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
Wallington Asset Management
Legal name Wallington Asset Management, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 8, 2012 · 39 filings
SEC status approved since Mar 2, 2007
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$1.1B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$165M
derived; firm RAUM over IAPD count
Employees
17
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$1.3B as of Mar 31, 2026
Mar 8, 2012$387M then
HNW client RAUM$1.1B as of Mar 31, 2026
Mar 22, 2018$520M then
State-registered IARs (5.B.3)8 as of Mar 31, 2026
Jan 18, 20134 then
Employees (5.A)17 as of Mar 31, 2026
Jan 18, 201315 then
Private funds: no history
RAUM +14% over the last fiscal year+12% a year over threeIARs 9 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
- RAUM per advisor
- $165MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%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, publications, educational seminarsreportedItem 5.G
- Custody
- $361M, 150 clientsreportedItem 9.A
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B82%
- Pension and profit-sharing plans$155M12%
- Individuals$46.8M3.5%
- Charitable organizations$20.5M1.6%
- Corporations and businesses$11.5M0.9%
- Individual clients
- 109reported
- HNW clients
- 197reported
- Pension plan clients
- 17reported
- Charitable clients
- 12reported
- Accounts
- 930reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $361M for 150 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.13 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 |
|---|---|---|---|---|
| Terence Paul Weiss | Indianapolis, In | Mar 2, 2007 | 42 y | 1 |
| Jeffrey Germaine DowdenChartered Financial Analyst | Indianapolis, In | Mar 2, 2007 | 36 y | 1 |
| Michael Anthony CharlesCertified Financial Planner | Indianapolis, In | Nov 21, 2012 | 35 y | 3 |
| Daniel Robert KlemkoskyCertified Financial Planner, Chartered Financial Analyst | Indianapolis, In | Aug 18, 2015 | 15 y | 0 |
| Christopher Patrick WeissCertified Financial Planner | Indianapolis, In | Mar 31, 2016 | 13 y | 0 |
| Samuel OliphantCertified Financial Planner, Chartered Financial Analyst | Indianapolis, In | Aug 21, 2021 | 10 y | 0 |
| Alan Kovalsky | Indianapolis, In | Oct 3, 2024 | 21 y | 3 |
| Bryce Luedtke | Indianapolis, In | Jan 9, 2026 | 10 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
- Damian Ross Kramer to Fidelity Personal And Workplace AdvisorsMar 19, 2021 · RIA to affiliated broker-dealer or bank
- Audrey Bruch to Sheaff Brock Investment Advisors, LLCJun 28, 2016 · Other
- James Blake Guyler to Smith Salley Wealth ManagementApr 11, 2014 · Other
- John Wendell Rosebrough to Biechele Royce Advisors, Inc.Jul 31, 2009 · Other
- Frank Joseph Esposito to Watermark Wealth Management, LLCNov 12, 2008 · Other
Joined, latest
- Alan Kovalsky from Schwab Wealth Advisory, Inc.Oct 3, 2024 · Other
- Damian Ross Kramer from Fidelity Personal And Workplace AdvisorsJan 29, 2020 · Affiliated broker-dealer or bank to independent RIA
- James Blake Guyler from Bb&T Asset Management, Inc.Jan 10, 2014 · Other
- Michael Anthony Charles from Advice And Planning ServicesNov 21, 2012 · Other
- Audrey Bruch from Winthrop Capital ManagementNov 21, 2012 · Other
- Frank Joseph Esposito from Allspring Funds Management, LLCJul 7, 2008 · Other
- Terence Paul Weiss from Bartlett & CoMar 2, 2007 · Other
- Jeffrey Germaine Dowden from Bartlett & CoMar 2, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Germaine Jeffrey Dowden · Executive Vice Presidentcontrolsince 03/2007 · owns less than 5%
- Carl John Swhear · Chief Compliance Officercontrolsince 10/2019 · owns less than 5%
- Paul Terence Weiss · President/Managing Membercontrolsince 02/2007 · 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 | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026wrap fee program participation (Item 5.I): yes on the filing of 2026-02-16, no on the filing of 2026-03-31peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 31, 2026WEISS, TERENCE, PAUL (PRESIDENT/MANAGING MEMBER) left Schedule A between the filings of 2019-10-24 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 853 to 930Feb 16, 2026 to Mar 31, 2026
- Advisory employees · 9 to 8Feb 16, 2026 to Mar 31, 2026
- Charity clients · 11 to 12Feb 16, 2026 to Mar 31, 2026
- Corporate clients · unset to 2.0Feb 16, 2026 to Mar 31, 2026
- HNW clients · 186 to 197Feb 16, 2026 to Mar 31, 2026
- Individual clients · 114 to 109Feb 16, 2026 to Mar 31, 2026
- Pension plan clients · 15 to 17Feb 16, 2026 to Mar 31, 2026
- Assets in custody · $306M to $361MFeb 16, 2026 to Mar 31, 2026
- Employees · 18 to 17Feb 16, 2026 to Mar 31, 2026
- State-registered IARs · 9 to 8Feb 16, 2026 to Mar 31, 2026
- Discretionary RAUM · $1.2B to $1.3BFeb 16, 2026 to Mar 31, 2026
- HNW RAUM · $948M to $1.1BFeb 16, 2026 to Mar 31, 2026
- Individual RAUM · $51.0M to $46.8MFeb 16, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $2.9MFeb 16, 2026 to Mar 31, 2026
- Pension RAUM · $134M to $155MFeb 16, 2026 to Mar 31, 2026
- RAUM · $1.2B to $1.3BFeb 16, 2026 to Mar 31, 2026
- Wrap assets (manager) · 0.0 to unsetFeb 16, 2026 to Mar 31, 2026
- Wrap assets (sponsor) · 0.0 to unsetFeb 16, 2026 to Mar 31, 2026
- Financial planning clients · 26-50 to 26-50Mar 31, 2025 to Jul 25, 2025
- Accounts · 839 to 853Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 8 to 9Mar 28, 2024 to Mar 31, 2025
- Charity clients · 12 to 11Mar 28, 2024 to Mar 31, 2025
- Corporate clients · 2.0 to unsetMar 28, 2024 to Mar 31, 2025
- HNW clients · 177 to 186Mar 28, 2024 to Mar 31, 2025
- Individual clients · 121 to 114Mar 28, 2024 to Mar 31, 2025
- Pension plan clients · 17 to 15Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $321M to $306MMar 28, 2024 to Mar 31, 2025
- Employees · 16 to 18Mar 28, 2024 to Mar 31, 2025
- State-registered IARs · 7 to 9Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.1B to $1.2BMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $825M to $948MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $49.7M to $51.0MMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $137M to $134MMar 28, 2024 to Mar 31, 2025
- RAUM · $1.1B to $1.2BMar 28, 2024 to Mar 31, 2025
- Accounts · 805 to 839Mar 29, 2023 to Mar 28, 2024
- Corporate clients · 3 to 2Mar 29, 2023 to Mar 28, 2024
- HNW clients · 162 to 177Mar 29, 2023 to Mar 28, 2024
- Individual clients · 126 to 121Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $254M to $321MMar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $930M to $1.1BMar 29, 2023 to Mar 28, 2024
Signals
4 dated events
- Carl John Swhear (Chief Compliance Officer) appeared on Schedule A of Wallington Asset ManagementOct 24, 2019 · Control person joined · fact
- Richard Bradley Stark (Chief Compliance Officer) no longer on Schedule A of Wallington Asset Management (listed 2019-06-26, absent 2019-10-24)Oct 24, 2019 · Control person left · inference
- Javier Enrique Rendon (Chief Compliance Officer) no longer on Schedule A of Wallington Asset Management (listed 2019-02-11, absent 2019-06-26)Jun 26, 2019 · Control person left · inference
- Richard Bradley Stark (Chief Compliance Officer) appeared on Schedule A of Wallington Asset ManagementJun 26, 2019 · Control person joined · 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
- 317-575-8670reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 317-575-8671reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/wallingtonassetreportedpublic record, Form ADV, Sep 17, 2026
- Website
- wallington.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 317-575-8670reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- wallingtonasset.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- wallingtonasset.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $165Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026