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
T••••• S••••• N•••••• W••••• • T•• M•••••••••
Legal name T••••• W••••• M••••••••• L••
Latest filing Jul 9, 2026
First filing on the tape Mar 25, 2022 · 26 filings
SEC status approved since Apr 22, 2022
RAUM
$287M
reported, Item 5.F
Discretionary
1.6%
of RAUM
Private clients
100%
$287M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$23.9M
derived; firm RAUM over IAPD count
Employees
19
15 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$287M as of Jul 9, 2026
Feb 21, 2023$127M then
HNW client RAUM$146M as of Jul 9, 2026
Feb 21, 2023$50.4M then
State-registered IARs (5.B.3)12 as of Jul 9, 2026
Feb 21, 20238 then
Employees (5.A)19 as of Jul 9, 2026
Feb 21, 20238 then
Private funds: no history
RAUM +32% over the last fiscal year+31% a year over threeIARs 10 to 12offices 11 to 6
Practice profile
derived from the filing of Jul 9, 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
- RAUM per advisor
- $23.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $135,525derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 1.6%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
- 1.7derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%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, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $109M, 678 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$146M51%
- Individuals$141M49%
- Corporations and businesses$120,1330.0%
- Individual clients
- 481reported
- HNW clients
- 120reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 2,118reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $109M for 678 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••• T••••• | Indianapolis, In | Jul 1, 2008 | 21 y | 1 |
| M••• G• O••••Certified Financial Planner | Zionsville, In | Aug 15, 2017 | 14 y | 1 |
| M•••••• T•••• S•••••Certified Financial Planner | Brownsburg, In | Mar 5, 2018 | 13 y | 0 |
| T•••••• A••• D••••••Certified Financial Planner | Brownsburg, In | May 10, 2019 | 10 y | 0 |
| K••••••• R•••• N•••••• | Louisville, Ky | Jul 21, 2021 | 15 y | 0 |
| E•••• R• T•••••Certified Financial Planner | Brownsburg, In | Feb 11, 2022 | 16 y | 0 |
| A•••• S••• D•••• | Louisville, Ky | Nov 13, 2023 | 13 y | 0 |
| M••••• E••••• R••• | Brownsburg, In | Mar 6, 2025 | 19 y | 2 |
| D•••• P••••••• | Brownsburg, In | Mar 6, 2025 | 11 y | 0 |
| Z•••••• P•••• | Brownsburg, In | Feb 10, 2026 | 13 y | 0 |
| J•••• H•••••• B••••••• | Brownsburg, In | Jun 9, 2026 | 11 y | 0 |
| E••• T••••• | Brownsburg, In | Jul 9, 2026 | 11 y | 0 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount2 left over 36 months
Left, latest
- R•••••• L•• E•••••• to A••••••••• F•••••••• S•••••••• L••Apr 22, 2026 · RIA to affiliated broker-dealer or bank
- P••• E••• L•••••• to M••••••• A•••••••Sep 13, 2024 · RIA to a state-registered adviser
- K•••• J•••• L•••• to L•••• W••••• M••••••••• L••Jun 21, 2017 · RIA to a state-registered adviser
Joined, latest
- R•••••• L•• E•••••• from E••••• J••••Dec 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- M••••• E••••• R••• from F••••••• P••••••• A•• W•••••••• A•••••••Mar 6, 2025 · Affiliated broker-dealer or bank to independent RIA
- M••• G• O•••• from A•••••• A••••••• S•••••••Aug 15, 2017 · Other
- M•••••• J••• T••••• from A• G• E•••••• • S•••• I•••Jul 1, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••• M••••••• J••• · Presidentcontrolsince 05/2008 · owns 75% or more
- D••••••• T••••••• A••• · Chief Compliance Officersince 07/2024 · owns less than 5%
- N••••••• K•••••••• R•••• · Membersince 07/2023 · owns less than 5%
- S•••••• M••••••• T•••• · Membersince 01/2021 · owns less than 5%
Related persons
Schedule D 7.A
- O•••• E••••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Brownsburg, In · principal | 12 | 3 | 1 | ||
| Louisville, Ky | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Cincinnati, OH8 employees
- Zionsville, IN6 employees
- Greenwood, IN6 employees
- Indianapolis, IN4 employees
- Louisville, KY3 employees
- Lexington, KY2 employees
- Florence, KY2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- office count dropChange between filings · filing Apr 22, 2026offices other than the principal office (Item 1.F.5) moved from 11.0 to 6.0 (-45.0%) between the annual amendments of 2025-03-27 and 2026-04-22; the peer median change was 0.0% (450 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (450) · 4.2% percentile
What changed
consecutive filings, newest first
- Advisory employees · 14 to 15Jun 9, 2026 to Jul 9, 2026
- Employees · 18 to 19Jun 9, 2026 to Jul 9, 2026
- State-registered IARs · 11 to 12Jun 9, 2026 to Jul 9, 2026
- Advisory employees · 13 to 14May 20, 2026 to Jun 9, 2026
- Employees · 17 to 18May 20, 2026 to Jun 9, 2026
- State-registered IARs · 10 to 11May 20, 2026 to Jun 9, 2026
- Advisory employees · 14 to 13Mar 2, 2026 to Apr 22, 2026
- Employees · 18 to 17Mar 2, 2026 to Apr 22, 2026
- State-registered IARs · 11 to 10Mar 2, 2026 to Apr 22, 2026
- Accounts · 1,860 to 2,118Dec 18, 2025 to Feb 20, 2026
- Advisory employees · 13 to 14Dec 18, 2025 to Feb 20, 2026
- Charity clients · 2 to 1Dec 18, 2025 to Feb 20, 2026
- HNW clients · 88 to 120Dec 18, 2025 to Feb 20, 2026
- Individual clients · 419 to 481Dec 18, 2025 to Feb 20, 2026
- Assets in custody · $156M to $109MDec 18, 2025 to Feb 20, 2026
- Employees · 17 to 18Dec 18, 2025 to Feb 20, 2026
- State-registered IARs · 10 to 11Dec 18, 2025 to Feb 20, 2026
- Other offices · 11 to 6Dec 18, 2025 to Feb 20, 2026
- Discretionary RAUM · $3.0M to $4.7MDec 18, 2025 to Feb 20, 2026
- HNW RAUM · $103M to $146MDec 18, 2025 to Feb 20, 2026
- Individual RAUM · $114M to $141MDec 18, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $215M to $282MDec 18, 2025 to Feb 20, 2026
- RAUM · $218M to $287MDec 18, 2025 to Feb 20, 2026
- Business name · T••••• S••••• N•••••• W••••• M••••••••• to T••••• S••••• N•••••• W••••• • T•• M•••••••••Mar 27, 2025 to Jul 2, 2025
- Employees · 13 to 17Mar 27, 2025 to Jul 2, 2025
- Financial planning clients · 251-500 to 251-500Mar 27, 2025 to Jul 2, 2025
- Advisory employees · 11 to 13Feb 18, 2025 to Mar 27, 2025
- Employees · 11 to 13Feb 18, 2025 to Mar 27, 2025
- State-registered IARs · 8 to 10Feb 18, 2025 to Mar 27, 2025
- Other offices · 7 to 11Feb 18, 2025 to Mar 27, 2025
- Accounts · 1,559 to 1,860Sep 13, 2024 to Feb 18, 2025
- Corporate clients · 0 to 1Sep 13, 2024 to Feb 18, 2025
- HNW clients · 57 to 88Sep 13, 2024 to Feb 18, 2025
- Individual clients · 373 to 419Sep 13, 2024 to Feb 18, 2025
- Assets in custody · $83.7M to $156MSep 13, 2024 to Feb 18, 2025
- Discretionary RAUM · $2.0M to $3.0MSep 13, 2024 to Feb 18, 2025
- HNW RAUM · $66.9M to $103MSep 13, 2024 to Feb 18, 2025
- Individual RAUM · $102M to $114MSep 13, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $168M to $215MSep 13, 2024 to Feb 18, 2025
- RAUM · $170M to $218MSep 13, 2024 to Feb 18, 2025
Signals
4 dated events
- R•••••• L•• E•••••• left T••••• S••••• N•••••• W••••• • T•• M••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-05-29)Apr 22, 2026 · Advisor changed firm · fact
- T••••• S••••• N•••••• W••••• • T•• M••••••••• reported 6 offices beyond its principal office, down from 11 (2025-12-18 to 2026-02-20)Feb 20, 2026 · Office count change · derived
- P••• E••• L•••••• left T••••• S••••• N•••••• W••••• • T•• M••••••••• for M••••••• A••••••• (registered 2024-09-20)Sep 13, 2024 · Advisor changed firm · fact
- T••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 25, 2022 · 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 email
- a•••••••@t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-350-4255reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-520-3466reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 502-251-3151reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 317-350-4255reportedpublic record, Form ADV, Jul 9, 2026
- Contact form
- t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- t•••••••••.comreportedpublished 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
- $23.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026