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
C•• • C••••••• I•••
Latest filing Mar 18, 2026
First filing on the tape Dec 22, 2017 · 19 filings
SEC status approved since Jan 19, 2018
RAUM
$271M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$209M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$90.2M
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$271M as of Mar 18, 2026
Mar 13, 2018$111M then
HNW client RAUM$195M as of Mar 18, 2026
Mar 13, 2018$50.2M then
State-registered IARs (5.B.3)3 as of Mar 18, 2026
Mar 13, 20184 then
Employees (5.A)9 as of Mar 18, 2026
Mar 13, 20187 then
Private funds: no history
RAUM +7.4% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $90.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $515,579derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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$195M72%
- Pension and profit-sharing plans$62.1M23%
- Individuals$13.4M5.0%
- Individual clients
- 47reported
- HNW clients
- 114reported
- Pension plan clients
- 50reported
- Charitable clients
- n/areported
- Accounts
- 525reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•• C•••• B•••••• | Fishers, In | Jan 14, 2009 | 25 y | 2 |
| D••••• E••••• G•••••• | Fishers, In | Mar 17, 2009 | 28 y | 0 |
| N••••••• D•••• C•••••Certified Financial Planner | Fishers, In | Nov 22, 2011 | 25 y | 1 |
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
- N••••••• D•••• C••••• from H•••••• F•••••••• A•••••••• L••Nov 22, 2011 · Other
- R•• C•••• B•••••• from N•••••••• A••••••• G••••• I•••Jan 14, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• R••• C•••• · Principal, Chief Compliance Officercontrolsince 12/2008 · owns 25% to 50%
- C•••••• N•••••••• D•••• · Principalcontrolsince 01/2014 · owns 25% to 50%
- G••••••• D•••••• E••••• · Principalcontrolsince 12/2008 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Fishers, In · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 543 to 525Oct 16, 2025 to Mar 18, 2026
- HNW clients · 113 to 114Oct 16, 2025 to Mar 18, 2026
- Individual clients · 49 to 47Oct 16, 2025 to Mar 18, 2026
- Pension plan clients · 54 to 50Oct 16, 2025 to Mar 18, 2026
- Discretionary RAUM · $252M to $271MOct 16, 2025 to Mar 18, 2026
- HNW RAUM · $176M to $195MOct 16, 2025 to Mar 18, 2026
- Individual RAUM · $17.0M to $13.4MOct 16, 2025 to Mar 18, 2026
- Pension RAUM · $59.2M to $62.1MOct 16, 2025 to Mar 18, 2026
- RAUM · $252M to $271MOct 16, 2025 to Mar 18, 2026
- Accounts · 517 to 543Mar 20, 2024 to Mar 7, 2025
- HNW clients · 122 to 113Mar 20, 2024 to Mar 7, 2025
- Individual clients · 31 to 49Mar 20, 2024 to Mar 7, 2025
- Pension plan clients · 52 to 54Mar 20, 2024 to Mar 7, 2025
- Financial planning clients · 51-100 to 51-100Mar 20, 2024 to Mar 7, 2025
- Discretionary RAUM · $220M to $252MMar 20, 2024 to Mar 7, 2025
- HNW RAUM · $155M to $176MMar 20, 2024 to Mar 7, 2025
- Individual RAUM · $8.0M to $17.0MMar 20, 2024 to Mar 7, 2025
- Pension RAUM · $56.5M to $59.2MMar 20, 2024 to Mar 7, 2025
- RAUM · $220M to $252MMar 20, 2024 to Mar 7, 2025
- Accounts · 505 to 517Jan 11, 2024 to Mar 20, 2024
- Advisory employees · 4 to 3Jan 11, 2024 to Mar 20, 2024
- HNW clients · 129 to 122Jan 11, 2024 to Mar 20, 2024
- Individual clients · 26 to 31Jan 11, 2024 to Mar 20, 2024
- Pension plan clients · 65 to 52Jan 11, 2024 to Mar 20, 2024
- Employees · 10 to 9Jan 11, 2024 to Mar 20, 2024
- State-registered IARs · 4 to 3Jan 11, 2024 to Mar 20, 2024
- Discretionary RAUM · $196M to $220MJan 11, 2024 to Mar 20, 2024
- HNW RAUM · $128M to $155MJan 11, 2024 to Mar 20, 2024
- Individual RAUM · $9.4M to $8.0MJan 11, 2024 to Mar 20, 2024
- Pension RAUM · $58.5M to $56.5MJan 11, 2024 to Mar 20, 2024
- RAUM · $196M to $220MJan 11, 2024 to Mar 20, 2024
- Accounts · 469 to 505Oct 3, 2022 to Mar 9, 2023
- HNW clients · 127 to 129Oct 3, 2022 to Mar 9, 2023
- Individual clients · 31 to 26Oct 3, 2022 to Mar 9, 2023
- Pension plan clients · 73 to 65Oct 3, 2022 to Mar 9, 2023
- Discretionary RAUM · $193M to $196MOct 3, 2022 to Mar 9, 2023
- HNW RAUM · $120M to $128MOct 3, 2022 to Mar 9, 2023
- Individual RAUM · $6.4M to $9.4MOct 3, 2022 to Mar 9, 2023
- Pension RAUM · $65.9M to $58.5MOct 3, 2022 to Mar 9, 2023
- RAUM · $193M to $196MOct 3, 2022 to Mar 9, 2023
Signals
2 dated events
- Edward James Clark (Principal) no longer on Schedule A of C•• • C••••••• I••• (listed 2023-03-09, absent 2024-01-11)Jan 11, 2024 · Control person left · inference
- C•• • C••••••• I••• filed its initial SEC registration (Form ADV)Dec 22, 2017 · 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
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-257-7400reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-257-7437reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-257-7400reportedpublic record, Form ADV, Mar 18, 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
- $90.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026