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••••• I••••••••• A•••••••• L••

Former SEC-registered adviserIndianapolis, IndianaCRD 148569SEC 801-70765IAPD
Latest filing Mar 5, 2021
First filing on the tape Mar 20, 2012 · 16 filings
RAUM
$334M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$334M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$334M as of Mar 5, 2021
Mar 20, 2012$152M then
HNW client RAUM$266M as of Mar 5, 2021
Mar 7, 2018$214M then
State-registered IARs (5.B.3)4 as of Mar 5, 2021
Mar 20, 20120 then
Employees (5.A)12 as of Mar 5, 2021
Mar 4, 20138 then
Private funds: no history
RAUM +13% over the last fiscal year+8.4% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 5, 2021; every figure names its basis
RAUM per advisor
$83.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
71derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.1MderivedHNW RAUM over HNW clients
Average account
$475,303derivedRAUM over accounts (5.F.2.f)
Discretionary
94%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
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.9%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 advisersreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$266M80%
  • Individuals$68.0M20%
Individual clients
220reported
HNW clients
65reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
702reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K••••••••• M••••••• L•••• · Membercontrol
    since 06/2009 · owns 10% to 25%
  • N•••• D•••••• T••• · Member/Chief Compliance Officercontrol
    since 06/2009 · owns 10% to 25%
  • P••••••••• G•••• L•• · Managing Membercontrol
    since 09/2008 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 679 to 702
    Jun 24, 2020 to Mar 5, 2021
  • Advisory employees · 7 to 6
    Jun 24, 2020 to Mar 5, 2021
  • HNW clients · 55 to 65
    Jun 24, 2020 to Mar 5, 2021
  • Individual clients · 222 to 220
    Jun 24, 2020 to Mar 5, 2021
  • Employees · 15 to 12
    Jun 24, 2020 to Mar 5, 2021
  • Discretionary RAUM · $281M to $314M
    Jun 24, 2020 to Mar 5, 2021
  • HNW RAUM · $247M to $266M
    Jun 24, 2020 to Mar 5, 2021
  • Individual RAUM · $47.8M to $68.0M
    Jun 24, 2020 to Mar 5, 2021
  • Non-discretionary RAUM · $14.3M to $20.0M
    Jun 24, 2020 to Mar 5, 2021
  • RAUM · $295M to $334M
    Jun 24, 2020 to Mar 5, 2021
  • Accounts · 638 to 679
    Mar 7, 2019 to Mar 10, 2020
  • Advisory employees · 6 to 7
    Mar 7, 2019 to Mar 10, 2020
  • HNW clients · 53 to 55
    Mar 7, 2019 to Mar 10, 2020
  • Assets in custody · 126193423.0 to unset
    Mar 7, 2019 to Mar 10, 2020
  • Custody of client assets · true to false
    Mar 7, 2019 to Mar 10, 2020
  • Employees · 13 to 15
    Mar 7, 2019 to Mar 10, 2020
  • Discretionary RAUM · $266M to $281M
    Mar 7, 2019 to Mar 10, 2020
  • HNW RAUM · $213M to $247M
    Mar 7, 2019 to Mar 10, 2020
  • Individual RAUM · $69.4M to $47.8M
    Mar 7, 2019 to Mar 10, 2020
  • Non-discretionary RAUM · $16.5M to $14.3M
    Mar 7, 2019 to Mar 10, 2020
  • RAUM · $282M to $295M
    Mar 7, 2019 to Mar 10, 2020
  • Accounts · 576 to 638
    Mar 7, 2018 to Mar 7, 2019
  • Advisory employees · 5 to 6
    Mar 7, 2018 to Mar 7, 2019
  • Charity clients · unset to 0.0
    Mar 7, 2018 to Mar 7, 2019
  • Individual clients · 182 to 222
    Mar 7, 2018 to Mar 7, 2019
  • Employees · 10 to 13
    Mar 7, 2018 to Mar 7, 2019
  • Discretionary RAUM · $250M to $266M
    Mar 7, 2018 to Mar 7, 2019
  • HNW RAUM · $214M to $213M
    Mar 7, 2018 to Mar 7, 2019
  • Individual RAUM · $42.2M to $69.4M
    Mar 7, 2018 to Mar 7, 2019
  • Non-discretionary RAUM · $12.0M to $16.5M
    Mar 7, 2018 to Mar 7, 2019
  • RAUM · $262M to $282M
    Mar 7, 2018 to Mar 7, 2019
  • Accounts · 545 to 576
    Mar 29, 2017 to Mar 7, 2018
  • Corporate clients · unset to 0.0
    Mar 29, 2017 to Mar 7, 2018
  • HNW clients · unset to 53.0
    Mar 29, 2017 to Mar 7, 2018
  • Individual clients · unset to 182.0
    Mar 29, 2017 to Mar 7, 2018
  • Pension plan clients · unset to 0.0
    Mar 29, 2017 to Mar 7, 2018
  • Pooled vehicle clients · unset to 0.0
    Mar 29, 2017 to Mar 7, 2018
  • Assets in custody · unset to 126193423.0
    Mar 29, 2017 to Mar 7, 2018
  • Custody of client assets · false to true
    Mar 29, 2017 to Mar 7, 2018
  • Employees · 9 to 10
    Mar 29, 2017 to Mar 7, 2018
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