clients
- 10reported
- Accounts
- 523reported
- 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
7 left, 0 joined in 12 months
net -7 in 12 months0 left in 90 days0 joined in 90 days7 left over 36 months
Left, latest
- J••••• R••• to F••••••Apr 9, 2026 · RIA to RIA
- J•••• S••••• C•••••••• to F••••••Apr 9, 2026 · RIA to RIA
- C••••••••• H••••• D•••••• to F••••••Apr 9, 2026 · RIA to RIA
- T••••• E• G••• to F••••••Apr 9, 2026 · RIA to RIA
- J••••••• D••• C••••••• to F••••••Apr 9, 2026 · RIA to RIA
- V••••••• H••• to F••••••Apr 9, 2026 · RIA to RIA
- Z•••••• K•••• to F••••••Apr 9, 2026 · RIA to RIA
- B•••• T••••• R••••••• to T••••••••• W••••• P•••••••Oct 17, 2018 · RIA to RIA
Joined, latest
- V••••••• H••• from F••••••• P••••••• A•• W•••••••• A•••••••Jan 7, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••••••• D••• C••••••• from M•• I•••••••• S•••••••• L••Feb 19, 2015 · Other
- C••••••••• H••••• D•••••• from A••••••• A••••••• S•••••••Apr 18, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• C••••••••• H••••• · Managing Partnercontrolsince 10/2006 · owns 50% to 75%
- G•••• T•••••• E• · Partner & Chief Compliance Officercontrolsince 10/2006 · owns 10% to 25%
- C•••••••• J•••••••• D••• · Director Of Client Servicessince 01/2024 · owns 5% to 10%
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 | 0 | 0 | 7 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW clients · 110 to 47Feb 10, 2025 to Mar 24, 2025
- Individual clients · 47 to 110Feb 10, 2025 to Mar 24, 2025
- Financial planning clients · 101-250 to 101-250Feb 10, 2025 to Mar 24, 2025
- HNW RAUM · $47.7M to $114MFeb 10, 2025 to Mar 24, 2025
- Individual RAUM · $114M to $47.7MFeb 10, 2025 to Mar 24, 2025
- Accounts · 456 to 523Feb 29, 2024 to Feb 10, 2025
- Charity clients · 8 to 10Feb 29, 2024 to Feb 10, 2025
- HNW clients · 44 to 110Feb 29, 2024 to Feb 10, 2025
- Individual clients · 105 to 47Feb 29, 2024 to Feb 10, 2025
- Financial planning clients · 11-25 to 101-250Feb 29, 2024 to Feb 10, 2025
- Discretionary RAUM · $148M to $175MFeb 29, 2024 to Feb 10, 2025
- HNW RAUM · $96.5M to $47.7MFeb 29, 2024 to Feb 10, 2025
- Individual RAUM · $39.5M to $114MFeb 29, 2024 to Feb 10, 2025
- Non-discretionary RAUM · $10.6M to $11.7MFeb 29, 2024 to Feb 10, 2025
- Pension RAUM · $10.6M to $11.6MFeb 29, 2024 to Feb 10, 2025
- RAUM · $159M to $187MFeb 29, 2024 to Feb 10, 2025
- Accounts · 424 to 456Feb 22, 2024 to Feb 29, 2024
- Advisory employees · 5 to 6Feb 22, 2024 to Feb 29, 2024
- Charity clients · 9 to 8Feb 22, 2024 to Feb 29, 2024
- HNW clients · 66 to 44Feb 22, 2024 to Feb 29, 2024
- Individual clients · 79 to 105Feb 22, 2024 to Feb 29, 2024
- Pension plan clients · 5 to 6Feb 22, 2024 to Feb 29, 2024
- Employees · 6 to 7Feb 22, 2024 to Feb 29, 2024
- State-registered IARs · 5 to 6Feb 22, 2024 to Feb 29, 2024
- Discretionary RAUM · $124M to $148MFeb 22, 2024 to Feb 29, 2024
- HNW RAUM · $94.3M to $96.5MFeb 22, 2024 to Feb 29, 2024
- Individual RAUM · $19.3M to $39.5MFeb 22, 2024 to Feb 29, 2024
- Non-discretionary RAUM · $8.6M to $10.6MFeb 22, 2024 to Feb 29, 2024
- Pension RAUM · $8.6M to $10.6MFeb 22, 2024 to Feb 29, 2024
- RAUM · $133M to $159MFeb 22, 2024 to Feb 29, 2024
- Assets in custody · 8506255.0 to unsetMar 15, 2023 to Oct 18, 2023
- Custody of client assets · true to falseMar 15, 2023 to Oct 18, 2023
- Accounts · 392 to 424Mar 23, 2022 to Mar 15, 2023
- Charity clients · 7 to 9Mar 23, 2022 to Mar 15, 2023
- HNW clients · 65 to 66Mar 23, 2022 to Mar 15, 2023
- Individual clients · 74 to 79Mar 23, 2022 to Mar 15, 2023
- Assets in custody · $10.5M to $8.5MMar 23, 2022 to Mar 15, 2023
- Financial planning clients · 1-10 to 11-25Mar 23, 2022 to Mar 15, 2023
- Discretionary RAUM · $137M to $124MMar 23, 2022 to Mar 15, 2023
- HNW RAUM · $106M to $94.3MMar 23, 2022 to Mar 15, 2023
Signals
10 dated events
- C• D•••••• • G••• W••••• M••••••••• no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $187.2M)May 1, 2026 · Left the SEC roster · derived
- J••••••• D••• C••••••• left C• D•••••• • G••• W••••• M••••••••• for F•••••• (registered 2026-01-17)Apr 9, 2026 · Advisor changed firm · fact
- J•••• S••••• C•••••••• left C• D•••••• • G••• W••••• M••••••••• for F•••••• (registered 2026-01-14)Apr 9, 2026 · Advisor changed firm · fact
- Z•••••• K•••• left C• D•••••• • G••• W••••• M••••••••• for F•••••• (registered 2026-01-07)Apr 9, 2026 · Advisor changed firm · fact
- J••••• R••• left C• D•••••• • G••• W••••• M••••••••• for F•••••• (registered 2026-01-14)Apr 9, 2026 · Advisor changed firm · fact
- V••••••• H••• left C• D•••••• • G••• W••••• M••••••••• for F•••••• (registered 2026-01-12)Apr 9, 2026 · Advisor changed firm · fact
- T••••• E• G••• left C• D•••••• • G••• W••••• M••••••••• for F•••••• (registered 2026-01-07)Apr 9, 2026 · Advisor changed firm · fact
- C••••••••• H••••• D•••••• left C• D•••••• • G••• W••••• M••••••••• for F•••••• (registered 2026-01-07)Apr 9, 2026 · Advisor changed firm · fact
- C• D•••••• • G••• W••••• M•••••••••'s advisors moved to F•••••• (Indianapolis, IN): 7 of 7 registered, on the same dayApr 9, 2026 · Firm absorbed (people side) · derived
- C• D•••••• • G••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Apr 20, 2021 · 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.
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