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
P••••••• F•••••••• A•••••••• L••
Latest filing Jun 11, 2026
First filing on the tape Mar 30, 2012 · 42 filings
SEC status approved since Feb 11, 2011
RAUM
$1.3B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
84%
$1.1B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$159M
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$1.3B as of Jun 11, 2026
Mar 30, 2012$550M then
HNW client RAUM$896M as of Jun 11, 2026
Mar 28, 2018$555M then
State-registered IARs (5.B.3)7 as of Jun 11, 2026
Mar 30, 20120 then
Employees (5.A)11 as of Jun 11, 2026
Apr 1, 20137 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Jun 11, 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
- RAUM per advisor
- $159MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $562,772derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 9.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.1%derived
- Compensation
- percentage of assets, 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
- Custody
- $55.5M, 60 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$896M70%
- Individuals$177M14%
- Pension and profit-sharing plans$98.5M7.7%
- Corporations and businesses$78.5M6.2%
- Charitable organizations$26.2M2.1%
- Individual clients
- 411reported
- HNW clients
- 257reported
- Pension plan clients
- 9reported
- Charitable clients
- 13reported
- Accounts
- 2,267reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $55.5M for 60 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.1 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• F••• B•••••• | Evansville, In | Aug 9, 2011 | 15 y | 0 |
| M••• V••••• P•••••••Certified Financial Planner | Vero Beach, Fl | Dec 20, 2011 | 32 y | 1 |
| B•••• J•• G•••••Certified Financial Planner | Evansville, In | Dec 21, 2011 | 26 y | 1 |
| M•••••• E••••• V••••••Certified Financial Planner | Evansville, In | Jan 9, 2012 | 32 y | 1 |
| J••• S•••• M•••••• | Evansville, In | Jun 28, 2018 | 26 y | 5 |
| A••••• L• V•••••• | Evansville, In | Jul 16, 2020 | 16 y | 0 |
| A•••••• D• V•••••• | Evansville, In | Apr 21, 2022 | 14 y | 0 |
| S••• E••••• C••••• | Fishers, In | Jun 18, 2026 | 27 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
- J••• S•••• M•••••• from F•• A•••••••• I•••Jun 28, 2018 · Other
- M•••••• E••••• V•••••• from P••••••• F•••••••• A••••••• I••Jan 9, 2012 · Other
- B•••• J•• G••••• from P••••••• F•••••••• A••••••• I••Dec 21, 2011 · Other
- M••• V••••• P••••••• from P••••••• F•••••••• A••••••• I••Dec 20, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• T••••• F••• · Cco, Cfo & Coocontrolsince 01/2011 · owns less than 5%
- G•••••• B••••• J•• · Senior Vice President/Ciocontrolsince 12/2010 · owns less than 5%
- P•••••••• M•••• V••••• · President, Ceo & Ciocontrolsince 12/2010 · owns less than 5%
- V••••••• M••••••• E••••• · Senior Vice Presidentcontrolsince 12/2010 · owns less than 5%
Entity owners
- F•••• O••••••••• L•• · Member (Manager)direct · owns 75% or more
- C••• F•••••••• C••••••••• L••• · Partnerindirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
- C••• F•••••••• H•••••••• L••• · Partnerindirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
- C••••••• D••••••• • R••• F••• X••• L••• · Partnerindirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
- F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of F•••••••• F•• A••••••••• L••
- F•••••••• F•• P•••••• I••• · Memberindirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholder, Class B Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholderindirect · owns 75% or more of F•••••••• F•• P•••••• I•••
- F•••• F•••••••• P••••••• I••• · Memberindirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
- F•••• F•••••••• P•••••••• L•• · Memberindirect · owns 75% or more of F•••• O••••••••• L••
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Evansville, In · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 11, 2026B••••••• T••••• F••• (CCO, CFO & COO) left Schedule A between the filings of 2023-09-13 and 2026-06-11peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jun 11, 2026P•••••••• M•••• V••••• (PRESIDENT, CEO & CIO) left Schedule A between the filings of 2023-09-13 and 2026-06-11peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,184 to 2,267Apr 1, 2025 to Mar 30, 2026
- Charity clients · 14 to 13Apr 1, 2025 to Mar 30, 2026
- Corporate clients · 20 to 22Apr 1, 2025 to Mar 30, 2026
- HNW clients · 255 to 257Apr 1, 2025 to Mar 30, 2026
- Individual clients · 369 to 411Apr 1, 2025 to Mar 30, 2026
- Pension plan clients · 16 to 9Apr 1, 2025 to Mar 30, 2026
- Assets in custody · $41.0M to $55.5MApr 1, 2025 to Mar 30, 2026
- Employees · 12 to 11Apr 1, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.1B to $1.3BApr 1, 2025 to Mar 30, 2026
- HNW RAUM · $803M to $896MApr 1, 2025 to Mar 30, 2026
- Individual RAUM · $145M to $177MApr 1, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $22.0M to $24.5MApr 1, 2025 to Mar 30, 2026
- Pension RAUM · $82.1M to $98.5MApr 1, 2025 to Mar 30, 2026
- RAUM · $1.1B to $1.3BApr 1, 2025 to Mar 30, 2026
- Accounts · 2,120 to 2,184Sep 18, 2024 to Apr 1, 2025
- Charity clients · 12 to 14Sep 18, 2024 to Apr 1, 2025
- Corporate clients · 21 to 20Sep 18, 2024 to Apr 1, 2025
- HNW clients · 244 to 255Sep 18, 2024 to Apr 1, 2025
- Individual clients · 359 to 369Sep 18, 2024 to Apr 1, 2025
- Pension plan clients · 13 to 16Sep 18, 2024 to Apr 1, 2025
- Assets in custody · $47.3M to $41.0MSep 18, 2024 to Apr 1, 2025
- Employees · 10 to 12Sep 18, 2024 to Apr 1, 2025
- Financial planning clients · 11-25 to 11-25Sep 18, 2024 to Apr 1, 2025
- Discretionary RAUM · $974M to $1.1BSep 18, 2024 to Apr 1, 2025
- HNW RAUM · $703M to $803MSep 18, 2024 to Apr 1, 2025
- Individual RAUM · $138M to $145MSep 18, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $28.1M to $22.0MSep 18, 2024 to Apr 1, 2025
- Pension RAUM · $79.1M to $82.1MSep 18, 2024 to Apr 1, 2025
- RAUM · $1.0B to $1.1BSep 18, 2024 to Apr 1, 2025
- Related insurance company · false to trueSep 18, 2024 to Apr 1, 2025
- Accounts · 2,052 to 2,120Dec 5, 2023 to Mar 29, 2024
- Charity clients · 11 to 12Dec 5, 2023 to Mar 29, 2024
- Corporate clients · 19 to 21Dec 5, 2023 to Mar 29, 2024
- HNW clients · 245 to 244Dec 5, 2023 to Mar 29, 2024
- Individual clients · 340 to 359Dec 5, 2023 to Mar 29, 2024
- Assets in custody · $37.1M to $47.3MDec 5, 2023 to Mar 29, 2024
- Discretionary RAUM · $851M to $974MDec 5, 2023 to Mar 29, 2024
- HNW RAUM · $615M to $703MDec 5, 2023 to Mar 29, 2024
- Individual RAUM · $106M to $138MDec 5, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $16.0M to $28.1MDec 5, 2023 to Mar 29, 2024
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- P••••••• F•••••••• A•••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- i•••@p•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 812-436-4000reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/F••••-FINANCIAL-PARTNERSreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/P•••••••-FINANCIAL-ADVISORSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- P•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 812-436-4000reportedpublic record, Form ADV, Jun 11, 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
- $159Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026