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
G•••••• A•••••••• L••
Latest filing Feb 6, 2026
First filing on the tape Oct 29, 2025 · 2 filings
SEC status approved since Dec 2, 2025
RAUM
$121M
reported, Item 5.F
Discretionary
72%
of RAUM
Private clients
82%
$99.2M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$30.3M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$121M as of Feb 6, 2026
Oct 29, 2025$121M then
HNW client RAUM$73.8M as of Feb 6, 2026
Oct 29, 2025$93.1M then
State-registered IARs (5.B.3)4 as of Feb 6, 2026
Oct 29, 20254 then
Employees (5.A)4 as of Feb 6, 2026
Oct 29, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 6, 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
- 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
- RAUM per advisor
- $30.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $333,029derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 72%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 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$73.8M61%
- Individuals$25.4M21%
- Charitable organizations$22.0M18%
- Corporations and businesses$48,2870.0%
- Individual clients
- 110reported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- 8reported
- Accounts
- 364reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.18 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• R••••• M••••••••• | Fishers, In | Nov 12, 2009 | 31 y | 4 |
| B•••••• E••• G•••••Certified Financial Planner | Fishers, In | Nov 12, 2009 | 30 y | 2 |
| A••• T••••• Z•••••• | Fishers, In | May 25, 2023 | 19 y | 0 |
| J••••• O••• S•••••••••Certified Financial Planner | Fishers, In | Jun 3, 2024 | 10 y | 0 |
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
- B•••••• E••• G••••• from P•••••• W••••• A•••••••• I•••Nov 12, 2009 · Other
- M•••••• R••••• M••••••••• from P•••••• W••••• A•••••••• I•••Nov 12, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• B••••••• E••• · Chief Compliance Officer & Investment Adviser Representativecontrolsince 11/2024 · owns less than 5%
- M••••••••• M••••••• R••••• · Managing Membercontrolsince 09/2009 · 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 |
|---|---|---|---|---|---|
| Fishers, In · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 352 to 364Oct 29, 2025 to Feb 6, 2026
- Individual clients · 108 to 110Oct 29, 2025 to Feb 6, 2026
- Discretionary RAUM · $85.5M to $87.7MOct 29, 2025 to Feb 6, 2026
- HNW RAUM · $93.1M to $73.8MOct 29, 2025 to Feb 6, 2026
- Individual RAUM · $5.5M to $25.4MOct 29, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $35.1M to $33.6MOct 29, 2025 to Feb 6, 2026
- RAUM · $121M to $121MOct 29, 2025 to Feb 6, 2026
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
- investingintruth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-577-6900reportedpublic record, Form ADV, Feb 6, 2026
- Contact form
- investingintruth.com/contact-usreportedpublished 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
- $30.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026