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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Former SEC-registered adviser
V•••••• W••••• M••••••••• L••
Latest filing May 13, 2024
First filing on the tape Jan 31, 2022 · 16 filings
SEC status approved since Mar 2, 2022
RAUM
$62.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$62.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$62.0M as of Mar 28, 2024
Mar 22, 2022$33.2M then
HNW client RAUM$23.0M as of Mar 28, 2024
Mar 22, 2022$11.1M then
State-registered IARs (5.B.3)6 as of Mar 28, 2024
Mar 22, 20227 then
Employees (5.A)7 as of Mar 28, 2024
Mar 22, 20229 then
Private funds: no history
RAUM +42% over the last fiscal yearIARs 9 to 5offices 5 to 3
Practice profile
derived from the filing of May 13, 2024; every figure names its basis
- RAUM per advisor
- $12.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $365,660derivedHNW RAUM over HNW clients
- Average account
- $84,832derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$39.0M63%
- High-net-worth individuals$23.0M37%
- Individual clients
- 349reported
- HNW clients
- 63reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 731reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- P•••• T•••••• U•••••• to L•••••••• A•••••••• L••Dec 31, 2024 · RIA to RIA
- R••• D•••• K••••••• to L•••••••• A•••••••• L••Dec 31, 2024 · RIA to RIA
- R•••• E•••••••• M•••••• to L•••••••• A•••••••• L••Dec 31, 2024 · RIA to RIA
- T••••• W•••• B••• to L•••••••• A•••••••• L••Dec 31, 2024 · RIA to RIA
- J••••••• A••••• S••••••• to M•••• I••••••••• A••••••• S•••••••May 13, 2024 · RIA to a state-registered adviser
- M••••••• B••••• J•••• to S•• W•••••Jul 25, 2023 · RIA to a newly registered adviser
- R•••••• C•••• to 2•••••• F••••••••Dec 2, 2021 · Other
Joined, latest
- R•••• E•••••••• M•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 18, 2021 · Wirehouse to independent RIA
- R•••••• C•••• from E••••• J••••Aug 16, 2021 · Affiliated broker-dealer or bank to independent RIA
- T••••• W•••• B••• from C•••••• S••••• • C••• I•••Mar 25, 2021 · Affiliated broker-dealer or bank to independent RIA
- P•••• T•••••• U•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 8, 2020 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for L•••••••• A•••••••• L••Dec 31, 2024 · Indianapolis, In · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J•••••• M•••• · Founder, Managing Partner, Member, Ccocontrolsince 02/2018 · owns 75% or more
- U••••••• P••••• T•••••• · Partner, Membersince 08/2022 · owns 10% to 25%
Related persons
Schedule D 7.A
- V•••••• T••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Indianapolis, In · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 6 to 5Mar 28, 2024 to May 13, 2024
- Employees · 7 to 6Mar 28, 2024 to May 13, 2024
- State-registered IARs · 6 to 5Mar 28, 2024 to May 13, 2024
- Other offices · 4 to 3Mar 28, 2024 to May 13, 2024
- Accounts · 555 to 731Nov 6, 2023 to Mar 28, 2024
- HNW clients · 113 to 63Nov 6, 2023 to Mar 28, 2024
- Individual clients · 272 to 349Nov 6, 2023 to Mar 28, 2024
- Discretionary RAUM · $43.5M to $62.0MNov 6, 2023 to Mar 28, 2024
- HNW RAUM · $18.9M to $23.0MNov 6, 2023 to Mar 28, 2024
- Individual RAUM · $24.8M to $39.0MNov 6, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $261,431 to $0Nov 6, 2023 to Mar 28, 2024
- RAUM · $43.8M to $62.0MNov 6, 2023 to Mar 28, 2024
- Advisory employees · 8 to 6Jul 25, 2023 to Aug 28, 2023
- Employees · 9 to 7Jul 25, 2023 to Aug 28, 2023
- State-registered IARs · 8 to 6Jul 25, 2023 to Aug 28, 2023
- Advisory employees · 9 to 8Mar 30, 2023 to Jul 25, 2023
- Employees · 10 to 9Mar 30, 2023 to Jul 25, 2023
- State-registered IARs · 9 to 8Mar 30, 2023 to Jul 25, 2023
- Other offices · 5 to 4Mar 30, 2023 to Jul 25, 2023
- Accounts · 411 to 555Jan 9, 2023 to Mar 29, 2023
- Corporate clients · unset to 0.0Jan 9, 2023 to Mar 29, 2023
- HNW clients · 71 to 113Jan 9, 2023 to Mar 29, 2023
- Individual clients · 210 to 272Jan 9, 2023 to Mar 29, 2023
- Pension plan clients · unset to 0.0Jan 9, 2023 to Mar 29, 2023
- Employees · 11 to 10Jan 9, 2023 to Mar 29, 2023
- Financial planning clients · 101-250 to 251-500Jan 9, 2023 to Mar 29, 2023
- Discretionary RAUM · $33.2M to $43.5MJan 9, 2023 to Mar 29, 2023
- HNW RAUM · $11.1M to $18.9MJan 9, 2023 to Mar 29, 2023
- Individual RAUM · $21.9M to $24.8MJan 9, 2023 to Mar 29, 2023
- Non-discretionary RAUM · $0 to $261,431Jan 9, 2023 to Mar 29, 2023
- Pension RAUM · $285,000 to $0Jan 9, 2023 to Mar 29, 2023
- RAUM · $33.2M to $43.8MJan 9, 2023 to Mar 29, 2023
- Advisory employees · 8 to 9Nov 10, 2022 to Jan 9, 2023
- Employees · 10 to 11Nov 10, 2022 to Jan 9, 2023
- State-registered IARs · 8 to 9Nov 10, 2022 to Jan 9, 2023
- Other offices · 4 to 5Nov 10, 2022 to Jan 9, 2023
- Other offices · 3 to 4Oct 5, 2022 to Oct 25, 2022
- Advisory employees · 7 to 8Mar 22, 2022 to Apr 7, 2022
- Employees · 9 to 10Mar 22, 2022 to Apr 7, 2022
- State-registered IARs · 7 to 8Mar 22, 2022 to Apr 7, 2022
Signals
10 dated events
- V•••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $62.0M)Feb 3, 2025 · Left the SEC roster · derived
- R•••• E•••••••• M•••••• left V•••••• W••••• M••••••••• L•• for L•••••••• A•••••••• L•• (registered 2024-05-13)Dec 31, 2024 · Advisor changed firm · fact
- R••• D•••• K••••••• left V•••••• W••••• M••••••••• L•• for L•••••••• A•••••••• L•• (registered 2024-05-13)Dec 31, 2024 · Advisor changed firm · fact
- T••••• W•••• B••• left V•••••• W••••• M••••••••• L•• for L•••••••• A•••••••• L•• (registered 2024-05-13)Dec 31, 2024 · Advisor changed firm · fact
- P•••• T•••••• U•••••• left V•••••• W••••• M••••••••• L•• for L•••••••• A•••••••• L•• (registered 2024-05-13)Dec 31, 2024 · Advisor changed firm · fact
- V•••••• W••••• M••••••••• L••'s advisors moved to L•••••••• A•••••••• L•• (Indianapolis, IN): 4 of 4 registered, on the same dayDec 31, 2024 · Firm absorbed (people side) · derived
- J••••••• A••••• S••••••• left V•••••• W••••• M••••••••• L•• for M•••• I••••••••• A••••••• S••••••• (registered 2024-09-16)May 13, 2024 · Advisor changed firm · fact
- Taylor Isaiah Douglass (Partner, Member) no longer on Schedule A of V•••••• W••••• M••••••••• L•• (listed 2023-08-28, absent 2023-11-06)Nov 6, 2023 · Control person left · inference
- M••••••• B••••• J•••• left V•••••• W••••• M••••••••• L•• for S•• W••••• (registered 2023-08-07)Jul 25, 2023 · Advisor changed firm · fact
- V•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 31, 2022 · 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