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
D•••• P• G•••••• • A••••••••• I•••
Latest filing Jun 17, 2026
First filing on the tape Mar 16, 2022 · 8 filings
SEC status approved since Apr 19, 2022
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$177M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$62.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$187M as of Jun 17, 2026
Jan 27, 2023$108M then
HNW client RAUM$81.1M as of Jun 17, 2026
Jan 27, 2023$43.4M then
State-registered IARs (5.B.3)3 as of Jun 17, 2026
Jan 27, 20232 then
Employees (5.A)3 as of Jun 17, 2026
Jan 27, 20232 then
Private funds: no history
RAUM +18% over the last fiscal year+20% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Jun 17, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $62.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 146derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $325,818derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +34%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $1.4MreportedItem 5.I
- Custody
- $67.4M, 166 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
- Individuals$95.8M51%
- High-net-worth individuals$81.1M43%
- Pension and profit-sharing plans$5.3M2.9%
- Charitable organizations$4.0M2.2%
- Corporations and businesses$391,0500.2%
- Individual clients
- 373reported
- HNW clients
- 65reported
- Pension plan clients
- 6reported
- Charitable clients
- 10reported
- Accounts
- 573reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $67.4M for 166 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• M• G•••••• | Muncie, In | Apr 3, 2017 | 20 y | 0 |
| D•••• P••• G•••••• | Muncie, In | Apr 3, 2017 | 40 y | 0 |
| S••••• E• C••••••• | Muncie, In | Jan 29, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- S••••• E• C••••••• from T••••••• I••••••••• M••••••••• I•••Jan 29, 2026 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• D••••• P••• · Shareholder/Ccocontrolsince 11/2016 · owns 50% to 75%
- G••••••• K••••• K•• · Shareholdercontrolsince 11/2016 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Muncie, In · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Wrap assets (manager) · $1.4M to $0Mar 10, 2026 to Jun 17, 2026
- Accounts · 529 to 573Feb 18, 2025 to Mar 10, 2026
- Advisory employees · 2 to 3Feb 18, 2025 to Mar 10, 2026
- BD registered reps · 2 to 3Feb 18, 2025 to Mar 10, 2026
- Charity clients · 5 to 10Feb 18, 2025 to Mar 10, 2026
- HNW clients · 49 to 65Feb 18, 2025 to Mar 10, 2026
- Individual clients · 278 to 373Feb 18, 2025 to Mar 10, 2026
- Pension plan clients · 7 to 6Feb 18, 2025 to Mar 10, 2026
- Assets in custody · unset to 67376868.0Feb 18, 2025 to Mar 10, 2026
- Custody of client assets · false to trueFeb 18, 2025 to Mar 10, 2026
- Employees · 2 to 3Feb 18, 2025 to Mar 10, 2026
- State-registered IARs · 2 to 3Feb 18, 2025 to Mar 10, 2026
- Discretionary RAUM · $158M to $187MFeb 18, 2025 to Mar 10, 2026
- HNW RAUM · $62.5M to $81.1MFeb 18, 2025 to Mar 10, 2026
- Individual RAUM · $86.1M to $95.8MFeb 18, 2025 to Mar 10, 2026
- Pension RAUM · $5.0M to $5.3MFeb 18, 2025 to Mar 10, 2026
- RAUM · $158M to $187MFeb 18, 2025 to Mar 10, 2026
- Wrap assets (manager) · $1.1M to $1.4MFeb 18, 2025 to Mar 10, 2026
- Accounts · 506 to 529Feb 29, 2024 to Feb 18, 2025
- Charity clients · 4 to 5Feb 29, 2024 to Feb 18, 2025
- Corporate clients · 4 to 3Feb 29, 2024 to Feb 18, 2025
- HNW clients · 44 to 49Feb 29, 2024 to Feb 18, 2025
- Individual clients · 276 to 278Feb 29, 2024 to Feb 18, 2025
- Pension plan clients · 9 to 7Feb 29, 2024 to Feb 18, 2025
- Employees · 62 to 2Feb 29, 2024 to Feb 18, 2025
- Financial planning clients · 0 to 0Feb 29, 2024 to Feb 18, 2025
- Discretionary RAUM · $137M to $158MFeb 29, 2024 to Feb 18, 2025
- HNW RAUM · $60.5M to $62.5MFeb 29, 2024 to Feb 18, 2025
- Individual RAUM · $68.7M to $86.1MFeb 29, 2024 to Feb 18, 2025
- Pension RAUM · $3.8M to $5.0MFeb 29, 2024 to Feb 18, 2025
- RAUM · $137M to $158MFeb 29, 2024 to Feb 18, 2025
- Wrap assets (manager) · unset to 1053044.0Feb 29, 2024 to Feb 18, 2025
- Wrap assets (sponsor) · unset to 0.0Feb 29, 2024 to Feb 18, 2025
- Accounts · 496 to 506May 17, 2023 to Feb 29, 2024
- Charity clients · 5 to 4May 17, 2023 to Feb 29, 2024
- HNW clients · 69 to 44May 17, 2023 to Feb 29, 2024
- Individual clients · 302 to 276May 17, 2023 to Feb 29, 2024
- Pension plan clients · 3 to 9May 17, 2023 to Feb 29, 2024
- Employees · 2 to 62May 17, 2023 to Feb 29, 2024
- Discretionary RAUM · $108M to $137MMay 17, 2023 to Feb 29, 2024
Signals
1 dated events
- D•••• P• G•••••• • A••••••••• I••• filed its initial SEC registration (Form ADV)Mar 16, 2022 · 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
- info@dpgassociates.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- donna.p@dpgassociates.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- brenda.t@dpgassociates.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- karen.g@dpgassociates.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-613-2111reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 765-281-0012reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- DPGASSOCIATES.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 765-281-0012reportedpublic record, Form ADV, Jun 17, 2026
- Contact form
- dpgassociates.net/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- dpgassociates.net/teamreportedpublished 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
- $62.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026