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
R•••• C•••••• W••••• M••••••••• L••
Latest filing Mar 29, 2026
First filing on the tape Jul 25, 2018 · 15 filings
SEC status approved since Aug 28, 2018
RAUM
$204M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$204M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$204M as of Mar 29, 2026
Feb 26, 2019$108M then
HNW client RAUM$193M as of Mar 29, 2026
Feb 26, 2019$76.3M then
State-registered IARs (5.B.3)2 as of Mar 29, 2026
Feb 26, 20192 then
Employees (5.A)2 as of Mar 29, 2026
Feb 26, 20192 then
Private funds: no history
RAUM +9.4% over the last fiscal year+8.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 29, 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
- RAUM per advisor
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.2MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$193M94%
- Individuals$11.6M5.7%
- Individual clients
- 37reported
- HNW clients
- 31reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 202reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• J•• J•••••• | Carmel, In | Jan 22, 2018 | 45 y | 2 |
| T••••• L•• J•••••• | Carmel, In | Jan 22, 2018 | 42 y | 2 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- T••••• L•• J•••••• from R•• C•••••• M••••••• L••Jan 22, 2018 · Affiliated broker-dealer or bank to independent RIA
- A••••• J•• J•••••• from R•• C•••••• M••••••• L••Jan 22, 2018 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•• C•••••• M••••••• L••Dec 26, 2017 · Indianapolis, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• A•••••• J•• · Member, Chief Compliance Officercontrolsince 01/2018 · owns 50% to 75%
- J••••••• T•••••• L•• · Managing Membercontrolsince 01/2018 · 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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Carmel, IN2 employees
What changed
consecutive filings, newest first
- Accounts · 201 to 202Mar 30, 2025 to Mar 29, 2026
- HNW clients · 29 to 31Mar 30, 2025 to Mar 29, 2026
- Individual clients · 35 to 37Mar 30, 2025 to Mar 29, 2026
- Discretionary RAUM · $187M to $204MMar 30, 2025 to Mar 29, 2026
- HNW RAUM · $176M to $193MMar 30, 2025 to Mar 29, 2026
- Individual RAUM · $10.6M to $11.6MMar 30, 2025 to Mar 29, 2026
- RAUM · $187M to $204MMar 30, 2025 to Mar 29, 2026
- Accounts · 286 to 201Mar 29, 2024 to Mar 30, 2025
- HNW clients · 25 to 29Mar 29, 2024 to Mar 30, 2025
- Individual clients · 31 to 35Mar 29, 2024 to Mar 30, 2025
- Assets in custody · 20507799.0 to unsetMar 29, 2024 to Mar 30, 2025
- Custody of client assets · true to falseMar 29, 2024 to Mar 30, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 30, 2025
- HQ city · unset to Mar 29, 2024 to Mar 30, 2025
- HQ state · unset to Mar 29, 2024 to Mar 30, 2025
- Discretionary RAUM · $177M to $187MMar 29, 2024 to Mar 30, 2025
- HNW RAUM · $163M to $176MMar 29, 2024 to Mar 30, 2025
- Individual RAUM · $9.9M to $10.6MMar 29, 2024 to Mar 30, 2025
- RAUM · $177M to $187MMar 29, 2024 to Mar 30, 2025
- Accounts · 249 to 286Mar 29, 2023 to Mar 29, 2024
- HNW clients · 28 to 25Mar 29, 2023 to Mar 29, 2024
- Individual clients · 47 to 31Mar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $159M to $177MMar 29, 2023 to Mar 29, 2024
- HNW RAUM · $143M to $163MMar 29, 2023 to Mar 29, 2024
- Individual RAUM · $14.4M to $9.9MMar 29, 2023 to Mar 29, 2024
- RAUM · $159M to $177MMar 29, 2023 to Mar 29, 2024
- Accounts · 240 to 249Mar 30, 2022 to Mar 29, 2023
- HNW clients · 29 to 28Mar 30, 2022 to Mar 29, 2023
- Individual clients · 36 to 47Mar 30, 2022 to Mar 29, 2023
- Assets in custody · $21.4M to $20.5MMar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $152M to $159MMar 30, 2022 to Mar 29, 2023
- HNW RAUM · $82.9M to $143MMar 30, 2022 to Mar 29, 2023
- Individual RAUM · $11.5M to $14.4MMar 30, 2022 to Mar 29, 2023
- RAUM · $152M to $159MMar 30, 2022 to Mar 29, 2023
- Accounts · 209 to 240Nov 10, 2021 to Mar 30, 2022
- Corporate clients · 10.0 to unsetNov 10, 2021 to Mar 30, 2022
- HNW clients · 28 to 29Nov 10, 2021 to Mar 30, 2022
- Individual clients · 18 to 36Nov 10, 2021 to Mar 30, 2022
- Assets in custody · $39.7M to $21.4MNov 10, 2021 to Mar 30, 2022
- Discretionary RAUM · $146M to $152MNov 10, 2021 to Mar 30, 2022
Signals
1 dated events
- R•••• C•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 25, 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
- Website
- r••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-729-6552reportedpublic record, Form ADV, Mar 29, 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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026