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
Lji Wealth Management, LLC
Latest filing Aug 27, 2026
First filing on the tape Feb 23, 2012 · 32 filings
SEC status approved since Apr 4, 2013
RAUM
$1.4B
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
76%
$1.0B individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$106M
derived; firm RAUM over IAPD count
Employees
13
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.4B as of Aug 27, 2026
Feb 23, 2012$62.5M then
HNW client RAUM$686M as of Aug 27, 2026
Mar 14, 2018$93.7M then
State-registered IARs (5.B.3)13 as of Aug 27, 2026
Feb 23, 20120 then
Employees (5.A)13 as of Aug 27, 2026
Feb 21, 20145 then
Private funds: no history
RAUM +28% over the last fiscal year+29% a year over threeIARs 13 to 13
Practice profile
derived from the filing of Aug 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $384,365derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $403M, 276 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
- 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)
- 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$686M50%
- Individuals$353M26%
- State and municipal entities$174M13%
- Pension and profit-sharing plans$161M12%
- Individual clients
- 1,259reported
- HNW clients
- 231reported
- Pension plan clients
- 55reported
- Charitable clients
- n/areported
- Accounts
- 3,574reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $403M for 276 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.76 fund_share=0.0 institutional_share=0.24 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Layton Leon John | Indianapolis, In | Nov 4, 2008 | 32 y | 2 |
| James Aaron Morrow | Indianapolis, In | Mar 3, 2010 | 25 y | 2 |
| Joshua David John | Indianapolis, In | Dec 7, 2011 | 25 y | 0 |
| Bradley Heath OwensCertified Financial Planner | Indianapolis, In | Mar 5, 2012 | 28 y | 7 |
| Jonathan William Russell | Indianapolis, In | Sep 6, 2012 | 14 y | 0 |
| Daniel Keith Lucas | Indianapolis, In | Aug 22, 2014 | 16 y | 0 |
| Bruce Frederick Hubbell | Indianapolis, In | Feb 11, 2015 | 25 y | 1 |
| Strawn Christian Markle | Indianapolis, In | Sep 11, 2017 | 31 y | 1 |
| Scott Matthew Riethman | Indianapolis, In | Jun 25, 2020 | 20 y | 2 |
| Tanner Shaffer Coulter | Muncie, In | Aug 12, 2020 | 11 y | 1 |
| Luke Nolen Drye | Indianapolis, In | Aug 25, 2022 | 14 y | 0 |
| Zachary Nicholas Melloh | Indianapolis, In | May 26, 2023 | 13 y | 0 |
| Jade Thomas HoltCertified Financial Planner | Highlands Ranch, Co | Jul 22, 2026 | 32 y | 2 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 15% of current headcount2 left over 36 months
Left, latest
- Gregory Allen Whicker to Whicker Wealth Management, LLCMar 6, 2026 · RIA to a state-registered adviser
- Kevin John Mitchell to Savant Wealth ManagementOct 3, 2025 · RIA to RIA
- Bradley Heath Owens to Charles Schwab & Co., Inc.Sep 30, 2009 · Other
Joined, latest
- Jade Thomas Holt from Schwab Wealth Advisory, Inc.Jul 22, 2026 · Affiliated broker-dealer or bank to independent RIA
- Kevin John Mitchell from Nationwide Investment Advisors, LLCApr 25, 2025 · Affiliated broker-dealer or bank to independent RIA
- Gregory Allen Whicker from Denali Wealth Management Advisors, LLCAug 3, 2022 · Other
- Tanner Shaffer Coulter from Pruco Securities, LLCAug 12, 2020 · Affiliated broker-dealer or bank to independent RIA
- Scott Matthew Riethman from Nationwide Investment Advisors, LLCJun 25, 2020 · Affiliated broker-dealer or bank to independent RIA
- Strawn Christian Markle from Its Asset Management, L.P.Sep 11, 2017 · Other
- Bruce Frederick Hubbell from Sym Financial AdvisorsFeb 11, 2015 · Other
- Bradley Heath Owens from Schwab Wealth Advisory, Inc.Mar 5, 2012 · Other
- James Aaron Morrow from Raymond James & Associates, Inc.Mar 3, 2010 · Other
- Layton Leon John from Obs FinancialNov 4, 2008 · Other
- Bradley Heath Owens from Obs FinancialNov 4, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Leon Layton John · President Officercontrolsince 10/2008 · owns 50% to 75%
- Heath Bradley Owens · Chief Compliance Officercontrolsince 02/2012 · owns 5% to 10%
- David Joshua John · Investment Adviser Representativesince 08/2016 · owns 5% to 10%
- Keith Daniel Lucas · Investment Adviser Representativesince 08/2016 · owns 5% to 10%
- William Jonathan Russell · Investment Adviser Representativesince 08/2016 · owns 10% to 25%
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 | 13 | 1 | 2 |
Offices
Schedule D 1.F, the 25 largest
- Indianapolis, IN2 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 27, 2026OWENS, BRADLEY, HEATH (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2016-10-17 and 2026-08-27peers: independent wealth managers, $1B to $5B (1,360)
- account count surgeChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 1,613.0 to 3,574.0 (+122.0%) between the annual amendments of 2025-02-28 and 2026-03-30; the peer median change was +6.0% (1206 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 1,613 to 3,574Jan 7, 2026 to Mar 30, 2026
- HNW clients · 147 to 231Jan 7, 2026 to Mar 30, 2026
- Individual clients · 1,378 to 1,259Jan 7, 2026 to Mar 30, 2026
- Pension plan clients · 88 to 55Jan 7, 2026 to Mar 30, 2026
- Assets in custody · $103M to $403MJan 7, 2026 to Mar 30, 2026
- Discretionary RAUM · $890M to $1.2BJan 7, 2026 to Mar 30, 2026
- HNW RAUM · $424M to $686MJan 7, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $181M to $176MJan 7, 2026 to Mar 30, 2026
- Pension RAUM · $294M to $161MJan 7, 2026 to Mar 30, 2026
- RAUM · $1.1B to $1.4BJan 7, 2026 to Mar 30, 2026
- Assets in custody · $0 to $103MFeb 28, 2025 to May 1, 2025
- Custody of client assets · false to trueFeb 28, 2025 to May 1, 2025
- Financial planning clients · 1-10 to 1-10Feb 28, 2025 to May 1, 2025
- Accounts · 3,356 to 1,613Mar 25, 2024 to Feb 28, 2025
- Advisory employees · 15 to 13Mar 25, 2024 to Feb 28, 2025
- Advisory activities · 4 to 3Mar 25, 2024 to Feb 28, 2025
- HNW clients · 130 to 147Mar 25, 2024 to Feb 28, 2025
- Individual clients · 1,321 to 1,378Mar 25, 2024 to Feb 28, 2025
- Pension plan clients · 70 to 88Mar 25, 2024 to Feb 28, 2025
- Commission compensation · false to trueMar 25, 2024 to Feb 28, 2025
- Assets in custody · unset to 0.0Mar 25, 2024 to Feb 28, 2025
- Employees · 15 to 13Mar 25, 2024 to Feb 28, 2025
- Financial planning clients · More than 500 to 1-10Mar 25, 2024 to Feb 28, 2025
- State-registered IARs · 15 to 13Mar 25, 2024 to Feb 28, 2025
- Discretionary RAUM · $644M to $890MMar 25, 2024 to Feb 28, 2025
- HNW RAUM · $406M to $424MMar 25, 2024 to Feb 28, 2025
- Individual RAUM · $238M to $353MMar 25, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $209M to $181MMar 25, 2024 to Feb 28, 2025
- Pension RAUM · $209M to $294MMar 25, 2024 to Feb 28, 2025
- RAUM · $853M to $1.1BMar 25, 2024 to Feb 28, 2025
- Accounts · 2,919 to 3,356Jan 2, 2024 to Mar 25, 2024
- HNW clients · 125 to 130Jan 2, 2024 to Mar 25, 2024
- Individual clients · 1,155 to 1,321Jan 2, 2024 to Mar 25, 2024
- Pension plan clients · 72 to 70Jan 2, 2024 to Mar 25, 2024
- Financial planning clients · 0 to More than 500Jan 2, 2024 to Mar 25, 2024
- Discretionary RAUM · $460M to $644MJan 2, 2024 to Mar 25, 2024
- HNW RAUM · $312M to $406MJan 2, 2024 to Mar 25, 2024
- Individual RAUM · $148M to $238MJan 2, 2024 to Mar 25, 2024
- Non-discretionary RAUM · $187M to $209MJan 2, 2024 to Mar 25, 2024
- Pension RAUM · $187M to $209MJan 2, 2024 to Mar 25, 2024
Signals
8 dated events
- Lji Wealth Management, Llc reported RAUM $1.4B, up 28% from $1.1B (2026-01-07 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Gregory Allen Whicker left Lji Wealth Management, Llc for Whicker Wealth Management, Llc (registered 2026-03-04)Mar 6, 2026 · Advisor changed firm · fact
- Kevin John Mitchell left Lji Wealth Management, Llc for Savant Wealth Management (registered 2025-11-04)Oct 3, 2025 · Advisor changed firm · fact
- Lji Wealth Management, Llc reported RAUM $1.1B, up 26% from $853.2M (2024-03-25 to 2025-02-28)Feb 28, 2025 · RAUM change · derived
- Lji Wealth Management, Llc reported RAUM $853.2M, up 32% from $647.2M (2024-01-02 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- Lji Wealth Management, Llc reported RAUM $553.7M, up 28% from $431.2M (2021-03-13 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
- Lji Wealth Management, Llc reported RAUM $431.2M, up 39% from $310.8M (2020-06-30 to 2021-03-13)Mar 13, 2021 · RAUM change · derived
- Lji Wealth Management, Llc filed its initial SEC registration (Form ADV)Mar 21, 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
- Business phone
- 317-466-9702reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-466-9706reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/lji-wealth-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ljiwm.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 317-466-9702reportedpublic record, Form ADV, Aug 27, 2026
- Contact form
- ljiwm.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ljiwm.com/why-lji/who-we-arereportedpublished 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026