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••• S••••••••• C•••••••••
Latest filing Feb 27, 2017
First filing on the tape Dec 16, 2011 · 50 filings
RAUM
$949M
reported, Item 5.F
Discretionary
26%
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
84
54 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$949M as of Dec 19, 2016
Dec 20, 2011$537M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 19, 2016
Dec 20, 20110 then
Employees (5.A)84 as of Dec 19, 2016
Dec 20, 2012135 then
Private funds: no history
RAUM +18% over the last fiscal year+7.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 27, 2017; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $275,735derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 26%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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, selection of other advisers, otherreportedItem 5.G
- Custody
- $893M, 3,374 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 a broker-dealer (6.A.1)
- 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)
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,442reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $893M for 3,374 clientsreported
- 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
Left, latest
- P•••• E••••• R••••• to R•••• S•••••••• • A••••••••• L••Dec 31, 2016 · Other
- J••• A•••••• F•••• to J••••• H•••••••• W••• L••••• L••Dec 31, 2016 · Other
- C•••••• C•••••• W•••••• to R•• C•••••• M••••••• L••Dec 19, 2016 · Other
- S•••• T•• to M••••• S••••••Oct 5, 2016 · Other
- C••••••••• R••••• H••••••• to W•••• F•••• A•••••••May 9, 2016 · Other
- J••• R•• P•••• to L•• F•••••••• L••Nov 25, 2015 · Other
- T•••••• R••••• S••••• to U•••••• C••• A••••••• S•••••••• L••May 12, 2015 · Other
- D•••• N• B•••••••• to C••••• I••••••••• A••••••• L••Feb 17, 2015 · Other
- M•••••• J•• M••••• to R••••• W• B•••• • C•• I•••••••••Sep 26, 2014 · Other
- K••• C•••••• K•••••• to A••••••••• F•••••••• S•••••••• L••May 19, 2014 · Other
- K•••••• R•••••• K••••••• to P•••••••• F•••••••• S•••••••••Nov 15, 2013 · Other
- K••• F•••••• to S•••••• N••••••• • C••••••• I•••••••••Oct 3, 2013 · Other
- M•••••• B••••• G••••• to S•••••••• A•••••••• L••Feb 19, 2013 · Other
- A•• J• R••• to O••••••••• S••••••••• I•••Jun 1, 2012 · Other
- M••• D•••• K•••• to A••••••••• F•••••••• S•••••••• L••Feb 21, 2012 · Other
Joined, latest
- D•••• L•• P••••• from C••••• I••••••••• A••••••• L••Apr 14, 2014 · Other
- D•••• N• B•••••••• from P•• W••••• M•••••••••Jun 24, 2013 · Other
- T•••••• R••••• S••••• from R•••••• J•••• • A••••••••• I•••Nov 9, 2011 · Other
- L••••• A•• S••• from N•••••• I••••••••• I•••Mar 29, 2011 · Other
- L•••••• E••••• T••••• from P•• W••••• M•••••••••Oct 8, 2010 · Other
- J••• C••• M••••• from P•• W••••• M•••••••••Oct 8, 2010 · Other
- S•••••• M• M••••••• from P•• W••••• M•••••••••Oct 8, 2010 · Other
- T••••• A••• W•••• from P•• W••••• M•••••••••Jan 15, 2010 · Other
- G•••••• J•••• M••••••• from E••••• J••••Jun 12, 2009 · Other
- R•••••• K••• M•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 15, 2009 · Other
- K••• C•••••• K•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 15, 2009 · Other
- S•••• A•••• S•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 15, 2009 · Other
- T•••••• R•••••• H••••• from N•••••• I••••••••• I•••Mar 4, 2009 · Other
- A••••• E•••••• G•••••• from N•••••• I••••••••• I•••Mar 4, 2009 · Other
- J••• M•••••• H••••• from N•••••• I••••••••• I•••Feb 13, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• A••• J••• · Srvp/Ccocontrolsince 04/2016 · owns less than 5%
- B•••••• M•••••• E••••• · President/Ceocontrolsince 01/1998 · owns less than 5%
- D••••••••• R•••••• A•••••• · Evp/Private Client Servicescontrolsince 01/2013 · owns less than 5%
Entity owners
- C••• S••••••••• L•• · Holding Companydirect · owns 75% or more
- S••••• F•••••••• C••• · Shareholderindirect · owns 75% or more of C••• Financial Corporation · public reporting company
Related persons
Schedule D 7.A
- S•••••• N••••••• • C••••••• I•••••••••broker-dealerinvestment adviserpooled vehicle sponsorreal estatenRAUM $198B
Offices
Schedule D 1.F, the 25 largest
- Crown Point, IN
- Ft. Wayne, IN
- Indianapolis, IN
- Lafayette, IN
- Muncie, IN
- South Bend, IN
- Zionsville, IN
What changed
consecutive filings, newest first
- Related adviser · false to trueDec 27, 2016 to Jan 6, 2017
- Related broker-dealer · false to trueDec 27, 2016 to Jan 6, 2017
- Accounts · 3,268 to 3,442Nov 30, 2016 to Dec 19, 2016
- Advisory employees · 60 to 54Nov 30, 2016 to Dec 19, 2016
- BD registered reps · 50 to 41Nov 30, 2016 to Dec 19, 2016
- Assets in custody · $742M to $893MNov 30, 2016 to Dec 19, 2016
- Employees · 115 to 84Nov 30, 2016 to Dec 19, 2016
- Discretionary RAUM · $129M to $244MNov 30, 2016 to Dec 19, 2016
- Non-discretionary RAUM · $674M to $705MNov 30, 2016 to Dec 19, 2016
- RAUM · $803M to $949MNov 30, 2016 to Dec 19, 2016
- Accounts · 3,123 to 3,268Dec 1, 2015 to Dec 7, 2015
- Assets in custody · $723M to $742MDec 1, 2015 to Dec 7, 2015
- Discretionary RAUM · $120M to $129MDec 1, 2015 to Dec 7, 2015
- Non-discretionary RAUM · $677M to $674MDec 1, 2015 to Dec 7, 2015
- RAUM · $797M to $803MDec 1, 2015 to Dec 7, 2015
- Accounts · 3,092 to 3,123Nov 18, 2014 to Dec 11, 2014
- Assets in custody · $638M to $723MNov 18, 2014 to Dec 11, 2014
- Financial planning clients · 1-10 to 0Nov 18, 2014 to Dec 11, 2014
- Discretionary RAUM · $107M to $120MNov 18, 2014 to Dec 11, 2014
- Non-discretionary RAUM · $657M to $677MNov 18, 2014 to Dec 11, 2014
- RAUM · $764M to $797MNov 18, 2014 to Dec 11, 2014
- Accounts · 3,103 to 3,092Oct 23, 2013 to Dec 10, 2013
- Advisory employees · 75 to 60Oct 23, 2013 to Dec 10, 2013
- BD registered reps · 55 to 50Oct 23, 2013 to Dec 10, 2013
- Assets in custody · $588M to $638MOct 23, 2013 to Dec 10, 2013
- Employees · 135 to 115Oct 23, 2013 to Dec 10, 2013
- Discretionary RAUM · $178M to $107MOct 23, 2013 to Dec 10, 2013
- Non-discretionary RAUM · $553M to $657MOct 23, 2013 to Dec 10, 2013
- RAUM · $731M to $764MOct 23, 2013 to Dec 10, 2013
- Accounts · 2,615 to 3,103Aug 20, 2013 to Aug 26, 2013
- Financial planning clients · 0 to 1-10Aug 20, 2013 to Aug 26, 2013
- Discretionary RAUM · $141M to $178MAug 20, 2013 to Aug 26, 2013
- Non-discretionary RAUM · $491M to $553MAug 20, 2013 to Aug 26, 2013
- RAUM · $632M to $731MAug 20, 2013 to Aug 26, 2013
- Accounts · 2,446 to 2,615Oct 3, 2012 to Dec 20, 2012
- Advisory employees · unset to 75.0Oct 3, 2012 to Dec 20, 2012
- BD registered reps · unset to 55.0Oct 3, 2012 to Dec 20, 2012
- Assets in custody · $440M to $588MOct 3, 2012 to Dec 20, 2012
- Employees · unset to 135.0Oct 3, 2012 to Dec 20, 2012
- Financial planning clients · 1-10 to 0Oct 3, 2012 to Dec 20, 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