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••••• S•••••• F•••••••• M••••••••• L••

Former SEC-registered adviserSouth Bend, IndianaCRD 162381SEC 801-77131IAPD
Latest filing Jul 25, 2016
First filing on the tape Sep 4, 2012 · 11 filings
RAUM
$48.1M
reported, Item 5.F
Discretionary
35%
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
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$48.1M as of Jan 26, 2016
Mar 25, 2013$37.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 26, 2016
Mar 25, 20131 then
Employees (5.A)3 as of Jan 26, 2016
Mar 25, 20133 then
Private funds: no history
RAUM +35% over the last fiscal year+9.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 25, 2016; every figure names its basis
RAUM per advisor
$48.1MderivedRAUM 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
$291,515derivedRAUM over accounts (5.F.2.f)
Discretionary
35%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+35%derivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for investment companiesreportedItem 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
  • 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)
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
165reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• A•••••• J•••• · Chief Compliance Officer, Presidentcontrol
        since 02/2012 · 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
      • Accounts · 148 to 165
        Jan 20, 2015 to Jan 26, 2016
      • Discretionary RAUM · $21.0M to $16.6M
        Jan 20, 2015 to Jan 26, 2016
      • Non-discretionary RAUM · $14.7M to $31.5M
        Jan 20, 2015 to Jan 26, 2016
      • RAUM · $35.7M to $48.1M
        Jan 20, 2015 to Jan 26, 2016
      • Accounts · 175 to 148
        Mar 10, 2014 to Jan 20, 2015
      • Discretionary RAUM · $15.1M to $21.0M
        Mar 10, 2014 to Jan 20, 2015
      • Non-discretionary RAUM · $16.3M to $14.7M
        Mar 10, 2014 to Jan 20, 2015
      • RAUM · $31.4M to $35.7M
        Mar 10, 2014 to Jan 20, 2015
      • Accounts · 213 to 175
        Aug 7, 2013 to Jan 28, 2014
      • Discretionary RAUM · $15.3M to $15.1M
        Aug 7, 2013 to Jan 28, 2014
      • Non-discretionary RAUM · $11.2M to $16.3M
        Aug 7, 2013 to Jan 28, 2014
      • RAUM · $26.5M to $31.4M
        Aug 7, 2013 to Jan 28, 2014
      • Discretionary RAUM · $15.6M to $15.3M
        Mar 25, 2013 to Aug 7, 2013
      • Non-discretionary RAUM · $21.5M to $11.2M
        Mar 25, 2013 to Aug 7, 2013
      • RAUM · $37.0M to $26.5M
        Mar 25, 2013 to Aug 7, 2013
      • Accounts · 214 to 213
        Nov 16, 2012 to Mar 25, 2013
      • Advisory employees · 2 to 1
        Nov 16, 2012 to Mar 25, 2013
      • BD registered reps · 2 to 1
        Nov 16, 2012 to Mar 25, 2013
      • State-registered IARs · 2 to 1
        Nov 16, 2012 to Mar 25, 2013
      • Discretionary RAUM · $19.9M to $15.6M
        Nov 16, 2012 to Mar 25, 2013
      • Non-discretionary RAUM · $16.9M to $21.5M
        Nov 16, 2012 to Mar 25, 2013
      • RAUM · $36.8M to $37.0M
        Nov 16, 2012 to Mar 25, 2013
      • Advisory employees · unset to 2.0
        Sep 4, 2012 to Nov 16, 2012
      • BD registered reps · unset to 2.0
        Sep 4, 2012 to Nov 16, 2012
      • Employees · unset to 3.0
        Sep 4, 2012 to Nov 16, 2012
      • State-registered IARs · unset to 2.0
        Sep 4, 2012 to Nov 16, 2012
      Signals
      1 dated events
      • H••••• S•••••• F•••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 4, 2012 · First SEC registration · fact
      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