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
W••••• A••••••• S••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Jun 21, 2017 · 36 filings
SEC status approved since Jul 21, 2017
RAUM
$599M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$587M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$66.6M
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$599M as of Mar 19, 2026
Feb 12, 2018$152M then
HNW client RAUM$467M as of Mar 19, 2026
Feb 12, 2018$95.4M then
State-registered IARs (5.B.3)8 as of Mar 19, 2026
Feb 12, 20189 then
Employees (5.A)11 as of Mar 19, 2026
Feb 12, 201810 then
Private funds: no history
RAUM +6.9% over the last fiscal year-3.5% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 19, 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
- RAUM per advisor
- $66.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $328,099derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $189M, 435 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$467M78%
- Individuals$120M20%
- Charitable organizations$7.5M1.2%
- Pension and profit-sharing plans$3.9M0.7%
- Corporations and businesses$291,9490.0%
- Individual clients
- 580reported
- HNW clients
- 98reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 1,826reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $189M for 435 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| T•••• R•• N•••••• | Zionsville, In | Jul 27, 2017 | 17 y | 4 |
| E•••••••• A• S••••••• | Zionsville, In | Aug 17, 2017 | 25 y | 2 |
| M• C••• W•••••Certified Financial Planner | Brownsburg, In | Aug 17, 2017 | 25 y | 2 |
| J••••••• M•••••• S•••• | Zionsville, In | Sep 28, 2019 | 25 y | 3 |
| S••••• R•••••• S•••• | Zionsville, In | Sep 30, 2019 | 39 y | 3 |
| R••• B•••• D•••• | Zionsville, In | Nov 28, 2019 | 24 y | 0 |
| K••• E••••• M•••••••• | Zionsville, In | Jun 27, 2022 | 10 y | 1 |
| E•• K••••••••• S•••• | Zionsville, In | Feb 26, 2026 | 10 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 headcount2 left over 36 months
Left, latest
- K•••••••• B•••• M••••• to E••••••• F•••••••• S•••••••••May 16, 2024 · RIA to a newly registered adviser
- D•••• C•••••• H•••• to H•••• W••••• M•••••••••Oct 19, 2023 · RIA to RIA
- B•••• L•• E•••••• to H•••••• I••••••••• S•••••••• L••Jun 30, 2023 · RIA to RIA
- I•• M• E•••••• to H•••••• I••••••••• S•••••••• L••Jun 30, 2023 · RIA to RIA
- D••• N• E•••••••• to D•••• W••••• A••••••• L••Dec 31, 2020 · RIA to RIA
- N••••••• G••••• C••••• F••••••• to D•••• W••••• A••••••• L••Dec 31, 2020 · RIA to RIA
Joined, latest
- K••• E••••• M•••••••• from G••••••• W••••• M•••••••••Jun 27, 2022 · Affiliated broker-dealer or bank to independent RIA
- S••••• R•••••• S•••• from W•••• F•••• A•••••••Sep 30, 2019 · Wirehouse to independent RIA
- J••••••• M•••••• S•••• from W•••• F•••• A•••••••Sep 28, 2019 · Wirehouse to independent RIA
- D•••• C•••••• H•••• from C•••••• A••••••• C•••••••••Mar 5, 2019 · RIA to RIA
- B•••• L•• E•••••• from C••••••••• F•••••••• P••••••• S••••••• C••••Feb 17, 2018 · Other
- I•• M• E•••••• from C••••••••• F•••••••• P••••••• S••••••• C••••Feb 17, 2018 · Other
- D••• N• E•••••••• from M••••• S••••••Nov 2, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- N••••••• G••••• C••••• F••••••• from M••••• S••••••Nov 2, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- K•••••••• B•••• M••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Oct 4, 2017 · Other
- M• C••• W••••• from M••••• S••••••Aug 17, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- E•••••••• A• S••••••• from M••••• S••••••Aug 17, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- T•••• R•• N•••••• from C••••••••• I••••••••• M••••••••• L••Jul 27, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for H•••••• I••••••••• S•••••••• L••Jun 30, 2023 · Zionsville, In
- 2 joined from W•••• F•••• A•••••••Nov 18, 2019 · Indianapolis, In
- 2 joined from C••••••••• F•••••••• P••••••• S••••••• C••••Dec 31, 2017
- 2 joined from M••••• S••••••Nov 6, 2017 · Indianapolis, In
- 2 joined from M••••• S••••••Aug 21, 2017 · Indianapolis, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• K•••••••• J• · Managing Member/Ccocontrolsince 06/2017 · owns 25% to 50%
- K•••••• S•••••• P••• · Managing Membercontrolsince 06/2017 · owns 25% to 50%
- N••••••• T••••• R•• · Managing Membercontrolsince 06/2017 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Zionsville, In · principal | 9 | 1 | 0 | ||
| Brownsburg, In | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Zionsville, IN3 employees
- Brownsburg, IN2 employees
- Terre Haute, IN1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 19, 2026custody of client assets (Item 9.A): no on the filing of 2025-06-26, yes on the filing of 2026-03-19peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,723 to 1,826Jun 26, 2025 to Mar 19, 2026
- HNW clients · 86 to 98Jun 26, 2025 to Mar 19, 2026
- Individual clients · 568 to 580Jun 26, 2025 to Mar 19, 2026
- Assets in custody · unset to 189058061.0Jun 26, 2025 to Mar 19, 2026
- Custody of client assets · false to trueJun 26, 2025 to Mar 19, 2026
- Discretionary RAUM · $546M to $585MJun 26, 2025 to Mar 19, 2026
- HNW RAUM · $437M to $467MJun 26, 2025 to Mar 19, 2026
- Individual RAUM · $110M to $120MJun 26, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $13.9M to $14.3MJun 26, 2025 to Mar 19, 2026
- Pension RAUM · $6.6M to $3.9MJun 26, 2025 to Mar 19, 2026
- RAUM · $560M to $599MJun 26, 2025 to Mar 19, 2026
- Financial planning clients · 251-500 to 251-500Mar 11, 2025 to Jun 26, 2025
- Accounts · 1,777 to 1,723Aug 12, 2024 to Mar 11, 2025
- Advisory employees · 11 to 8Aug 12, 2024 to Mar 11, 2025
- Charity clients · 3 to 2Aug 12, 2024 to Mar 11, 2025
- Corporate clients · 1 to 2Aug 12, 2024 to Mar 11, 2025
- HNW clients · 77 to 86Aug 12, 2024 to Mar 11, 2025
- Individual clients · 532 to 568Aug 12, 2024 to Mar 11, 2025
- Assets in custody · 62253269.0 to unsetAug 12, 2024 to Mar 11, 2025
- Custody of client assets · true to falseAug 12, 2024 to Mar 11, 2025
- Employees · 19 to 11Aug 12, 2024 to Mar 11, 2025
- Insurance-licensed employees · 0 to 1Aug 12, 2024 to Mar 11, 2025
- State-registered IARs · 11 to 8Aug 12, 2024 to Mar 11, 2025
- Discretionary RAUM · $523M to $546MAug 12, 2024 to Mar 11, 2025
- HNW RAUM · $417M to $437MAug 12, 2024 to Mar 11, 2025
- Individual RAUM · $107M to $110MAug 12, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $12.3M to $13.9MAug 12, 2024 to Mar 11, 2025
- Pension RAUM · $5.8M to $6.6MAug 12, 2024 to Mar 11, 2025
- RAUM · $535M to $560MAug 12, 2024 to Mar 11, 2025
- Accounts · 2,894 to 1,777Jul 19, 2023 to Mar 21, 2024
- Charity clients · 2 to 3Jul 19, 2023 to Mar 21, 2024
- Corporate clients · 3 to 1Jul 19, 2023 to Mar 21, 2024
- HNW clients · 105 to 77Jul 19, 2023 to Mar 21, 2024
- Individual clients · 695 to 532Jul 19, 2023 to Mar 21, 2024
- Pension plan clients · 7 to 2Jul 19, 2023 to Mar 21, 2024
- Assets in custody · $4.3M to $62.3MJul 19, 2023 to Mar 21, 2024
- Other offices · 9 to 3Jul 19, 2023 to Mar 21, 2024
- Discretionary RAUM · $655M to $523MJul 19, 2023 to Mar 21, 2024
- HNW RAUM · $503M to $417MJul 19, 2023 to Mar 21, 2024
- Individual RAUM · $144M to $107MJul 19, 2023 to Mar 21, 2024
Signals
11 dated events
- K•••••••• B•••• M••••• left W••••• A••••••• S••••••••• L•• for E••••••• F•••••••• S••••••••• (registered 2023-10-11)May 16, 2024 · Advisor changed firm · fact
- W••••• A••••••• S••••••••• L•• reported 3 offices beyond its principal office, down from 9 (2023-07-19 to 2024-03-21)Mar 21, 2024 · Office count change · derived
- Ashley Matthew Swendiman (Chief Compliance Officer) no longer on Schedule A of W••••• A••••••• S••••••••• L•• (listed 2023-07-19, absent 2024-03-21)Mar 21, 2024 · Control person left · inference
- D•••• C•••••• H•••• left W••••• A••••••• S••••••••• L•• for H•••• W••••• M••••••••• (registered 2023-03-31)Oct 19, 2023 · Advisor changed firm · fact
- 2 advisors left W••••• A••••••• S••••••••• L•• (Zionsville, IN) for H•••••• I••••••••• S•••••••• L•• on the same dayJun 30, 2023 · Team lift-out · derived
- B•••• L•• E•••••• left W••••• A••••••• S••••••••• L•• for H•••••• I••••••••• S•••••••• L•• (registered 2023-06-30)Jun 30, 2023 · Advisor changed firm · fact
- I•• M• E•••••• left W••••• A••••••• S••••••••• L•• for H•••••• I••••••••• S•••••••• L•• (registered 2023-06-30)Jun 30, 2023 · Advisor changed firm · fact
- W••••• A••••••• S••••••••• L•• reported RAUM $650.9M, up 237% from $193.0M (2020-01-17 to 2020-03-28)Mar 28, 2020 · RAUM change · derived
- Ashley Matthew Swendiman (Chief Compliance Officer) appeared on Schedule A of W••••• A••••••• S••••••••• L••Aug 28, 2019 · Control person joined · fact
- Charles Bryan Haft (Chief Compliance Officer) no longer on Schedule A of W••••• A••••••• S••••••••• L•• (listed 2019-05-31, absent 2019-08-28)Aug 28, 2019 · Control person left · inference
- W••••• A••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Jun 21, 2017 · 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 phone
- 317-559-0687reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 317-559-0689reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 317-559-2945reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/wealth-advisory-solutionsreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/cedar-wealth-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- WASAdvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-559-2945reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- wasadvisors.com/contact-usreportedpublished 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
- $66.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026