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.

Former SEC-registered adviser

Wolfrum And Co.

Former SEC-registered adviserIndianapolis, IndianaCRD 291243SEC 801-112226IAPD
Legal name Wolfrum And Company, LLC
Latest filing Mar 28, 2019
First filing on the tape Nov 28, 2017 · 5 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$220M as of May 1, 2018
Nov 28, 2017$0 then
HNW client RAUM: $170M
State-registered IARs (5.B.3)5 as of Mar 28, 2019
Nov 28, 20170 then
Employees (5.A)5 as of Mar 28, 2019
Nov 28, 20175 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-based, commissions, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performance, commissionsreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Thomas Scott Wolfrum · Presidentcontrol
    since 12/2017 · owns 75% or more
  • Jonell Amanda Wolfrum · Chief Compliance Officer
    since 12/2017 · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Indianapolis, In · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 550.0 to unset
    May 1, 2018 to Mar 27, 2019
  • Charity clients · 0.0 to unset
    May 1, 2018 to Mar 27, 2019
  • Corporate clients · 0.0 to unset
    May 1, 2018 to Mar 27, 2019
  • HNW clients · 60.0 to unset
    May 1, 2018 to Mar 27, 2019
  • Individual clients · 77.0 to unset
    May 1, 2018 to Mar 27, 2019
  • Pension plan clients · 0.0 to unset
    May 1, 2018 to Mar 27, 2019
  • Pooled vehicle clients · 0.0 to unset
    May 1, 2018 to Mar 27, 2019
  • State-registered IARs · 0 to 5
    May 1, 2018 to Mar 27, 2019
  • Discretionary RAUM · 220000000.0 to unset
    May 1, 2018 to Mar 27, 2019
  • HNW RAUM · 170000000.0 to unset
    May 1, 2018 to Mar 27, 2019
  • Individual RAUM · 50000000.0 to unset
    May 1, 2018 to Mar 27, 2019
  • Non-discretionary RAUM · 0.0 to unset
    May 1, 2018 to Mar 27, 2019
  • RAUM · 220000000.0 to unset
    May 1, 2018 to Mar 27, 2019
  • Accounts · 400 to 550
    Mar 30, 2018 to May 1, 2018
  • HNW clients · 0 to 60
    Mar 30, 2018 to May 1, 2018
  • Individual clients · 0 to 77
    Mar 30, 2018 to May 1, 2018
  • Legal name · WOLFRUM AND CO. to WOLFRUM AND COMPANY, LLC
    Mar 30, 2018 to May 1, 2018
  • Discretionary RAUM · $100M to $220M
    Mar 30, 2018 to May 1, 2018
  • HNW RAUM · unset to 170000000.0
    Mar 30, 2018 to May 1, 2018
  • Individual RAUM · unset to 50000000.0
    Mar 30, 2018 to May 1, 2018
  • RAUM · $100M to $220M
    Mar 30, 2018 to May 1, 2018
  • Accounts · 0 to 400
    Nov 28, 2017 to Mar 30, 2018
  • Advisory activities · 2 to 3
    Nov 28, 2017 to Mar 30, 2018
  • BD registered reps · 0 to 5
    Nov 28, 2017 to Mar 30, 2018
  • Commission compensation · false to true
    Nov 28, 2017 to Mar 30, 2018
  • Organization form · Limited Liability Partnership to Limited Liability Company
    Nov 28, 2017 to Mar 30, 2018
  • Discretionary RAUM · $0 to $100M
    Nov 28, 2017 to Mar 30, 2018
  • RAUM · $0 to $100M
    Nov 28, 2017 to Mar 30, 2018
Signals
5 dated events
  • Lindsey Jo Holbrook left Wolfrum And Co. for Huntleigh Advisors, Inc. (registered 2024-04-10)
    Apr 11, 2024 · Advisor changed firm · fact
  • Richard Lowery Morris left Wolfrum And Co. for Huntleigh Advisors, Inc. (registered 2024-04-10)
    Apr 11, 2024 · Advisor changed firm · fact
  • 2 advisors left Wolfrum And CO. (Indianapolis, IN) for Huntleigh Advisors, Inc. on the same day
    Apr 11, 2024 · Team lift-out · derived
  • Wolfrum And Co. reported RAUM $220.0M, up 120% from $100.0M (2018-03-30 to 2018-05-01)
    May 1, 2018 · RAUM change · derived
  • Wolfrum And Co. filed its initial SEC registration (Form ADV)
    Nov 28, 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.
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