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

M•••••• A•••• M••••••••• L••

Former SEC-registered adviserFort Wayne, IndianaCRD 148322SEC 801-70508IAPD
Latest filing Feb 14, 2018
First filing on the tape Jan 25, 2012 · 26 filings
RAUM
$178M
reported, Item 5.F
Discretionary
66%
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
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$178M as of Mar 21, 2017
Jan 25, 2012$100M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 21, 2017
Jan 25, 20120 then
Employees (5.A)4 as of Mar 21, 2017
Mar 23, 20131 then
Private funds: no history
RAUM +14% over the last fiscal year+8.4% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Feb 14, 2018; every figure names its basis
RAUM per advisor
$178MderivedRAUM 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
$335,217derivedRAUM over accounts (5.F.2.f)
Discretionary
66%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program
$155MreportedItem 5.I
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
531reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••••••• L••••• G••••• · Membercontrol
    since 10/2008 · owns 75% or more
  • M••••••• M••••••• D•••• · President; Chief Compliance Officercontrol
    since 12/2017 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list M•••••• A•••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Fort Wayne, IN2 employees
What changed
consecutive filings, newest first
  • Advisory employees · 2 to 1
    Mar 29, 2017 to Feb 9, 2018
  • Employees · 4 to 3
    Mar 29, 2017 to Feb 9, 2018
  • Insurance-licensed employees · 1 to 0
    Mar 29, 2017 to Feb 9, 2018
  • State-registered IARs · 2 to 1
    Mar 29, 2017 to Feb 9, 2018
  • Other offices · unset to 1.0
    Mar 29, 2017 to Feb 9, 2018
  • Related adviser · true to false
    Mar 29, 2017 to Feb 9, 2018
  • Wrap assets (manager) · unset to 0.0
    Mar 29, 2017 to Feb 9, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Mar 29, 2017 to Feb 9, 2018
  • Accounts · 482 to 531
    Aug 16, 2016 to Mar 21, 2017
  • Financial planning clients · 0 to unset
    Aug 16, 2016 to Mar 21, 2017
  • Discretionary RAUM · $102M to $117M
    Aug 16, 2016 to Mar 21, 2017
  • Non-discretionary RAUM · $54.3M to $61.0M
    Aug 16, 2016 to Mar 21, 2017
  • RAUM · $157M to $178M
    Aug 16, 2016 to Mar 21, 2017
  • Accounts · 228 to 482
    Mar 13, 2015 to Mar 9, 2016
  • Advisory activities · 5 to 3
    Mar 13, 2015 to Mar 9, 2016
  • BD registered reps · 0 to 1
    Mar 13, 2015 to Mar 9, 2016
  • Insurance-licensed employees · 0 to 1
    Mar 13, 2015 to Mar 9, 2016
  • HQ city · unset to FORT WAYNE
    Mar 13, 2015 to Mar 9, 2016
  • HQ state · unset to IN
    Mar 13, 2015 to Mar 9, 2016
  • Discretionary RAUM · $109M to $102M
    Mar 13, 2015 to Mar 9, 2016
  • Non-discretionary RAUM · $24.0M to $54.3M
    Mar 13, 2015 to Mar 9, 2016
  • RAUM · $133M to $157M
    Mar 13, 2015 to Mar 9, 2016
  • Related broker-dealer · true to false
    Mar 13, 2015 to Mar 9, 2016
  • Accounts · 161 to 228
    Oct 2, 2014 to Feb 18, 2015
  • Discretionary RAUM · $110M to $109M
    Oct 2, 2014 to Feb 18, 2015
  • Non-discretionary RAUM · $29.3M to $24.0M
    Oct 2, 2014 to Feb 18, 2015
  • RAUM · $140M to $133M
    Oct 2, 2014 to Feb 18, 2015
  • Advisory employees · 1 to 2
    Jun 11, 2014 to Oct 2, 2014
  • Employees · 3 to 4
    Jun 11, 2014 to Oct 2, 2014
  • State-registered IARs · 1 to 2
    Jun 11, 2014 to Oct 2, 2014
  • Related broker-dealer · false to true
    Jun 11, 2014 to Oct 2, 2014
  • Related adviser · false to true
    Feb 22, 2014 to Apr 4, 2014
  • RAUM · $131M to $140M
    Jul 10, 2013 to Feb 22, 2014
  • Accounts · 154 to 161
    Jul 10, 2013 to Feb 22, 2014
  • Discretionary RAUM · $105M to $110M
    Jul 10, 2013 to Feb 22, 2014
  • Non-discretionary RAUM · $26.3M to $29.3M
    Jul 10, 2013 to Feb 22, 2014
  • Employees · 1 to 3
    Apr 5, 2013 to May 13, 2013
  • Accounts · 134 to 154
    Jan 4, 2013 to Mar 23, 2013
  • Discretionary RAUM · $72.4M to $105M
    Jan 4, 2013 to Mar 23, 2013
  • Non-discretionary RAUM · $27.7M to $26.3M
    Jan 4, 2013 to Mar 23, 2013
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