DFX Intelligence
RIA Intelligence
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SEC-registered adviser
T••••• S•••• A•• S•• L••
Latest filing Mar 5, 2026
First filing on the tape Mar 9, 2012 · 17 filings
SEC status approved since Dec 4, 2008
RAUM
$328M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$324M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$164M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$328M as of Mar 5, 2026
Mar 9, 2012$143M then
HNW client RAUM$320M as of Mar 5, 2026
Mar 1, 2018$221M then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
Mar 9, 20120 then
Employees (5.A)2 as of Mar 5, 2026
Mar 13, 20132 then
Private funds: no history
RAUM +6.2% over the last fiscal year+9.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.4MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $4.9M, 7 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$320M98%
- Individuals$4.1M1.2%
- Corporations and businesses$3.9M1.2%
- Individual clients
- 11reported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 159reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.9M for 7 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• H•••••• S•••• | Plymouth, In | Feb 18, 2009 | 45 y | 0 |
| D•••• T••••• S•••• | Plymouth, In | May 15, 2009 | 20 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••• T••••• S•••• from W•••• F•••• A•••••••May 15, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• M••••••• S••••• · Chief Compliance Officercontrolsince 10/2008 · owns less than 5%
- S••••• T•••••• H•••••• · Managing Membercontrolsince 10/2008 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Plymouth, In · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 5, 2026HNW RAUM per HNW client of $11,436,571 against a peer median of $2,402,920 (4942 comparable advisers, 100.0th percentile, 6.1 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 100% percentile
What changed
consecutive filings, newest first
- HNW clients · 29 to 28Mar 4, 2025 to Mar 5, 2026
- Individual clients · 10 to 11Mar 4, 2025 to Mar 5, 2026
- Assets in custody · $4.7M to $4.9MMar 4, 2025 to Mar 5, 2026
- Discretionary RAUM · $309M to $328MMar 4, 2025 to Mar 5, 2026
- HNW RAUM · $301M to $320MMar 4, 2025 to Mar 5, 2026
- Individual RAUM · $4.5M to $4.1MMar 4, 2025 to Mar 5, 2026
- RAUM · $309M to $328MMar 4, 2025 to Mar 5, 2026
- Accounts · 163 to 159Mar 18, 2024 to Mar 4, 2025
- Individual clients · 11 to 10Mar 18, 2024 to Mar 4, 2025
- Assets in custody · $4.4M to $4.7MMar 18, 2024 to Mar 4, 2025
- Financial planning clients · unset to Mar 18, 2024 to Mar 4, 2025
- Discretionary RAUM · $284M to $309MMar 18, 2024 to Mar 4, 2025
- HNW RAUM · $275M to $301MMar 18, 2024 to Mar 4, 2025
- Individual RAUM · $5.1M to $4.5MMar 18, 2024 to Mar 4, 2025
- RAUM · $284M to $309MMar 18, 2024 to Mar 4, 2025
- Accounts · 157 to 163Mar 24, 2023 to Mar 18, 2024
- HNW clients · 27 to 29Mar 24, 2023 to Mar 18, 2024
- Assets in custody · $5.9M to $4.4MMar 24, 2023 to Mar 18, 2024
- Discretionary RAUM · $252M to $284MMar 24, 2023 to Mar 18, 2024
- HNW RAUM · $244M to $275MMar 24, 2023 to Mar 18, 2024
- Individual RAUM · $4.8M to $5.1MMar 24, 2023 to Mar 18, 2024
- RAUM · $252M to $284MMar 24, 2023 to Mar 18, 2024
- Accounts · 155 to 157Mar 22, 2022 to Mar 24, 2023
- Individual clients · unset to 11.0Mar 22, 2022 to Mar 24, 2023
- Assets in custody · $7.7M to $5.9MMar 22, 2022 to Mar 24, 2023
- Discretionary RAUM · $316M to $252MMar 22, 2022 to Mar 24, 2023
- HNW RAUM · $312M to $244MMar 22, 2022 to Mar 24, 2023
- Individual RAUM · $362,000 to $4.8MMar 22, 2022 to Mar 24, 2023
- RAUM · $316M to $252MMar 22, 2022 to Mar 24, 2023
- Accounts · 157 to 155Mar 2, 2021 to Mar 22, 2022
- Assets in custody · $7.0M to $7.7MMar 2, 2021 to Mar 22, 2022
- Discretionary RAUM · $306M to $316MMar 2, 2021 to Mar 22, 2022
- HNW RAUM · $302M to $312MMar 2, 2021 to Mar 22, 2022
- Individual RAUM · $308,000 to $362,000Mar 2, 2021 to Mar 22, 2022
- RAUM · $306M to $316MMar 2, 2021 to Mar 22, 2022
- Accounts · 139 to 157Jun 29, 2020 to Mar 2, 2021
- HNW clients · 24 to 27Jun 29, 2020 to Mar 2, 2021
- Assets in custody · $4.6M to $7.0MJun 29, 2020 to Mar 2, 2021
- Discretionary RAUM · $264M to $306MJun 29, 2020 to Mar 2, 2021
- HNW RAUM · $261M to $302MJun 29, 2020 to Mar 2, 2021
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.
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 630-878-0747reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $164Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026