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
M•••• W••••• M•••••••••
Legal name H••••••• • K••••• I••••••••• M••••••••• G••••• L••
Latest filing May 8, 2026
First filing on the tape Sep 13, 2018 · 25 filings
SEC status approved since Oct 17, 2018
RAUM
$547M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
91%
$500M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$78.1M
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$547M as of May 8, 2026
Mar 8, 2019$103M then
HNW client RAUM$391M as of May 8, 2026
Mar 8, 2019$57.0M then
State-registered IARs (5.B.3)7 as of May 8, 2026
Mar 8, 20193 then
Employees (5.A)10 as of May 8, 2026
Mar 8, 20194 then
Private funds: no history
RAUM +21% over the last fiscal year+25% a year over threeIARs 7 to 7
Practice profile
derived from the filing of May 8, 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
- $78.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $314,264derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -27%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $143M, 320 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)
- 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$391M72%
- Individuals$109M20%
- Corporations and businesses$26.6M4.9%
- Pension and profit-sharing plans$20.1M3.7%
- Charitable organizations$40.0%
- Individual clients
- 375reported
- HNW clients
- 130reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 1,740reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $143M for 320 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••••• S•• W•••••Certified Financial Planner | Carmel, In | Sep 29, 2017 | 20 y | 2 |
| J••• D•••••• H•••••••Certified Financial Planner | Carmel, In | Sep 29, 2017 | 24 y | 4 |
| R•••••• J••••• K••••• | Carmel, In | Sep 29, 2017 | 26 y | 4 |
| C•••••• D•••• B••••• | Carmel, In | Oct 21, 2019 | 30 y | 2 |
| M••• E••••• R••••• | Carmel, In | Mar 4, 2021 | 29 y | 1 |
| H••••• B••••••••• | Carmel, In | Aug 22, 2024 | 13 y | 0 |
| J••••• A••••• D••••Certified Financial Planner | Carmel, In | Jan 14, 2025 | 13 y | 1 |
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 headcount1 left over 36 months
Left, latest
- S••• A•••• S•••••• to P•••• S••••••••• L••Apr 25, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••••• A••••• D•••• from C•••••• S••••• • C••• I•••Jan 14, 2025 · Affiliated broker-dealer or bank to independent RIA
- M••• E••••• R••••• from I••••••• F•••••••• P••••••• G••••• L••Mar 4, 2021 · RIA to RIA
- S••• A•••• S•••••• from F•••• T•••• S••••••••• I•••May 8, 2020 · Affiliated broker-dealer or bank to independent RIA
- C•••••• D•••• B••••• from K••••• A••••••• S•••••••• L••Oct 21, 2019 · Affiliated broker-dealer or bank to independent RIA
- J••• D•••••• H••••••• from W•••• F•••• A•••••••Sep 29, 2017 · Wirehouse to independent RIA
- R•••••• J••••• K••••• from W•••• F•••• A•••••••Sep 29, 2017 · Wirehouse to independent RIA
- S•••••••• S•• W••••• from W•••• F•••• A•••••••Sep 29, 2017 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from W•••• F•••• A•••••••Oct 2, 2017 · Carmel, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• J•••• D•••••• · Managing Partnercontrolsince 07/2017 · owns 50% to 75%
- K•••••• R••••••• J••••• · Managing Partner And Chief Compliance Officercontrolsince 07/2017 · 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 |
|---|---|---|---|---|---|
| Carmel, In · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Avon, IN1 employees
- Carmel, IN1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 31, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $452,203,251 to $546,819,721, advisors 7 to 7, private clients 693 to 505, offices 2 to 2 (2025-04-17 to 2026-03-31)peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,629 to 1,740Oct 6, 2025 to Mar 31, 2026
- Corporate clients · unset to 5.0Oct 6, 2025 to Mar 31, 2026
- HNW clients · 85 to 130Oct 6, 2025 to Mar 31, 2026
- Individual clients · 608 to 375Oct 6, 2025 to Mar 31, 2026
- Pension plan clients · 7 to 8Oct 6, 2025 to Mar 31, 2026
- Assets in custody · $144M to $143MOct 6, 2025 to Mar 31, 2026
- Employees · 9 to 10Oct 6, 2025 to Mar 31, 2026
- Discretionary RAUM · $440M to $510MOct 6, 2025 to Mar 31, 2026
- HNW RAUM · $267M to $391MOct 6, 2025 to Mar 31, 2026
- Individual RAUM · $158M to $109MOct 6, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $12.7M to $36.9MOct 6, 2025 to Mar 31, 2026
- Pension RAUM · $12.7M to $20.1MOct 6, 2025 to Mar 31, 2026
- RAUM · $452M to $547MOct 6, 2025 to Mar 31, 2026
- Financial planning clients · 101-250 to 101-250May 6, 2025 to Jun 27, 2025
- Accounts · 1,306 to 1,629Aug 26, 2024 to Apr 17, 2025
- Advisory employees · 6 to 7Aug 26, 2024 to Apr 17, 2025
- Advisory activities · 5 to 4Aug 26, 2024 to Apr 17, 2025
- HNW clients · 69 to 85Aug 26, 2024 to Apr 17, 2025
- Individual clients · 594 to 608Aug 26, 2024 to Apr 17, 2025
- Pension plan clients · 10 to 7Aug 26, 2024 to Apr 17, 2025
- Assets in custody · unset to 144147928.0Aug 26, 2024 to Apr 17, 2025
- Custody of client assets · false to trueAug 26, 2024 to Apr 17, 2025
- Employees · 8 to 9Aug 26, 2024 to Apr 17, 2025
- State-registered IARs · 6 to 7Aug 26, 2024 to Apr 17, 2025
- Discretionary RAUM · $287M to $440MAug 26, 2024 to Apr 17, 2025
- HNW RAUM · $252M to $267MAug 26, 2024 to Apr 17, 2025
- Individual RAUM · $41.6M to $158MAug 26, 2024 to Apr 17, 2025
- Non-discretionary RAUM · $25.6M to $12.7MAug 26, 2024 to Apr 17, 2025
- Pension RAUM · $18.6M to $12.7MAug 26, 2024 to Apr 17, 2025
- RAUM · $312M to $452MAug 26, 2024 to Apr 17, 2025
- BD registered reps · 2 to 0Feb 16, 2024 to May 29, 2024
- Accounts · 1,255 to 1,306Mar 15, 2023 to Feb 16, 2024
- Advisory employees · 7 to 6Mar 15, 2023 to Feb 16, 2024
- HNW clients · 68 to 69Mar 15, 2023 to Feb 16, 2024
- Individual clients · 602 to 594Mar 15, 2023 to Feb 16, 2024
- Discretionary RAUM · $246M to $287MMar 15, 2023 to Feb 16, 2024
- HNW RAUM · $198M to $252MMar 15, 2023 to Feb 16, 2024
- Individual RAUM · $63.3M to $41.6MMar 15, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $31.5M to $25.6MMar 15, 2023 to Feb 16, 2024
- Pension RAUM · $16.0M to $18.6MMar 15, 2023 to Feb 16, 2024
Signals
3 dated events
- M•••• W••••• M••••••••• reported RAUM $452.2M, up 45% from $312.2M (2024-08-26 to 2025-04-17)Apr 17, 2025 · RAUM change · derived
- S••• A•••• S•••••• left M•••• W••••• M••••••••• for P•••• S••••••••• L•• (registered 2024-04-24)Apr 25, 2024 · Advisor changed firm · fact
- M•••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 13, 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
- info@mononwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-993-3999reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/monon-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- mononwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (317) 993-3999reportedpublic record, Form ADV, May 8, 2026
- Contact form
- mononwealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- mononwealth.com/our-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
- $78.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026