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
F•••••••• E••••••••• G••••
Legal name F•••••••• E••••••••• G•••• L••
Latest filing Jul 16, 2026
First filing on the tape Nov 16, 2011 · 59 filings
SEC status approved since Jan 3, 2012
RAUM
$987M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$960M individuals and HNW
Advisors
27
registered through the firm on IAPD
RAUM per advisor
$36.6M
derived; firm RAUM over IAPD count
Employees
25
22 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
59 filings and snapshots on the tape
RAUM$987M as of Jul 16, 2026
Mar 12, 2013$179M then
HNW client RAUM$644M as of Jul 16, 2026
Feb 2, 2018$91.6M then
State-registered IARs (5.B.3)25 as of Jul 16, 2026
Mar 12, 20138 then
Employees (5.A)25 as of Jul 16, 2026
Mar 12, 201311 then
Private funds: no history
RAUM +19% over the last fiscal year+16% a year over threeIARs 26 to 25
Practice profile
derived from the filing of Jul 16, 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
- $36.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $274,243derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 4.5derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- -7.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $4.8M, 3 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$644M65%
- Individuals$316M32%
- Corporations and businesses$24.8M2.5%
- Charitable organizations$2.4M0.2%
- Individual clients
- 996reported
- HNW clients
- 261reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 3,599reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.8M for 3 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
27 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• A••••• C••••Certified Financial Planner | Anderson, In | Jan 3, 2012 | 33 y | 1 |
| D••••• E••• H••••• | Anderson, In | Jan 6, 2012 | 28 y | 2 |
| A••• M•••••• H••••• | Anderson, In | Jan 6, 2012 | 24 y | 1 |
| A••••• W•••••• T••••••• | Indianapolis, In | Jun 10, 2014 | 16 y | 2 |
| A•••• S•••• R•••••• | Anderson, In | May 26, 2016 | 19 y | 0 |
| G•••• G••••• S•••••• | Anderson, In | Jan 10, 2017 | 16 y | 1 |
| D••• A• H••••••••• | Anderson, In | Jan 17, 2017 | 22 y | 0 |
| P••• E••••• K••••••• | Anderson, In | May 24, 2017 | 11 y | 0 |
| J•••• C•••••••• B••••• | Anderson, In | Jan 17, 2018 | 10 y | 0 |
| B•••• A••• S••••••• | Anderson, In | May 30, 2018 | 33 y | 0 |
| S••• M•••••• G••••• | Anderson, In | Jul 1, 2019 | 11 y | 0 |
| S•••• R•••• J•••• | Anderson, In | Oct 28, 2019 | 14 y | 0 |
| D•••• E••••• H•••••••Certified Financial Planner | Anderson, In | Jan 7, 2020 | 13 y | 0 |
| Z•••••• B•••• U•••• | Anderson, In | May 19, 2021 | 11 y | 0 |
| G•••• L••• T•••••••Certified Financial Planner | Anderson, In | Mar 11, 2022 | 11 y | 0 |
| K••• N••• K••• | Anderson, In | Dec 15, 2022 | 10 y | 1 |
| S••••• N•••Certified Financial Planner | Indianapolis, In | Sep 29, 2023 | 13 y | 2 |
| J••• H••••• C••••• | Anderson, In | Oct 31, 2023 | 13 y | 0 |
| K•••••• N••••• H•••••• | Indianapolis, In | Jan 23, 2024 | 10 y | 0 |
| A••••• M••••••• W•••• | Anderson, In | Jul 23, 2024 | 10 y | 0 |
| M••••• L••• R••• | Anderson, In | Aug 6, 2024 | 16 y | 0 |
| C••••••••• J••••• B••••• | Lafayette, In | Nov 18, 2024 | 13 y | 0 |
| M•••••• A••••••••• G••••Certified Financial Planner | Woodstock, Ga | Oct 1, 2025 | 30 y | 5 |
| G•••• E•••• M•••••• | Brownsburg, In | Oct 15, 2025 | 11 y | 0 |
| J••••• S••••••• Z••• | Anderson, In | Oct 20, 2025 | 11 y | 0 |
| R•••••• E••••• M•••••••• | Anderson, In | Jan 6, 2026 | 28 y | 0 |
| A•••• J•••• H••• | Anderson, In | Jun 29, 2026 | 10 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- M•••••• J•• M••••••• to J••• M••••• S••••••••• L••Apr 19, 2024 · RIA to wirehouse
- B••• T••••• A••••••• to O•••• W•••••• I•••Feb 5, 2024 · RIA to affiliated broker-dealer or bank
- C••••••••• M•••••• R•••••• to W•••• E••••• G••••• I•••Dec 20, 2021 · RIA to affiliated broker-dealer or bank
- N••••• E• C•••••• to S••••• W••••• A•••••••• I•••Dec 12, 2012 · Other
Joined, latest
- A•••• J•••• H••• from S•••••••• A••••••• L••Jun 29, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••••• A••••••••• G•••• from C•••••• S••••• • C••• I•••Oct 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- S••••• N••• from F••• Q••••••• W••••• A•••••••• I•••Sep 29, 2023 · RIA to RIA
- K••• N••• K••• from C•••••• S••••• • C••• I•••Dec 15, 2022 · Affiliated broker-dealer or bank to independent RIA
- G•••• G••••• S•••••• from M•• I•••••••• S•••••••• L••Jan 10, 2017 · Other
- A••••• W•••••• T••••••• from W•••• E••••• G••••• I•••Jun 10, 2014 · Other
- N••••• E• C•••••• from W•••• E••••• G••••• I•••Feb 8, 2012 · Other
- A••• M•••••• H••••• from W•••• E••••• G••••• I•••Jan 6, 2012 · Other
- D••••• E••• H••••• from W•••• E••••• G••••• I•••Jan 6, 2012 · Other
- J••••• A••••• C•••• from W•••• E••••• G••••• I•••Jan 3, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from W•••• E••••• G••••• I•••Nov 30, 2023 · Mooresville, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• J•••••• A••••• · Managing Membercontrolsince 11/2011 · owns less than 5%
- H•••••• A•••• M•••••• · Chief Investment Strategist, Ownercontrolsince 12/2012 · owns 10% to 25%
- H•••••• D•••••• E••• · Chief Compliance Officer, Ownercontrolsince 12/2012 · owns 10% to 25%
- J••••••••• T•••••• B•••••• · Lead Paraplannercontrolsince 01/2019 · owns 10% to 25%
- C••••• J•••••• A••••• · Managing Member/Ownercontrolsince 03/2002 · owns 75% or more of J•••• M•••• S••• L••
- B•••••• J••••• C•••••••• · Financial Advisorsince 01/2025 · owns less than 5%
- E•••••• D••••• L••• · Account Specialistsince 01/2025 · owns less than 5%
- G•••••• S•••• M•••••• · Financial Advisorsince 01/2025 · owns less than 5%
- H•••••••• D••••• E••••• · Financial Advisorsince 01/2025 · owns less than 5%
- K•••••••• P•••• E••••• · Financial Advisorsince 01/2025 · owns less than 5%
- M•••••• S•••• J• · Processorsince 01/2021 · owns less than 5%
- M••••••• V•••• J• · Firm Administratorsince 01/2021 · owns less than 5%
- N•••• S••••• · Financial Advisorsince 01/2025 · owns 5% to 10%
- R••••••• A••••• S•••• · Director Of Financial Planning Administratorsince 01/2020 · owns 5% to 10%
- S••••••• G••••• G••••• · Financial Advisorsince 01/2025 · owns 5% to 10%
Entity owners
- J•••• M•••• S••• L•• · Ownerdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Anderson, In · principal | 27 | 5 | 0 | ||
| Indianapolis, In | 8 | 1 | 0 | ||
| Brownsburg, In | 3 | 1 | 0 | ||
| Lafayette, In | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Indianapolis, IN5 employees
- Lafayette, IN2 employees
- Brownsburg, IN1 employees
- Rensselaer, IN1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 12, 2026HNW share of RAUM moved from 16.0% to 65.0% between the annual amendments of 2025-02-19 and 2026-02-12peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Advisory employees · 21 to 22Feb 12, 2026 to Jul 16, 2026
- Employees · 24 to 25Feb 12, 2026 to Jul 16, 2026
- State-registered IARs · 24 to 25Feb 12, 2026 to Jul 16, 2026
- Accounts · 3,412 to 3,599Sep 9, 2025 to Feb 12, 2026
- Advisory employees · 18 to 21Sep 9, 2025 to Feb 12, 2026
- Advisory activities · 2 to 3Sep 9, 2025 to Feb 12, 2026
- HNW clients · 251 to 261Sep 9, 2025 to Feb 12, 2026
- Individual clients · 946 to 996Sep 9, 2025 to Feb 12, 2026
- Assets in custody · $1.7M to $4.8MSep 9, 2025 to Feb 12, 2026
- Employees · 26 to 24Sep 9, 2025 to Feb 12, 2026
- State-registered IARs · 26 to 24Sep 9, 2025 to Feb 12, 2026
- Discretionary RAUM · $832M to $987MSep 9, 2025 to Feb 12, 2026
- HNW RAUM · $607M to $644MSep 9, 2025 to Feb 12, 2026
- Individual RAUM · $201M to $316MSep 9, 2025 to Feb 12, 2026
- RAUM · $832M to $987MSep 9, 2025 to Feb 12, 2026
- HNW clients · 16 to 251Feb 19, 2025 to Sep 9, 2025
- Individual clients · 1,181 to 946Feb 19, 2025 to Sep 9, 2025
- HNW RAUM · $132M to $607MFeb 19, 2025 to Sep 9, 2025
- Individual RAUM · $676M to $201MFeb 19, 2025 to Sep 9, 2025
- Accounts · 3,285 to 3,412Sep 30, 2024 to Feb 19, 2025
- Advisory employees · 21 to 18Sep 30, 2024 to Feb 19, 2025
- Corporate clients · 22 to 21Sep 30, 2024 to Feb 19, 2025
- HNW clients · 13 to 16Sep 30, 2024 to Feb 19, 2025
- Individual clients · 1,103 to 1,181Sep 30, 2024 to Feb 19, 2025
- Assets in custody · $1.6M to $1.7MSep 30, 2024 to Feb 19, 2025
- Employees · 23 to 26Sep 30, 2024 to Feb 19, 2025
- Financial planning clients · 251-500 to 251-500Sep 30, 2024 to Feb 19, 2025
- State-registered IARs · 23 to 26Sep 30, 2024 to Feb 19, 2025
- Other offices · 4 to 5Sep 30, 2024 to Feb 19, 2025
- Discretionary RAUM · $728M to $832MSep 30, 2024 to Feb 19, 2025
- HNW RAUM · $115M to $132MSep 30, 2024 to Feb 19, 2025
- Individual RAUM · $591M to $676MSep 30, 2024 to Feb 19, 2025
- RAUM · $728M to $832MSep 30, 2024 to Feb 19, 2025
- Accounts · 3,204 to 3,285Dec 1, 2023 to Feb 9, 2024
- Advisory employees · 18 to 21Dec 1, 2023 to Feb 9, 2024
- Charity clients · 2 to 3Dec 1, 2023 to Feb 9, 2024
- Corporate clients · 18 to 22Dec 1, 2023 to Feb 9, 2024
- HNW clients · 12 to 13Dec 1, 2023 to Feb 9, 2024
- Individual clients · 1,121 to 1,103Dec 1, 2023 to Feb 9, 2024
- Assets in custody · $1.5M to $1.6MDec 1, 2023 to Feb 9, 2024
Signals
6 dated events
- M•••••• J•• M••••••• left F•••••••• E••••••••• G•••• for J••• M••••• S••••••••• L•• (registered 2024-07-31)Apr 19, 2024 · Advisor changed firm · fact
- B••• T••••• A••••••• left F•••••••• E••••••••• G•••• for O•••• W•••••• I••• (registered 2024-03-01)Feb 5, 2024 · Advisor changed firm · fact
- 3 advisors left W•••• E••••• G••••• I••• (Mooresville, IN) for F•••••••• E••••••••• G•••• within 2 daysNov 30, 2023 · Team lift-out · derived
- F•••••••• E••••••••• G•••• reported 18 state-registered advisory representatives, up from 6 (2019-02-28 to 2020-02-17)Feb 17, 2020 · Advisor headcount change · derived
- F•••••••• E••••••••• G•••• reported RAUM $493.2M, up 32% from $374.6M (2019-02-28 to 2020-02-17)Feb 17, 2020 · RAUM change · derived
- Scott A•••• Rheaume (Director Of Financial Planning) appeared on Schedule A of F•••••••• E••••••••• G••••Feb 17, 2020 · Control person joined · fact
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
- Business email
- talktofeg@yourlifeafterwork.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-773-1814reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-928-4001reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/731086reportedpublic record, Form ADV, Sep 18, 2026
- Website
- YOURLIFEAFTERWORK.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 765-640-1524reportedpublic record, Form ADV, Jul 16, 2026
- Contact form
- yourlifeafterwork.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- yourlifeafterwork.com/meet-our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $36.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026