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
V••••• P••••••• W••••• A•••••••
Legal name V••••• A•••••••• L••
Latest filing Aug 26, 2026
First filing on the tape Nov 15, 2017 · 38 filings
SEC status approved since Dec 13, 2017
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.0B individuals and HNW
Advisors
22
registered through the firm on IAPD
RAUM per advisor
$48.2M
derived; firm RAUM over IAPD count
Employees
31
17 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$1.1B as of Aug 26, 2026
Apr 16, 2019$306M then
HNW client RAUM$966M as of Aug 26, 2026
Apr 16, 2019$183M then
State-registered IARs (5.B.3)17 as of Aug 26, 2026
Apr 16, 20197 then
Employees (5.A)31 as of Aug 26, 2026
Apr 16, 201912 then
Private funds: no history
RAUM +28% over the last fiscal year+27% a year over threeIARs 19 to 17offices 10 to 8
Practice profile
derived from the filing of Aug 26, 2026; every figure names its basis
- RAUM per advisor
- $48.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 180derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $311,251derivedHNW RAUM over HNW clients
- Average account
- $266,196derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.4derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%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, publications, educational seminarsreportedItem 5.G
- Custody
- $152M, 317 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$966M91%
- Individuals$71.1M6.7%
- Pension and profit-sharing plans$23.8M2.2%
- Individual clients
- 865reported
- HNW clients
- 3,105reported
- Pension plan clients
- 17reported
- Charitable clients
- 0reported
- Accounts
- 3,987reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $152M for 317 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=4.0derived
Advisors registered through the firm
22 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• S•••• M•••••Certified Financial Planner | Fort Wayne, In | Jan 2, 2018 | 24 y | 4 |
| L••••• L•• O••••••Certified Financial Planner | Fort Wayne, In | Jan 12, 2018 | 16 y | 1 |
| K•••••• J• H••••••Certified Financial Planner | Fort Wayne, In | May 28, 2019 | 14 y | 2 |
| M•••••• W•••••• T••••Certified Financial Planner | Fort Wayne, In | Jun 20, 2019 | 12 y | 1 |
| L•••••• M••••••• H••••• | Fort Wayne, In | Oct 4, 2019 | 14 y | 1 |
| B•••••• M••••• Q•••• | Fort Wayne, In | Oct 4, 2019 | 16 y | 0 |
| C•••••• D••••• H••••••Certified Financial Planner | Fort Wayne, In | Oct 14, 2019 | 17 y | 1 |
| J••••• A• M•••••• | St Louis, Mo | Jun 4, 2020 | 19 y | 3 |
| C•••••••• K••• | Fort Wayne, In | Sep 4, 2020 | 10 y | 0 |
| F•••••• M•••••• F•••••• | Fort Wayne, In | Sep 30, 2020 | 24 y | 3 |
| J••••••• A••• C••••••••Chartered Financial Consultant | Fort Wayne, In | Sep 30, 2020 | 21 y | 1 |
| C••••••••• D•••• R••••••Certified Financial Planner | Simpsonville, Sc | Nov 9, 2021 | 11 y | 1 |
| K•• A•• T•• P•••Certified Financial Planner | Annapolis, Md | Jun 9, 2022 | 9 y | 0 |
| K•••••• D•••• D••••••Certified Financial Planner | Fort Wayne, In | Jun 12, 2024 | 14 y | 1 |
| N••••• L• M•••••••• | Fort Wayne, In | Oct 14, 2024 | 16 y | 1 |
| C•••• D•••••• S••••• | Fort Wayne, In | Jan 15, 2025 | 10 y | 1 |
| J•••••••• D•••• D•••••Certified Financial Planner | Gretna, Ne | Jan 7, 2026 | 14 y | 1 |
| B•••••• S•••• S••••••••• | Fort Wayne, In | Feb 25, 2026 | 10 y | 3 |
| L••• B•••••• W•••••• | Fort Wayne, In | Mar 11, 2026 | 20 y | 1 |
| E••• Y•••• B•••••••• | Fort Wayne, In | May 1, 2026 | 11 y | 0 |
| L••••• G•••• C••••••Certified Financial Planner | Fort Wayne, In | May 26, 2026 | 13 y | 2 |
| A••••• M•••• F•••••••Certified Financial Planner | Fort Wayne, In | Jul 9, 2026 | 17 y | 1 |
Advisor movement
0 left, 5 joined in 12 months
net +5 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K•••• A•• L•••••• to V•••••••• W••••• A•••••••• L••Sep 8, 2023 · RIA to RIA
- A••••• W•••••• P••••• to P••••••• F••••••••Feb 1, 2022 · RIA to RIA
- R•••• W•••••• R••••••••• to P••••••• F••••••••Feb 1, 2022 · RIA to RIA
- J••••• S••••• to N••••••••• M••••• I••••••••• S•••••••••Oct 13, 2021 · Other
Joined, latest
- A••••• M•••• F••••••• from L••••• F•••••••• G••••• L••Jul 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- L••••• G•••• C•••••• from W•••••• • A••••••••• L••May 26, 2026 · RIA to RIA
- L••• B•••••• W•••••• from S••••••••• W••••• P•••••••Mar 11, 2026 · RIA to RIA
- B•••••• S•••• S••••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 25, 2026 · Affiliated broker-dealer or bank to independent RIA
- J•••••••• D•••• D••••• from L••••• F•••••••• G••••• L••Jan 7, 2026 · Other
- C•••• D•••••• S••••• from F•••• T•••• S••••••••• I•••Jan 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- N••••• L• M•••••••• from A••••••••• F•••••••• S•••••••• L••Oct 14, 2024 · Affiliated broker-dealer or bank to independent RIA
- K•••••• D•••• D•••••• from T••••• S••••••••• I•••Jun 12, 2024 · RIA to RIA
- K•••• A•• L•••••• from L•• F•••••••• L••Feb 7, 2023 · RIA to RIA
- C••••••••• D•••• R•••••• from L••••• F•••••••• G••••• L••Nov 9, 2021 · Other
- F•••••• M•••••• F•••••• from L••••• F•••••••• G••••• L••Sep 30, 2020 · RIA to RIA
- J••••••• A••• C•••••••• from L••••• F•••••••• G••••• L••Sep 30, 2020 · RIA to RIA
- J••••• A• M•••••• from M••••• F••••• W•••••• L••Jun 4, 2020 · RIA to RIA
- C•••••• D••••• H•••••• from L••••• F•••••••• G••••• L••Oct 14, 2019 · Other
- L•••••• M••••••• H••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 4, 2019 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P••••••• F••••••••Feb 1, 2022 · Fort Wayne, In
- 3 joined from L••••• F•••••••• G••••• L••Jan 2, 2018 · Fort Wayne, In
- 2 joined from L••••• F•••••••• G••••• L••Jan 2, 2018 · Saint Louis, Mo
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• T•••••• S•••• · Director Operating Officercontrolsince 11/2017 · owns less than 5%
- O••••••• L•••••• L•• · Chief Executive Officercontrolsince 06/2022 · owns less than 5%
- Q••••• B••••••• M••••• · President And Chief Operating Officercontrolsince 07/2019 · owns less than 5%
- S•••••••• S••••• L•••• · Chief Compliance Officercontrolsince 05/2019 · owns less than 5%
- T••••• M••••••• W•••••• · Chief Technology Officercontrolsince 06/2022 · owns less than 5%
- D•••••• J••••••••• D•••• · Managing Membercontrolsince 01/2024 · owns 75% or more of P•••••• R•••• H•••••••• L••
- F••••••• F••••••• M•••••• · Managing Membercontrolsince 10/2020 · owns 75% or more of 6••• H•••••••• I••
- H••••••• C••••••• D••••• · Managing Membercontrolsince 10/2017 · owns 75% or more of C•• F••••••••• L••
- H••••••• K••••••• J• · Managing Membercontrolsince 06/2022 · owns 75% or more of C••••••••• C••••••••• L•••
- M•••••• T•••••• S•••• · Managing Membercontrolsince 12/2017 · owns 75% or more of A••••••• C••••••••• L••
- O••••••• L•••••• L•• · Managing Membercontrolsince 10/2017 · owns 75% or more of M• A••••••• S•••••••• L••
- Q••••• B••••••• M••••• · Managing Membercontrolsince 01/2020 · owns 75% or more of K••••••• L••
- T••••• M••••••• W•••••• · Managing Membercontrolsince 10/2017 · owns 75% or more of S•••• A••••••• S•••••••• L••
- L••• S•••• K••• · Minority Membersince 10/2017 · owns F of V••••• H•••••••• L••
Entity owners
- V••••• H•••••••• L•• · Holding Companydirect · owns 75% or more
- 6••• H•••••••• I•• · Minority Memberindirect · owns F of V••••• H•••••••• L••
- A••••••• C••••••••• L•• · Minority Memberindirect · owns F of V••••• H•••••••• L••
- C•• F••••••••• L•• · Minority Memberindirect · owns F of V••••• H•••••••• L••
- C••••••••• C••••••••• L••• · Minority Memberindirect · owns F of V••••• H•••••••• L••
- K••••••• L•• · Minority Memberindirect · owns F of V••••• H•••••••• L••
- M• A••••••• S•••••••• L•• · Minority Memberindirect · owns F of V••••• H•••••••• L••
- P•••••• R•••• H•••••••• L•• · Minority Memberindirect · owns F of V••••• H•••••••• L••
- S•••• A••••••• S•••••••• L•• · Minority Memberindirect · owns F of V••••• H•••••••• L••
Related persons
Schedule D 7.A
- M•••••• S••••••••• L••investment advisern
- V••••• I••••••••• L••real estaten
- V••••• R••••••••• P••• C•••••••••LP sponsorn
- V••••• V•••••••• L••pooled vehicle sponsorn
Advisers that list V••••• P••••••• W••••• A••••••• as a related person
- 323225 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Wayne, In · principal | 22 | 6 | 0 | ||
| Nashville, Tn | 5 | 2 | 0 | ||
| Indianapolis, In | 2 | 1 | 0 | ||
| St Louis, Mo | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Nashville, TN3 employees
- , 1 employees
- Indianapolis, IN1 employees
- Ponte Vedra, FL1 employees
- Simpsonville, SC1 employees
- , 1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 26, 2026D•••••• J••••••••• D•••• (MANAGING MEMBER) left Schedule A between the filings of 2024-07-11 and 2026-08-26peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 26, 2026F••••••• F••••••• M•••••• (MANAGING MEMBER) left Schedule A between the filings of 2024-07-11 and 2026-08-26peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 26, 2026Q••••• B••••••• M••••• (PRESIDENT AND CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-07-11 and 2026-08-26peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 26, 2026H••••••• C••••••• D••••• (MANAGING MEMBER) left Schedule A between the filings of 2024-07-11 and 2026-08-26peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 26, 2026H••••••• K••••••• J• (MANAGING MEMBER) left Schedule A between the filings of 2024-07-11 and 2026-08-26peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Other offices · 9 to 8Mar 29, 2026 to Aug 26, 2026
- Accounts · 3,829 to 3,987Mar 28, 2025 to Mar 29, 2026
- Advisory employees · 18 to 17Mar 28, 2025 to Mar 29, 2026
- Advisory activities · 5 to 6Mar 28, 2025 to Mar 29, 2026
- BD registered reps · 5 to 4Mar 28, 2025 to Mar 29, 2026
- HNW clients · 2,754 to 3,105Mar 28, 2025 to Mar 29, 2026
- Individual clients · 1,056 to 865Mar 28, 2025 to Mar 29, 2026
- Pension plan clients · 19 to 17Mar 28, 2025 to Mar 29, 2026
- Assets in custody · $129M to $152MMar 28, 2025 to Mar 29, 2026
- Employees · 27 to 31Mar 28, 2025 to Mar 29, 2026
- State-registered IARs · 19 to 17Mar 28, 2025 to Mar 29, 2026
- Other offices · 10 to 9Mar 28, 2025 to Mar 29, 2026
- Discretionary RAUM · $827M to $1.1BMar 28, 2025 to Mar 29, 2026
- HNW RAUM · $729M to $966MMar 28, 2025 to Mar 29, 2026
- Individual RAUM · $79.5M to $71.1MMar 28, 2025 to Mar 29, 2026
- Pension RAUM · $18.9M to $23.8MMar 28, 2025 to Mar 29, 2026
- RAUM · $827M to $1.1BMar 28, 2025 to Mar 29, 2026
- Accounts · 3,325 to 3,829Nov 20, 2024 to Mar 28, 2025
- Advisory employees · 15 to 18Nov 20, 2024 to Mar 28, 2025
- BD registered reps · 3 to 5Nov 20, 2024 to Mar 28, 2025
- HNW clients · 2,186 to 2,754Nov 20, 2024 to Mar 28, 2025
- Individual clients · 1,122 to 1,056Nov 20, 2024 to Mar 28, 2025
- Pension plan clients · 17 to 19Nov 20, 2024 to Mar 28, 2025
- Assets in custody · $108M to $129MNov 20, 2024 to Mar 28, 2025
- Employees · 23 to 27Nov 20, 2024 to Mar 28, 2025
- Insurance-licensed employees · 1 to 0Nov 20, 2024 to Mar 28, 2025
- Financial planning clients · 251-500 to 251-500Nov 20, 2024 to Mar 28, 2025
- State-registered IARs · 15 to 19Nov 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $668M to $827MNov 20, 2024 to Mar 28, 2025
- HNW RAUM · $563M to $729MNov 20, 2024 to Mar 28, 2025
- Individual RAUM · $88.3M to $79.5MNov 20, 2024 to Mar 28, 2025
- Pension RAUM · $16.7M to $18.9MNov 20, 2024 to Mar 28, 2025
- RAUM · $668M to $827MNov 20, 2024 to Mar 28, 2025
- Accounts · 2,832 to 3,325Aug 3, 2023 to Mar 28, 2024
- BD registered reps · 5 to 3Aug 3, 2023 to Mar 28, 2024
- HNW clients · 1,601 to 2,186Aug 3, 2023 to Mar 28, 2024
- Individual clients · 1,217 to 1,122Aug 3, 2023 to Mar 28, 2024
- Pension plan clients · 14 to 17Aug 3, 2023 to Mar 28, 2024
- Assets in custody · $72.8M to $108MAug 3, 2023 to Mar 28, 2024
- Discretionary RAUM · $514M to $668MAug 3, 2023 to Mar 28, 2024
Signals
13 dated events
- V••••• P••••••• W••••• A••••••• reported RAUM $1.1B, up 28% from $827.3M (2025-03-28 to 2026-03-29)Mar 29, 2026 · RAUM change · derived
- Diane Jacquelyn Denson (Managing Member) appeared on Schedule A of V••••• P••••••• W••••• A•••••••Mar 28, 2024 · Control person joined · fact
- V••••• P••••••• W••••• A••••••• reported RAUM $668.4M, up 30% from $514.0M (2023-08-03 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- K•••• A•• L•••••• left V••••• P••••••• W••••• A••••••• for V•••••••• W••••• A•••••••• L•• (registered 2023-09-15)Sep 8, 2023 · Advisor changed firm · fact
- J Kameron Helmuth (Managing Member) appeared on Schedule A of V••••• P••••••• W••••• A•••••••Jul 14, 2022 · Control person joined · fact
- W•••••• Andrew Parker (Managing Member) no longer on Schedule A of V••••• P••••••• W••••• A••••••• (listed 2021-12-07, absent 2022-02-28)Feb 28, 2022 · Control person left · inference
- 2 advisors left V••••• P••••••• W••••• A••••••• (Fort Wayne, IN) for P••••••• F•••••••• on the same dayFeb 1, 2022 · Team lift-out · derived
- A••••• W•••••• P••••• left V••••• P••••••• W••••• A••••••• for P••••••• F•••••••• (registered 2022-02-02)Feb 1, 2022 · Advisor changed firm · fact
- R•••• W•••••• R••••••••• left V••••• P••••••• W••••• A••••••• for P••••••• F•••••••• (registered 2022-02-02)Feb 1, 2022 · Advisor changed firm · fact
- V••••• P••••••• W••••• A••••••• reported RAUM $515.4M, up 52% from $339.6M (2020-06-03 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Michael Forrest Friedow (Managing Member) appeared on Schedule A of V••••• P••••••• W••••• A•••••••Mar 31, 2021 · Control person joined · fact
- M••••• B•••••• Q•••• (President) appeared on Schedule A of V••••• P••••••• W••••• A•••••••Jun 3, 2020 · Control person joined · fact
- V••••• P••••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Nov 15, 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
- 877-669-1126reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H••••://V•••••RETIREMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 877-669-1126reportedpublic record, Form ADV, Aug 26, 2026
- Contact form
- vestiaadvisors.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- vestiaadvisors.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $48.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026