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
F•••• P•••••• C••••• G••••
Legal name F•••• S•••••••• G••••• L••
Latest filing Feb 20, 2026
First filing on the tape Mar 27, 2012 · 48 filings
SEC status approved since Jan 2, 2014
RAUM
$403M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$402M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$57.6M
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$403M as of Feb 20, 2026
Mar 27, 2012$77.1M then
HNW client RAUM$243M as of Feb 20, 2026
Mar 1, 2018$55.2M then
State-registered IARs (5.B.3)7 as of Feb 20, 2026
Mar 27, 20120 then
Employees (5.A)11 as of Feb 20, 2026
Mar 2, 20155 then
Private funds: no history
RAUM +18% over the last fiscal year+17% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Feb 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $57.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $270,639derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminars, otherreportedItem 5.G
- Custody
- $2.9M, 51 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$243M60%
- Individuals$158M39%
- Corporations and businesses$1.4M0.3%
- Individual clients
- 520reported
- HNW clients
- 115reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,490reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.9M for 51 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• M•••••• B••••Certified Financial Planner | Fishers, In | Apr 1, 2010 | 20 y | 1 |
| T•••• L•• M•••• | Fishers, In | Dec 22, 2012 | 14 y | 0 |
| S•••• M•••• I••••Certified Financial Planner | Fishers, In | Aug 7, 2018 | 21 y | 2 |
| C•••••• J• G••••••Certified Financial Planner | Fishers, In | Jan 4, 2021 | 13 y | 0 |
| D•••• M•••••• S••••••Certified Financial Planner | Fishers, In | May 18, 2023 | 10 y | 0 |
| J••••••• L•••• W•••••• | Fishers, In | Dec 20, 2024 | 11 y | 0 |
| A••••• G• S••• | Fishers, In | Jan 2, 2025 | 12 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
- R•••••• J••••• R••••••• to C••••• C••• W••••• M••••••••• L••Dec 14, 2017 · Other
- J•••••• B• S•••••• to B••••••••• A••••••• L••Apr 1, 2010 · Other
Joined, latest
- S•••• M•••• I•••• from J••• M••••• S••••••••• L••Aug 7, 2018 · Wirehouse to independent RIA
- B••••••• M•••••• B•••• from L•• F•••••••• L••Apr 1, 2010 · Other
- R•••••• J••••• R••••••• from L•• F•••••••• L••Jun 11, 2007 · Other
- J•••••• B• S•••••• from L•• F•••••••• L••May 21, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• B•••••••• M•••••• · Assistant Vice Presidentcontrolsince 11/2022 · owns less than 5%
- C•••• J••••• S•••• · Senior Vice Presidentcontrolsince 02/2023 · owns less than 5%
- I••••• S••••• M•••• · Assistant Vice Presidentcontrolsince 11/2022 · owns less than 5%
- S••••••••• G•••• J••••• · Chief Compliance Officersince 12/2017 · owns less than 5%
Entity owners
- F•••• C••••• U•••• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- F•••• C••••• U••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fishers, In · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,307 to 1,490Jan 14, 2026 to Feb 20, 2026
- HNW clients · 97 to 115Jan 14, 2026 to Feb 20, 2026
- Individual clients · 426 to 520Jan 14, 2026 to Feb 20, 2026
- Assets in custody · $2.0M to $2.9MJan 14, 2026 to Feb 20, 2026
- Employees · 10 to 11Jan 14, 2026 to Feb 20, 2026
- State-registered IARs · 6 to 7Jan 14, 2026 to Feb 20, 2026
- Discretionary RAUM · $320M to $381MJan 14, 2026 to Feb 20, 2026
- HNW RAUM · $188M to $243MJan 14, 2026 to Feb 20, 2026
- Individual RAUM · $154M to $158MJan 14, 2026 to Feb 20, 2026
- Non-discretionary RAUM · $22.8M to $22.2MJan 14, 2026 to Feb 20, 2026
- RAUM · $342M to $403MJan 14, 2026 to Feb 20, 2026
- Financial planning clients · 251-500 to 251-500Mar 17, 2025 to Jun 26, 2025
- Accounts · 1,245 to 1,307Jan 24, 2025 to Mar 17, 2025
- Advisory employees · 5 to 7Jan 24, 2025 to Mar 17, 2025
- HNW clients · 76 to 97Jan 24, 2025 to Mar 17, 2025
- Individual clients · 442 to 426Jan 24, 2025 to Mar 17, 2025
- Assets in custody · $1.2M to $2.0MJan 24, 2025 to Mar 17, 2025
- Employees · 7 to 10Jan 24, 2025 to Mar 17, 2025
- Insurance-licensed employees · 4 to 0Jan 24, 2025 to Mar 17, 2025
- State-registered IARs · 4 to 6Jan 24, 2025 to Mar 17, 2025
- Discretionary RAUM · $271M to $320MJan 24, 2025 to Mar 17, 2025
- HNW RAUM · $146M to $188MJan 24, 2025 to Mar 17, 2025
- Individual RAUM · $149M to $154MJan 24, 2025 to Mar 17, 2025
- Non-discretionary RAUM · $26.3M to $22.8MJan 24, 2025 to Mar 17, 2025
- RAUM · $297M to $342MJan 24, 2025 to Mar 17, 2025
- HNW clients · 72 to 76Nov 27, 2023 to Mar 7, 2024
- Individual clients · 439 to 442Nov 27, 2023 to Mar 7, 2024
- Assets in custody · $347,016 to $1.2MNov 27, 2023 to Mar 7, 2024
- Employees · 6 to 7Nov 27, 2023 to Mar 7, 2024
- Financial planning clients · 101-250 to 251-500Nov 27, 2023 to Mar 7, 2024
- Discretionary RAUM · $223M to $271MNov 27, 2023 to Mar 7, 2024
- HNW RAUM · $109M to $146MNov 27, 2023 to Mar 7, 2024
- Individual RAUM · $139M to $149MNov 27, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $27.5M to $26.3MNov 27, 2023 to Mar 7, 2024
- Accounts · 1,172 to 1,245Nov 27, 2023 to Mar 7, 2024
- Advisory employees · 4 to 5Nov 27, 2023 to Mar 7, 2024
- Business name · F•••• P•••••• C••••• G•••• L•• to F•••• P•••••• C••••• G••••Nov 27, 2023 to Mar 7, 2024
- RAUM · $250M to $297MNov 27, 2023 to Mar 7, 2024
- Legal name · F•••• P•••••• C••••• G•••• L•• to F•••• SOLUTIONS GROUP, LLCNov 27, 2023 to Nov 27, 2023
- Accounts · 1,091 to 1,172Jan 27, 2023 to Feb 9, 2023
Signals
4 dated events
- Scott James Carr (Senior Vice President) appeared on Schedule A of F•••• P•••••• C••••• G••••Feb 28, 2023 · Control person joined · fact
- Michael Benjamen Banks (Assistant Vice President) appeared on Schedule A of F•••• P•••••• C••••• G••••Nov 17, 2022 · Control person joined · fact
- Marie Shaun Irwin (Assistant Vice President) appeared on Schedule A of F•••• P•••••• C••••• G••••Nov 17, 2022 · Control person joined · fact
- F•••• P•••••• C••••• G•••• L•• filed its initial SEC registration (Form ADV)Nov 22, 2013 · 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
- Website
- forumcu.com/resources/financial-coachingreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-558-6322reportedpublic record, Form ADV, Feb 20, 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
- $57.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026