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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
W••• A•••••••• I•••
Legal name W••• A•••••••• I•••••••••
Latest filing Feb 24, 2026
First filing on the tape Jan 26, 2012 · 17 filings
SEC status approved since Jul 29, 2011
RAUM
$637M
reported, Item 5.F
Discretionary
0.1%
of RAUM
Private clients
100%
$637M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$637M
derived; firm RAUM over IAPD count
Employees
1
1 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$637M as of Feb 24, 2026
Jan 26, 2012$275M then
HNW client RAUM$636M as of Feb 24, 2026
Feb 26, 2018$379M then
State-registered IARs (5.B.3)1 as of Feb 24, 2026
Jan 26, 20120 then
Employees (5.A)1 as of Feb 24, 2026
Feb 25, 20131 then
Private funds: no history
RAUM +12% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 24, 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
- $637MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $42.4MderivedHNW RAUM over HNW clients
- Average account
- $39.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.1%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%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
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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$636M100%
- Individuals$430,9920.1%
- Individual clients
- 1reported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• J•••••••• W•••Chartered Financial Analyst | Fishers, In | Jul 29, 2011 | 21 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••• D••••• J•••••••• · President, Chief Compliance Officercontrolsince 08/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $412,688 to $430,992Feb 26, 2025 to Feb 24, 2026
- HNW RAUM · $568M to $636MFeb 26, 2025 to Feb 24, 2026
- Individual RAUM · $412,688 to $430,992Feb 26, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $568M to $636MFeb 26, 2025 to Feb 24, 2026
- RAUM · $568M to $637MFeb 26, 2025 to Feb 24, 2026
- Accounts · 14 to 16Feb 22, 2024 to Feb 26, 2025
- HNW clients · 13 to 15Feb 22, 2024 to Feb 26, 2025
- Financial planning clients · 0 to 0Feb 22, 2024 to Feb 26, 2025
- HQ city · unset to Feb 22, 2024 to Feb 26, 2025
- HQ state · unset to Feb 22, 2024 to Feb 26, 2025
- Discretionary RAUM · $501M to $412,688Feb 22, 2024 to Feb 26, 2025
- HNW RAUM · $501M to $568MFeb 22, 2024 to Feb 26, 2025
- Individual RAUM · $398,306 to $412,688Feb 22, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $398,306 to $568MFeb 22, 2024 to Feb 26, 2025
- RAUM · $501M to $568MFeb 22, 2024 to Feb 26, 2025
- Discretionary RAUM · $376,672 to $501MMar 2, 2023 to Feb 22, 2024
- HNW RAUM · $437M to $501MMar 2, 2023 to Feb 22, 2024
- Individual RAUM · $376,672 to $398,306Mar 2, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $437M to $398,306Mar 2, 2023 to Feb 22, 2024
- RAUM · $438M to $501MMar 2, 2023 to Feb 22, 2024
- Accounts · 15 to 14Feb 14, 2022 to Mar 2, 2023
- HNW clients · 14 to 13Feb 14, 2022 to Mar 2, 2023
- Discretionary RAUM · $440,887 to $376,672Feb 14, 2022 to Mar 2, 2023
- HNW RAUM · $531M to $437MFeb 14, 2022 to Mar 2, 2023
- Individual RAUM · $440,887 to $376,672Feb 14, 2022 to Mar 2, 2023
- Non-discretionary RAUM · $531M to $437MFeb 14, 2022 to Mar 2, 2023
- RAUM · $531M to $438MFeb 14, 2022 to Mar 2, 2023
- Discretionary RAUM · $429,336 to $440,887Feb 24, 2021 to Feb 14, 2022
- HNW RAUM · $459M to $531MFeb 24, 2021 to Feb 14, 2022
- Individual RAUM · $429,336 to $440,887Feb 24, 2021 to Feb 14, 2022
- Non-discretionary RAUM · $459M to $531MFeb 24, 2021 to Feb 14, 2022
- RAUM · $459M to $531MFeb 24, 2021 to Feb 14, 2022
- Accounts · 14 to 15Oct 14, 2020 to Feb 24, 2021
- HNW clients · 13 to 14Oct 14, 2020 to Feb 24, 2021
- Discretionary RAUM · $404,571 to $429,336Oct 14, 2020 to Feb 24, 2021
- HNW RAUM · $414M to $459MOct 14, 2020 to Feb 24, 2021
- Individual RAUM · $404,571 to $429,336Oct 14, 2020 to Feb 24, 2021
- Non-discretionary RAUM · $414M to $459MOct 14, 2020 to Feb 24, 2021
- RAUM · $415M to $459MOct 14, 2020 to Feb 24, 2021
- Discretionary RAUM · $373,178 to $404,571Feb 15, 2019 to Feb 26, 2020
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
- Principal office phone
- 317-627-1083reportedpublic record, Form ADV, Feb 24, 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
- $637Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026