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

L•••••••• C•••••• A•••••••• L••

Former SEC-registered adviserIndianapolis, IndianaCRD 158447SEC 801-72718IAPD
Latest filing Mar 2, 2016
First filing on the tape Mar 27, 2012 · 9 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$0 as of Mar 2, 2016
Mar 27, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 2, 2016
Mar 27, 20120 then
Employees (5.A)4 as of Mar 2, 2016
Mar 28, 20135 then
Private funds1 as of Mar 2, 2016
Mar 27, 20121 then
RAUM n/a over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 2, 2016; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L•••••••• C•••••• P••••••••• F•••• L•••Hedge Fund$00Mar 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K••••• G•••• E•••• · Membercontrol
        since 06/2011 · owns less than 5%
      • M•••••• W••••••• M•••••• · Managing Member/Chief Compliance Officercontrol
        since 06/2011 · owns 50% to 75%
      • W••••• J••• B••• · Membercontrol
        since 06/2011 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Assets in custody · 0.0 to unset
        Mar 6, 2015 to Mar 2, 2016
      • Custody of client assets · true to false
        Mar 6, 2015 to Mar 2, 2016
      • Insurance-licensed employees · 3 to 4
        Jun 23, 2014 to Mar 6, 2015
      • Advisory employees · 5 to 4
        Mar 28, 2013 to Mar 26, 2014
      • Employees · 5 to 4
        Mar 28, 2013 to Mar 26, 2014
      • Insurance-licensed employees · 4 to 3
        Mar 28, 2013 to Mar 26, 2014
      • State-registered IARs · 5 to 4
        Mar 28, 2013 to Mar 26, 2014
      • Advisory employees · unset to 5.0
        Apr 19, 2012 to Mar 28, 2013
      • Advisory activities · 2 to 3
        Apr 19, 2012 to Mar 28, 2013
      • Employees · unset to 5.0
        Apr 19, 2012 to Mar 28, 2013
      • State-registered IARs · 0 to 5
        Apr 19, 2012 to Mar 28, 2013
      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.
      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