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.
SEC-registered adviser
Capital Advisor Network
Legal name Captial Advisor Network
Latest filing Mar 23, 2026
First filing on the tape Jan 28, 2022 · 12 filings
SEC status approved since Feb 28, 2022
RAUM
$124M
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
98%
$122M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$15.6M
derived; firm RAUM over IAPD count
Employees
18
9 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$124M as of Mar 23, 2026
Mar 31, 2023$93.6M then
HNW client RAUM$40.5M as of Mar 23, 2026
Mar 31, 2023$12.0M then
State-registered IARs (5.B.3)9 as of Mar 23, 2026
Mar 31, 20230 then
Employees (5.A)18 as of Mar 23, 2026
Mar 31, 202311 then
Private funds: no history
RAUM +25% over the last fiscal year+10.0% a year over threeIARs 6 to 9
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $15.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 113derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $613,895derivedHNW RAUM over HNW clients
- Average account
- $98,713derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.1derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -22%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $34.9M, 278 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$81.2M65%
- High-net-worth individuals$40.5M33%
- Pension and profit-sharing plans$2.7M2.2%
- Individual clients
- 834reported
- HNW clients
- 66reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 1,261reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $34.9M for 278 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=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jared Johnson Wickes | Lafayette, In | Jan 6, 2026 | 11 y | 2 |
| William Paul Evans | Marion, Va | Jan 6, 2026 | 18 y | 2 |
| Fred Kent Brockman | Jasper, In | Jan 6, 2026 | 36 y | 2 |
| James Browning Moerdyk | Lafayette, In | Jan 6, 2026 | 15 y | 2 |
| Marion Slemp Fleshman | Marion, Va | Jan 6, 2026 | 32 y | 1 |
| Peter Kevin Johnson | Lafayette, In | Jan 6, 2026 | 40 y | 6 |
| William George Johnson | Marion, Va | Jan 6, 2026 | 28 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount1 left over 36 months
Left, latest
- Fred Kent Brockman to Family Wealth Planning PartnersDec 31, 2025 · RIA to RIA
- Curtis Jeffery Stephens to Coppell Advisory Solutions LLCAug 12, 2022 · RIA to RIA
- Kerwin Michael Kelley to J.P. Morgan Securities LLCJul 13, 2021 · RIA to wirehouse
Joined, latest
- Fred Kent Brockman from Family Wealth Planning PartnersJan 6, 2026 · RIA to RIA
- James Browning Moerdyk from Brookstone Capital Management LLCMar 18, 2019 · RIA to RIA
- Kerwin Michael Kelley from Brookstone FinancialJan 30, 2019 · Other
- William Paul Evans from Brookstone Capital Management LLCAug 24, 2018 · RIA to RIA
- Jared Johnson Wickes from Center Street Advisors, Inc.Jul 17, 2018 · Affiliated broker-dealer or bank to independent RIA
- Peter Kevin Johnson from Center Street Advisors, Inc.Jul 17, 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 Center Street Advisors, Inc.Jul 16, 2018 · Lafayette, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Paul William Evans · Ownercontrolsince 04/2020 · owns 10% to 25%
- Kevin Peter Johnson · Owner/Ceocontrolsince 06/2018 · owns 25% to 50%
- Johnson Jared Wickes · Owner/ Ciocontrolsince 04/2020 · owns 25% to 50%
- M Malcolm Brown · Ownersince 01/2023 · owns 10% to 25%
- Andrew Jeffrey Smith · Owner/Chief Compliance Officersince 01/2023 · owns 10% to 25%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lafayette, In · principal | 8 | 8 | 0 | ||
| Marion, Va | 3 | 3 | 0 | ||
| Jasper, In | 1 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Grayslake, IL1 employees
- Jasper, IN1 employees
- Marion, VA1 employees
- Quincy, IL1 employees
- Roanoke, VA1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count surgeChange between filings · filing Mar 23, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 9.0 (+50.0%) between the annual amendments of 2025-03-31 and 2026-03-23; the peer median change was 0.0% (965 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 1,153 to 1,261Jan 6, 2026 to Mar 23, 2026
- Advisory employees · 6 to 9Jan 6, 2026 to Mar 23, 2026
- HNW clients · 64 to 66Jan 6, 2026 to Mar 23, 2026
- Individual clients · 1,087 to 834Jan 6, 2026 to Mar 23, 2026
- Pension plan clients · 2 to 4Jan 6, 2026 to Mar 23, 2026
- Assets in custody · $41.1M to $34.9MJan 6, 2026 to Mar 23, 2026
- Employees · 8 to 18Jan 6, 2026 to Mar 23, 2026
- Insurance-licensed employees · 1 to 0Jan 6, 2026 to Mar 23, 2026
- State-registered IARs · 6 to 9Jan 6, 2026 to Mar 23, 2026
- Discretionary RAUM · $70.3M to $81.9MJan 6, 2026 to Mar 23, 2026
- HNW RAUM · $20.8M to $40.5MJan 6, 2026 to Mar 23, 2026
- Individual RAUM · $77.4M to $81.2MJan 6, 2026 to Mar 23, 2026
- Non-discretionary RAUM · $29.2M to $42.6MJan 6, 2026 to Mar 23, 2026
- Pension RAUM · $1.3M to $2.7MJan 6, 2026 to Mar 23, 2026
- RAUM · $99.5M to $124MJan 6, 2026 to Mar 23, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Jul 31, 2025
- Accounts · 1,007 to 1,153Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 7 to 6Mar 29, 2024 to Mar 31, 2025
- HNW clients · 33 to 64Mar 29, 2024 to Mar 31, 2025
- Individual clients · 971 to 1,087Mar 29, 2024 to Mar 31, 2025
- Pension plan clients · 3 to 2Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $21.4M to $41.1MMar 29, 2024 to Mar 31, 2025
- Employees · 10 to 8Mar 29, 2024 to Mar 31, 2025
- Insurance-licensed employees · 0 to 1Mar 29, 2024 to Mar 31, 2025
- State-registered IARs · 0 to 6Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $70.3M to $70.3MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $14.5M to $20.8MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $81.0M to $77.4MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $25.5M to $29.2MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $329,598 to $1.3MMar 29, 2024 to Mar 31, 2025
- RAUM · $95.8M to $99.5MMar 29, 2024 to Mar 31, 2025
- Accounts · 1,003 to 1,007Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 10 to 7Mar 31, 2023 to Mar 29, 2024
- BD registered reps · 4 to 0Mar 31, 2023 to Mar 29, 2024
- Individual clients · 967 to 971Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $8.2M to $21.4MMar 31, 2023 to Mar 29, 2024
- Employees · 11 to 10Mar 31, 2023 to Mar 29, 2024
- Other offices · 8 to 6Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $79.4M to $70.3MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $12.0M to $14.5MMar 31, 2023 to Mar 29, 2024
Signals
4 dated events
- Fred Kent Brockman left Capital Advisor Network for Family Wealth Planning Partners (registered 2023-12-15)Dec 31, 2025 · Advisor changed firm · fact
- Capital Advisor Network reported 0 state-registered advisory representatives, down from 11 (2022-10-13 to 2023-03-31)Mar 31, 2023 · Advisor headcount change · derived
- Curtis Jeffery Stephens left Capital Advisor Network for Coppell Advisory Solutions Llc (registered 2022-08-02)Aug 12, 2022 · Advisor changed firm · fact
- Capital Advisor Network, Llc filed its initial SEC registration (Form ADV)Jan 28, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/35428851reportedpublic record, Form ADV, Sep 18, 2026
- Website
- capitaladvisornetwork.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 765-588-1647reportedpublic record, Form ADV, Mar 23, 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
- $15.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026