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

H•••••• A•••••••• L••

Former SEC-registered adviserIndianapolis, IndianaCRD 159363SEC 801-72855IAPD
Latest filing Mar 28, 2014
First filing on the tape Feb 24, 2012 · 7 filings
RAUM
$375M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$375M as of Mar 28, 2014
Mar 1, 2012$308M then
HNW client RAUM: no history
State-registered IARs (5.B.3)11 as of Mar 28, 2014
Mar 1, 20120 then
Employees (5.A)19 as of Mar 28, 2014
Mar 28, 201319 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 10 to 11
Practice profile
derived from the filing of Mar 28, 2014; every figure names its basis
RAUM per advisor
$34.1MderivedRAUM 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
$275,260derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
11.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
+10%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
Custody
yesreportedItem 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)
  • controlled by a public reporting company (10.A)
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
1,362reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H••••••• B••••• C• · President, Chief Executive Officer, Managercontrol
    since 04/1998 · owns less than 5%
  • Z•••••• R•••••• A•••••• · Chief O•••••••• Officercontrol
    since 06/2012 · owns less than 5%
  • B•••••••• J••••••• K••• · Client Service Manager, Chief Compliance Officer
    since 10/2011 · owns less than 5%
Entity owners
  • F•••• O••••••••• L•• · Member (Manager)
    direct · owns 75% or more
  • F•••• F•••••••• P•••••••• L•• · Member
    indirect · owns 75% or more of F•••• O••••••••• L••
Related persons
Schedule D 7.A
Advisers that list H•••••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,217 to 1,362
    Jan 23, 2014 to Mar 28, 2014
  • Advisory employees · 10 to 11
    Jan 23, 2014 to Mar 28, 2014
  • State-registered IARs · 10 to 11
    Jan 23, 2014 to Mar 28, 2014
  • Discretionary RAUM · $329M to $356M
    Jan 23, 2014 to Mar 28, 2014
  • Non-discretionary RAUM · $5.6M to $19.4M
    Jan 23, 2014 to Mar 28, 2014
  • RAUM · $335M to $375M
    Jan 23, 2014 to Mar 28, 2014
  • Related insurance company · false to true
    Mar 28, 2013 to Jan 23, 2014
  • Accounts · 1,355 to 1,217
    Nov 6, 2012 to Mar 28, 2013
  • Advisory employees · 13 to 10
    Nov 6, 2012 to Mar 28, 2013
  • Financial planning clients · 251-500 to 101-250
    Nov 6, 2012 to Mar 28, 2013
  • State-registered IARs · 9 to 10
    Nov 6, 2012 to Mar 28, 2013
  • Discretionary RAUM · $308M to $329M
    Nov 6, 2012 to Mar 28, 2013
  • Non-discretionary RAUM · $0 to $5.6M
    Nov 6, 2012 to Mar 28, 2013
  • RAUM · $308M to $335M
    Nov 6, 2012 to Mar 28, 2013
  • Advisory employees · unset to 13.0
    Mar 29, 2012 to Nov 6, 2012
  • Employees · unset to 19.0
    Mar 29, 2012 to Nov 6, 2012
  • State-registered IARs · 0 to 9
    Mar 29, 2012 to Nov 6, 2012
  • Accounts · 1,270 to 1,355
    Feb 24, 2012 to Mar 1, 2012
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