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
G••••••• I••••••••• A•••••••• L••
Latest filing Mar 19, 2025
First filing on the tape Mar 28, 2012 · 26 filings
SEC status approved since Aug 27, 2010
RAUM
$308M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
30%
$93.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$308M as of Mar 19, 2025
Mar 28, 2012$102M then
HNW client RAUM$36.9M as of Mar 19, 2025
Mar 23, 2018$22.6M then
State-registered IARs (5.B.3)4 as of Mar 19, 2025
Mar 28, 20120 then
Employees (5.A)5 as of Mar 19, 2025
Mar 22, 20137 then
Private funds: no history
RAUM +13% over the last fiscal year+6.2% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 19, 2025; every figure names its basis
- RAUM per advisor
- $76.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $757,723derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 70%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 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
- -2.7%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, educational seminarsreportedItem 5.G
- Custody
- $21.8M, 44 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$209M68%
- Individuals$56.1M18%
- High-net-worth individuals$36.9M12%
- Charitable organizations$5.3M1.7%
- Individual clients
- 248reported
- HNW clients
- 7reported
- Pension plan clients
- 14reported
- Charitable clients
- n/areported
- Accounts
- 406reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $21.8M for 44 clientsreported
- 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- M•••••• A• G••••• to W••••• E••••••••• A••••••• S•••••••• L••Dec 3, 2025 · RIA to affiliated broker-dealer or bank
- J••• F•••••• M••••••• to W••••• E••••••••• A••••••• S•••••••• L••Dec 3, 2025 · RIA to affiliated broker-dealer or bank
- B•••• D•••• F•••• to W••••• E••••••••• A••••••• S•••••••• L••Dec 3, 2025 · RIA to affiliated broker-dealer or bank
- M•••••• A•••• T•••••••• to W••••• E••••••••• A••••••• S•••••••• L••Dec 3, 2025 · RIA to affiliated broker-dealer or bank
- J••••••• K•• R••• to H••••••••• W••••• M••••••••• L••Jul 5, 2017 · Other
Joined, latest
- M•••••• A• G••••• from E••••• J••••Sep 7, 2011 · Other
- J••••••• K•• R••• from C•••••• F•••••••• A••••••• L••Oct 4, 2010 · Other
- J••• F•••••• M••••••• from C•••••• F•••••••• A••••••• L••Sep 13, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for W••••• E••••••••• A••••••• S•••••••• L••Dec 3, 2025 · Elkhart, In · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• J•••• F•••••• · Managercontrolsince 09/2010 · owns 75% or more
- T••••••••• M••••••• A•••• · Ccocontrolsince 07/2017 · owns less than 5%
- M•••••••• A••• S•••••• · Ownersince 12/2013 · owns less than 5%
Related persons
Schedule D 7.A
- G••••••• T•• • A••••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Elkhart, In · principal | 0 | 0 | 4 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 414 to 406Mar 22, 2024 to Mar 19, 2025
- Individual clients · 255 to 248Mar 22, 2024 to Mar 19, 2025
- Assets in custody · $15.9M to $21.8MMar 22, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 1-10Mar 22, 2024 to Mar 19, 2025
- Discretionary RAUM · $272M to $308MMar 22, 2024 to Mar 19, 2025
- HNW RAUM · $34.6M to $36.9MMar 22, 2024 to Mar 19, 2025
- Individual RAUM · $56.9M to $56.1MMar 22, 2024 to Mar 19, 2025
- Pension RAUM · $175M to $209MMar 22, 2024 to Mar 19, 2025
- RAUM · $272M to $308MMar 22, 2024 to Mar 19, 2025
- Accounts · 423 to 414Mar 27, 2023 to Mar 22, 2024
- HNW clients · 38 to 7Mar 27, 2023 to Mar 22, 2024
- Individual clients · 218 to 255Mar 27, 2023 to Mar 22, 2024
- Pension plan clients · 18 to 14Mar 27, 2023 to Mar 22, 2024
- Assets in custody · $13.6M to $15.9MMar 27, 2023 to Mar 22, 2024
- Discretionary RAUM · $282M to $272MMar 27, 2023 to Mar 22, 2024
- HNW RAUM · $59.9M to $34.6MMar 27, 2023 to Mar 22, 2024
- Individual RAUM · $30.8M to $56.9MMar 27, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $1.2M to $0Mar 27, 2023 to Mar 22, 2024
- Pension RAUM · $185M to $175MMar 27, 2023 to Mar 22, 2024
- RAUM · $283M to $272MMar 27, 2023 to Mar 22, 2024
- Related insurance company · false to trueMar 27, 2023 to Mar 22, 2024
- Accounts · 421 to 423Jun 16, 2022 to Mar 27, 2023
- HNW clients · 39 to 38Jun 16, 2022 to Mar 27, 2023
- Individual clients · 216 to 218Jun 16, 2022 to Mar 27, 2023
- Pension plan clients · 17 to 18Jun 16, 2022 to Mar 27, 2023
- Assets in custody · $17.1M to $13.6MJun 16, 2022 to Mar 27, 2023
- Discretionary RAUM · $255M to $282MJun 16, 2022 to Mar 27, 2023
- HNW RAUM · $37.2M to $59.9MJun 16, 2022 to Mar 27, 2023
- Individual RAUM · $36.7M to $30.8MJun 16, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $2.3M to $1.2MJun 16, 2022 to Mar 27, 2023
- Pension RAUM · $174M to $185MJun 16, 2022 to Mar 27, 2023
- RAUM · $257M to $283MJun 16, 2022 to Mar 27, 2023
- Accounts · 399 to 421Mar 23, 2021 to Mar 18, 2022
- HNW clients · 34 to 39Mar 23, 2021 to Mar 18, 2022
- Individual clients · 217 to 216Mar 23, 2021 to Mar 18, 2022
- Assets in custody · $13.3M to $17.1MMar 23, 2021 to Mar 18, 2022
- Discretionary RAUM · $204M to $255MMar 23, 2021 to Mar 18, 2022
- HNW RAUM · $30.6M to $37.2MMar 23, 2021 to Mar 18, 2022
- Individual RAUM · $36.6M to $36.7MMar 23, 2021 to Mar 18, 2022
- Non-discretionary RAUM · $2.1M to $2.3MMar 23, 2021 to Mar 18, 2022
Signals
6 dated events
- G••••••• I••••••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $307.6M)Jan 2, 2026 · Left the SEC roster · derived
- J••• F•••••• M••••••• left G••••••• I••••••••• A•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-11-03)Dec 3, 2025 · Advisor changed firm · fact
- M•••••• A•••• T•••••••• left G••••••• I••••••••• A•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-11-03)Dec 3, 2025 · Advisor changed firm · fact
- B•••• D•••• F•••• left G••••••• I••••••••• A•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-11-03)Dec 3, 2025 · Advisor changed firm · fact
- M•••••• A• G••••• left G••••••• I••••••••• A•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-11-03)Dec 3, 2025 · Advisor changed firm · fact
- G••••••• I••••••••• A•••••••• L••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (Elkhart, IN): 4 of 4 registered, on the same dayDec 3, 2025 · Firm absorbed (people side) · derived
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