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•• F•••••••• A•••••••• L••
Latest filing Jul 24, 2026
First filing on the tape Apr 13, 2018 · 33 filings
SEC status approved since May 14, 2018
RAUM
$1.1B
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
97%
$1.1B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
21
21 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.1B as of Jul 24, 2026
Mar 20, 2019$229M then
HNW client RAUM$1.1B as of Jul 24, 2026
Mar 20, 2019$227M then
State-registered IARs (5.B.3)12 as of Jul 24, 2026
Mar 20, 20195 then
Employees (5.A)21 as of Jul 24, 2026
Mar 20, 20197 then
Private funds3 as of Jul 24, 2026
Mar 28, 20231 then
RAUM +23% over the last fiscal year+20% a year over threeIARs 11 to 12
Practice profile
derived from the filing of Jul 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $693,184derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $137M, 130 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B94%
- Individuals$30.2M2.7%
- Charitable organizations$26.6M2.3%
- Pension and profit-sharing plans$8.2M0.7%
- Corporations and businesses$3.8M0.3%
- Individual clients
- 63reported
- HNW clients
- 183reported
- Pension plan clients
- 2reported
- Charitable clients
- 7reported
- Accounts
- 1,643reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $137M for 130 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I••• D•••••• H••••••Certified Financial Planner | Indianapolis, In | Aug 21, 2013 | 24 y | 4 |
| S••••• D•••• M•••Certified Financial Planner | Indianapolis, In | Jun 22, 2015 | 11 y | 0 |
| M•••••• J••••• S••••••Certified Financial Planner | Indianapolis, In | May 11, 2016 | 23 y | 2 |
| N••••• J•••••• K••••• | Indianapolis, In | May 8, 2022 | 12 y | 1 |
| A•••••••• A••••••Certified Financial Planner | Indianapolis, In | Apr 6, 2023 | 11 y | 1 |
| G•••••• K•••Certified Financial Planner | Indianapolis, In | Sep 14, 2023 | 13 y | 0 |
| T•••• R•••••••• C••••••Certified Financial Planner | Indianapolis, In | Sep 18, 2024 | 12 y | 0 |
| K•••••• L•••• S••••Certified Financial Planner | Indianapolis, In | Sep 26, 2025 | 10 y | 2 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months2 left in 90 days0 joined in 90 daysdeparture rate 22% of current headcount3 left over 36 months
Left, latest
- A•• R•••• H••••••• to S•••••••• A•••••••• L••Aug 3, 2026 · RIA to affiliated broker-dealer or bank
- D•••• J•••• H•••••• to S•••••• C•••••• L••Jun 26, 2026 · RIA to RIA
- M•••••• E• H•••••• to N••••••• W••••• M••••••••• G••••• L••Jul 31, 2025 · RIA to RIA
Joined, latest
- K•••••• L•••• S•••• from R•••• A•••••••• L••Sep 26, 2025 · RIA to RIA
- M•••••• E• H•••••• from A••••••••• F•••••••• S•••••••• L••Jun 19, 2024 · Affiliated broker-dealer or bank to independent RIA
- A•••••••• A•••••• from S••••••••• A•••••• A•••••••• I•••Apr 6, 2023 · Affiliated broker-dealer or bank to independent RIA
- N••••• J•••••• K••••• from C•••••• C•••••• L••May 8, 2022 · Other
- M•••••• J••••• S•••••• from O••••• F•••••••• G••••• L••May 11, 2016 · Other
- I••• D•••••• H•••••• from V•••• F•••••••• A•••••••• L••Aug 21, 2013 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•• • A•• F••• 2•••• L• | Private Equity Fund | $6.0M | 25 | Aug 18, 2022 |
| F•• C•••••• P•••••• E••••• 2•••• L• | $5.4M | 59 | Jul 24, 2026 | |
| F•• C•••••• P•••••• E••••• 2••• L• | $0 | 70 | Jul 24, 2026 | |
| F•• C•••••• P•••••• E••••• 2•••• L• | Private Equity Fund | $0 | 0 | Mar 6, 2024 |
Owners and control persons
Schedule A and B, latest filing
- H••••••• I•••• D•••••• · Managing Partnercontrolsince 03/2012 · owns 75% or more
- M•••• S•••••• D•••• · Business Partnercontrolsince 10/2017 · owns 10% to 25%
- S••••••• M••••••• J••••• · Business Partnercontrolsince 10/2017 · owns 10% to 25%
- W••••••• A•••••• S• · Chief Compliance Officersince 09/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Indianapolis, In · principal | 9 | 2 | 2 | ||
| West Chester, Oh | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- p•••••• fund count surgeChange between filings · filing Mar 24, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-04-09 and 2026-03-24; the peer median change was 0.0% (126 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $1B to $5B (126) · 92% percentile
What changed
consecutive filings, newest first
- Related adviser · false to trueJun 30, 2026 to Jul 24, 2026
- Accounts · 1,597 to 1,643Apr 9, 2025 to Mar 24, 2026
- Advisory employees · 20 to 21Apr 9, 2025 to Mar 24, 2026
- Charity clients · 6 to 7Apr 9, 2025 to Mar 24, 2026
- Corporate clients · 2 to 3Apr 9, 2025 to Mar 24, 2026
- HNW clients · 179 to 183Apr 9, 2025 to Mar 24, 2026
- Individual clients · 53 to 63Apr 9, 2025 to Mar 24, 2026
- Assets in custody · $153M to $137MApr 9, 2025 to Mar 24, 2026
- Employees · 20 to 21Apr 9, 2025 to Mar 24, 2026
- State-registered IARs · 11 to 12Apr 9, 2025 to Mar 24, 2026
- Private funds · 2 to 3Apr 9, 2025 to Mar 24, 2026
- Discretionary RAUM · $791M to $975MApr 9, 2025 to Mar 24, 2026
- HNW RAUM · $886M to $1.1BApr 9, 2025 to Mar 24, 2026
- Individual RAUM · $17.3M to $30.2MApr 9, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $138M to $164MApr 9, 2025 to Mar 24, 2026
- Pension RAUM · $6.6M to $8.2MApr 9, 2025 to Mar 24, 2026
- RAUM · $928M to $1.1BApr 9, 2025 to Mar 24, 2026
- Accounts · 1,404 to 1,597Oct 21, 2024 to Apr 9, 2025
- Advisory employees · 18 to 20Oct 21, 2024 to Apr 9, 2025
- Corporate clients · 1 to 2Oct 21, 2024 to Apr 9, 2025
- HNW clients · 162 to 179Oct 21, 2024 to Apr 9, 2025
- Individual clients · 44 to 53Oct 21, 2024 to Apr 9, 2025
- Assets in custody · $155M to $153MOct 21, 2024 to Apr 9, 2025
- Employees · 18 to 20Oct 21, 2024 to Apr 9, 2025
- Financial planning clients · 101-250 to 101-250Oct 21, 2024 to Apr 9, 2025
- State-registered IARs · 10 to 11Oct 21, 2024 to Apr 9, 2025
- Discretionary RAUM · $682M to $791MOct 21, 2024 to Apr 9, 2025
- HNW RAUM · $757M to $886MOct 21, 2024 to Apr 9, 2025
- Individual RAUM · $12.1M to $17.3MOct 21, 2024 to Apr 9, 2025
- Non-discretionary RAUM · $109M to $138MOct 21, 2024 to Apr 9, 2025
- Pension RAUM · $5.3M to $6.6MOct 21, 2024 to Apr 9, 2025
- RAUM · $792M to $928MOct 21, 2024 to Apr 9, 2025
- Accounts · 1,091 to 1,404Mar 6, 2024 to Mar 25, 2024
- Advisory employees · 6 to 18Mar 6, 2024 to Mar 25, 2024
- Corporate clients · 0 to 1Mar 6, 2024 to Mar 25, 2024
- HNW clients · 139 to 162Mar 6, 2024 to Mar 25, 2024
- Individual clients · 37 to 44Mar 6, 2024 to Mar 25, 2024
- Pension plan clients · 1 to 2Mar 6, 2024 to Mar 25, 2024
- Assets in custody · $131M to $155MMar 6, 2024 to Mar 25, 2024
- Employees · 14 to 18Mar 6, 2024 to Mar 25, 2024
Signals
5 dated events
- A•• R•••• H••••••• left F•• F•••••••• A•••••••• L•• for S•••••••• A•••••••• L•• (registered 2026-08-03)Aug 3, 2026 · Advisor changed firm · fact
- D•••• J•••• H•••••• left F•• F•••••••• A•••••••• L•• for S•••••• C•••••• L•• (registered 2026-07-23)Jun 26, 2026 · Advisor changed firm · fact
- M•••••• E• H•••••• left F•• F•••••••• A•••••••• L•• for N••••••• W••••• M••••••••• G••••• L•• (registered 2025-07-31)Jul 31, 2025 · Advisor changed firm · fact
- F•• F•••••••• A•••••••• L•• reported RAUM $606.2M, up 80% from $336.9M (2021-07-19 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- F•• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 13, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F•• F•••••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- F•• F•••••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 317-426-8800reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H•••://WWW.LINKEDIN.COM/COMPANY/3486860reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••://WWW.F•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-426-8800reportedpublic record, Form ADV, Jul 24, 2026
- Contact form
- fi3advisors.com/contact-usreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- fi3advisors.com/our-teamreportedpublished by the firm, firm site, Sep 17, 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
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026