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••••••• F•••••••• P•••••••• L••
Latest filing Mar 13, 2026
First filing on the tape Apr 2, 2014 · 29 filings
SEC status approved since Apr 17, 2014
RAUM
$445M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$445M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$445M as of Mar 13, 2026
Feb 25, 2016$148M then
HNW client RAUM$267M as of Mar 13, 2026
Mar 22, 2018$97.7M then
State-registered IARs (5.B.3)4 as of Mar 13, 2026
Feb 11, 20150 then
Employees (5.A)6 as of Mar 13, 2026
Feb 11, 20151 then
Private funds: no history
RAUM +18% over the last fiscal year+15% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 216derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $515,771derivedRAUM 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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $412MreportedItem 5.I
- Custody
- $86.9M, 77 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$267M60%
- Individuals$177M40%
- Individual clients
- 759reported
- HNW clients
- 103reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 862reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $86.9M for 77 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
4 left, 0 joined in 12 months
net -4 in 12 months1 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- J•••• C••••••••• L•••••••• to A••••••• F••••••••• L•••Aug 21, 2026 · RIA to affiliated broker-dealer or bank
- M••• E•••••• I•••• to N••••••• A•••••••• L••May 19, 2026 · RIA to a newly registered adviser
- J•••• M••••••• D••• to N••••••• A•••••••• L••May 11, 2026 · RIA to a newly registered adviser
- M••• R••••• H••••••••• to N••••••• A•••••••• L••May 11, 2026 · RIA to a newly registered adviser
Joined, latest
- J•••• M••••••• D••• from C•••••• G•••••••• W••••• A•••••••Aug 25, 2016 · Other
- M••• R••••• H••••••••• from R•••••• J•••• • A••••••••• I•••Jun 3, 2015 · Other
- J•••• C••••••••• L•••••••• from R•••••• J•••• • A••••••••• I•••Jun 3, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for N••••••• A•••••••• L••May 11, 2026 · Indianapolis, In · Firm absorbed
- 2 joined from R•••••• J•••• • A••••••••• I•••Jun 3, 2015 · Carmel, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••••• J••••• C••••••••• · Membercontrolsince 06/2015 · owns 75% or more
- A••••••••• A•••• J••• · Chief Compliance Officersince 08/2017 · 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 | 0 | 0 | 4 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 806 to 862Apr 14, 2025 to Mar 13, 2026
- HNW clients · 91 to 103Apr 14, 2025 to Mar 13, 2026
- Individual clients · 717 to 759Apr 14, 2025 to Mar 13, 2026
- Assets in custody · $66.8M to $86.9MApr 14, 2025 to Mar 13, 2026
- Discretionary RAUM · $378M to $445MApr 14, 2025 to Mar 13, 2026
- HNW RAUM · $210M to $267MApr 14, 2025 to Mar 13, 2026
- Individual RAUM · $168M to $177MApr 14, 2025 to Mar 13, 2026
- RAUM · $378M to $445MApr 14, 2025 to Mar 13, 2026
- Accounts · 761 to 806May 15, 2024 to Apr 14, 2025
- HNW clients · 81 to 91May 15, 2024 to Apr 14, 2025
- Individual clients · 680 to 717May 15, 2024 to Apr 14, 2025
- Assets in custody · $61.0M to $66.8MMay 15, 2024 to Apr 14, 2025
- Financial planning clients · 51-100 to 51-100May 15, 2024 to Apr 14, 2025
- Discretionary RAUM · $343M to $378MMay 15, 2024 to Apr 14, 2025
- HNW RAUM · $188M to $210MMay 15, 2024 to Apr 14, 2025
- Individual RAUM · $155M to $168MMay 15, 2024 to Apr 14, 2025
- RAUM · $343M to $378MMay 15, 2024 to Apr 14, 2025
- Accounts · 713 to 761Apr 6, 2023 to Mar 20, 2024
- HNW clients · 70 to 81Apr 6, 2023 to Mar 20, 2024
- Individual clients · 643 to 680Apr 6, 2023 to Mar 20, 2024
- Assets in custody · $45.4M to $61.0MApr 6, 2023 to Mar 20, 2024
- Discretionary RAUM · $290M to $343MApr 6, 2023 to Mar 20, 2024
- HNW RAUM · $146M to $188MApr 6, 2023 to Mar 20, 2024
- Individual RAUM · $145M to $155MApr 6, 2023 to Mar 20, 2024
- RAUM · $290M to $343MApr 6, 2023 to Mar 20, 2024
- Accounts · 709 to 713May 18, 2022 to Mar 27, 2023
- HNW clients · 73 to 70May 18, 2022 to Mar 27, 2023
- Individual clients · 640 to 643May 18, 2022 to Mar 27, 2023
- Assets in custody · $48.5M to $45.4MMay 18, 2022 to Mar 27, 2023
- Discretionary RAUM · $329M to $290MMay 18, 2022 to Mar 27, 2023
- HNW RAUM · $135M to $146MMay 18, 2022 to Mar 27, 2023
- Individual RAUM · $194M to $145MMay 18, 2022 to Mar 27, 2023
- RAUM · $329M to $290MMay 18, 2022 to Mar 27, 2023
- Related insurance company · true to falseMay 18, 2022 to Mar 27, 2023
- Wrap assets (sponsor) · $325M to $0May 18, 2022 to Mar 27, 2023
- Accounts · 679 to 709Mar 11, 2021 to Mar 22, 2022
- HNW clients · 74 to 73Mar 11, 2021 to Mar 22, 2022
- Individual clients · 605 to 640Mar 11, 2021 to Mar 22, 2022
- Assets in custody · $50.7M to $48.5MMar 11, 2021 to Mar 22, 2022
- Financial planning clients · 26-50 to 51-100Mar 11, 2021 to Mar 22, 2022
Signals
7 dated events
- H••••••• F•••••••• P•••••••• L•• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $444.6M)Sep 1, 2026 · Left the SEC roster · derived
- J•••• C••••••••• L•••••••• left H••••••• F•••••••• P•••••••• L•• for A••••••• F••••••••• L••• (registered 2026-08-20)Aug 21, 2026 · Advisor changed firm · fact
- M••• E•••••• I•••• left H••••••• F•••••••• P•••••••• L•• for N••••••• A•••••••• L•• (registered 2026-06-02)May 19, 2026 · Advisor changed firm · fact
- J•••• M••••••• D••• left H••••••• F•••••••• P•••••••• L•• for N••••••• A•••••••• L•• (registered 2026-05-06)May 11, 2026 · Advisor changed firm · fact
- M••• R••••• H••••••••• left H••••••• F•••••••• P•••••••• L•• for N••••••• A•••••••• L•• (registered 2026-05-06)May 11, 2026 · Advisor changed firm · fact
- H••••••• F•••••••• P•••••••• L••'s advisors moved to N••••••• A•••••••• L•• (Indianapolis, IN): 3 of 4 registered, within 8 daysMay 11, 2026 · Firm absorbed (people side) · derived
- F••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 2, 2014 · 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