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
P••••••• F••••••••• I•••
Latest filing Feb 7, 2026
First filing on the tape May 1, 2018 · 18 filings
SEC status approved since May 31, 2018
RAUM
$304M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$304M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$152M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$304M as of Feb 7, 2026
Jan 22, 2019$140M then
HNW client RAUM$220M as of Feb 7, 2026
Jan 22, 2019$12.0M then
State-registered IARs (5.B.3)2 as of Feb 7, 2026
Jan 22, 20191 then
Employees (5.A)3 as of Feb 7, 2026
Jan 22, 20191 then
Private funds: no history
RAUM +8.2% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 7, 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
- 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
- RAUM per advisor
- $152MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 253derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $413,570derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +68%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$220M72%
- Individuals$84.3M28%
- Individual clients
- 295reported
- HNW clients
- 210reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 735reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $304M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• L•••• M••••••••Certified Financial Planner | Indianapolis, In | Sep 25, 2013 | 30 y | 0 |
| J•••• M•••• M•••••••• | Indianapolis, In | Jan 9, 2024 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• R•••••• L•••• · President/Chief Compliance Officercontrolsince 09/2013 · owns 75% or more
Related persons
Schedule D 7.A
- R••••• L• M••••••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Indianapolis, In · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 7, 2026HNW share of RAUM moved from 43.0% to 72.0% between the annual amendments of 2025-03-05 and 2026-02-07peers: independent wealth managers, $100M to $500M (5,676)
- client count surgeChange between filings · filing Feb 7, 2026individual and HNW clients (Item 5.D) moved from 301.0 to 505.0 (+68.0%) between the annual amendments of 2025-03-05 and 2026-02-07; the peer median change was +3.0% (3309 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 774 to 735Dec 3, 2025 to Feb 7, 2026
- HNW clients · 74 to 210Dec 3, 2025 to Feb 7, 2026
- Individual clients · 227 to 295Dec 3, 2025 to Feb 7, 2026
- Discretionary RAUM · $281M to $304MDec 3, 2025 to Feb 7, 2026
- HNW RAUM · $120M to $220MDec 3, 2025 to Feb 7, 2026
- Individual RAUM · $161M to $84.3MDec 3, 2025 to Feb 7, 2026
- RAUM · $281M to $304MDec 3, 2025 to Feb 7, 2026
- Wrap assets (manager) · $281M to $304MDec 3, 2025 to Feb 7, 2026
- Wrap assets (manager) · $0 to $281MJul 8, 2025 to Nov 18, 2025
- Financial planning clients · 1-10 to 1-10Mar 5, 2025 to Jul 8, 2025
- Accounts · 776 to 774Dec 19, 2024 to Mar 5, 2025
- Advisory employees · 1 to 2Dec 19, 2024 to Mar 5, 2025
- HNW clients · 80 to 74Dec 19, 2024 to Mar 5, 2025
- Individual clients · 340 to 227Dec 19, 2024 to Mar 5, 2025
- Employees · 2 to 3Dec 19, 2024 to Mar 5, 2025
- Other offices · 0 to 1Dec 19, 2024 to Mar 5, 2025
- Discretionary RAUM · $240M to $281MDec 19, 2024 to Mar 5, 2025
- Individual RAUM · $120M to $161MDec 19, 2024 to Mar 5, 2025
- RAUM · $240M to $281MDec 19, 2024 to Mar 5, 2025
- Wrap assets (manager) · $240M to $0Dec 19, 2024 to Mar 5, 2025
- Accounts · 614 to 776Mar 18, 2023 to Mar 2, 2024
- HNW clients · 40 to 80Mar 18, 2023 to Mar 2, 2024
- Individual clients · 574 to 340Mar 18, 2023 to Mar 2, 2024
- State-registered IARs · 1 to 2Mar 18, 2023 to Mar 2, 2024
- Discretionary RAUM · $211M to $240MMar 18, 2023 to Mar 2, 2024
- HNW RAUM · $55.0M to $120MMar 18, 2023 to Mar 2, 2024
- Individual RAUM · $156M to $120MMar 18, 2023 to Mar 2, 2024
- RAUM · $211M to $240MMar 18, 2023 to Mar 2, 2024
- Wrap assets (manager) · $211M to $240MMar 18, 2023 to Mar 2, 2024
- Accounts · 738 to 614Feb 9, 2022 to Mar 18, 2023
- HNW clients · 87 to 40Feb 9, 2022 to Mar 18, 2023
- Individual clients · 392 to 574Feb 9, 2022 to Mar 18, 2023
- Employees · 3 to 2Feb 9, 2022 to Mar 18, 2023
- Financial planning clients · 0 to 1-10Feb 9, 2022 to Mar 18, 2023
- Discretionary RAUM · $235M to $211MFeb 9, 2022 to Mar 18, 2023
- HNW RAUM · $90.0M to $55.0MFeb 9, 2022 to Mar 18, 2023
- Individual RAUM · $145M to $156MFeb 9, 2022 to Mar 18, 2023
- RAUM · $235M to $211MFeb 9, 2022 to Mar 18, 2023
- Wrap assets (manager) · $235M to $211MFeb 9, 2022 to Mar 18, 2023
- Accounts · 699 to 738Sep 28, 2021 to Feb 9, 2022
Signals
1 dated events
- P••••••• F••••••••• I••• filed its initial SEC registration (Form ADV)May 1, 2018 · 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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-706-0890reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-706-0910reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-765-7430reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- P•••••••-FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (317)706-0890reportedpublic record, Form ADV, Feb 7, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- p•••••••••.comreportedpublished 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
- $152Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026