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
A•••• T••• A•••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jun 12, 2024 · 5 filings
SEC status approved since Jul 12, 2024
RAUM
$152M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
100%
$152M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$25.3M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$152M as of Mar 26, 2026
Feb 12, 2025$130M then
HNW client RAUM$50.8M as of Mar 26, 2026
Feb 12, 2025$38.3M then
State-registered IARs (5.B.3)6 as of Mar 26, 2026
Feb 12, 20256 then
Employees (5.A)7 as of Mar 26, 2026
Feb 12, 20256 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of Mar 26, 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
- $25.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 130derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $996,588derivedHNW RAUM over HNW clients
- Average account
- $106,189derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%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
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -29%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$101M66%
- High-net-worth individuals$50.8M33%
- Charitable organizations$55,1250.0%
- Individual clients
- 729reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,430reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• C•••••••• L••••• | Fort Wayne, In | Mar 16, 2021 | 26 y | 6 |
| J••••• T••••• W•••••• | Fort Wayne, In | Mar 17, 2021 | 29 y | 6 |
| D•••••• W• B••••• | Fort Wayne, In | Aug 6, 2021 | 38 y | 0 |
| N•••••• C•••• | Fort Wayne, In | Sep 13, 2023 | 13 y | 0 |
| G••• R••••• Z••••• | Fort Wayne, In | Dec 14, 2023 | 25 y | 6 |
| J•••• L•••••• M•••• | Fort Wayne, In | Dec 14, 2023 | 25 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
- G••• R••••• Z••••• from M••••• Z••••• F•••••••• G••••Dec 14, 2023 · Other
- J•••• L•••••• M•••• from M••••• Z••••• F•••••••• G••••Dec 14, 2023 · Other
- J••••• T••••• W•••••• from C••••••• A•••• M••••••••• L••Mar 17, 2021 · Affiliated broker-dealer or bank to independent RIA
- K•••• C•••••••• L••••• from C••••••• A•••• M••••••••• L••Mar 16, 2021 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M••••• Z••••• F•••••••• G••••Dec 31, 2023 · Hamilton, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• K••••• C•••••••• · Managing Member/Ccocontrolsince 10/2018 · owns 50% to 75%
- W••••••• J•••••• T••••• · Membercontrolsince 10/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
- A•••• T••• F•••••••• G••••• I••insurancereal estatey
- F••••• F•••• I•••••••• A•••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Wayne, In · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Fort Wayne, IN1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 26, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $129,876,404 to $151,850,105, advisors 6 to 6, private clients 1095 to 780, offices 1 to 1 (2025-02-12 to 2026-03-26)peers: independent wealth managers, $100M to $500M (5,676)
- discretionary share shiftChange between filings · filing Mar 26, 2026discretionary share of RAUM moved from 100.0% to 78.0% between the annual amendments of 2025-02-12 and 2026-03-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,095 to 1,430May 5, 2025 to Mar 26, 2026
- HNW clients · 26 to 51May 5, 2025 to Mar 26, 2026
- Individual clients · 1,069 to 729May 5, 2025 to Mar 26, 2026
- Employees · 6 to 7May 5, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 11-25May 5, 2025 to Mar 26, 2026
- Discretionary RAUM · $129M to $118MMay 5, 2025 to Mar 26, 2026
- HNW RAUM · $38.3M to $50.8MMay 5, 2025 to Mar 26, 2026
- Individual RAUM · $91.6M to $101MMay 5, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $616,461 to $33.6MMay 5, 2025 to Mar 26, 2026
- RAUM · $130M to $152MMay 5, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Feb 12, 2025 to May 5, 2025
- Accounts · 1,037 to 1,095Dec 4, 2024 to Feb 12, 2025
- HNW clients · 7 to 26Dec 4, 2024 to Feb 12, 2025
- Individual clients · 528 to 1,069Dec 4, 2024 to Feb 12, 2025
- Discretionary RAUM · $115M to $129MDec 4, 2024 to Feb 12, 2025
- HNW RAUM · $10.4M to $38.3MDec 4, 2024 to Feb 12, 2025
- Individual RAUM · $100M to $91.6MDec 4, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $0 to $616,461Dec 4, 2024 to Feb 12, 2025
- Pension RAUM · 4164374.0 to unsetDec 4, 2024 to Feb 12, 2025
- RAUM · $115M to $130MDec 4, 2024 to Feb 12, 2025
- Wrap assets (manager) · 0.0 to unsetJun 12, 2024 to Dec 4, 2024
- Wrap assets (sponsor) · 0.0 to unsetJun 12, 2024 to Dec 4, 2024
Signals
2 dated events
- A•••• T••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 12, 2024 · First SEC registration · fact
- 2 advisors left M••••• Z••••• F•••••••• G•••• (Hamilton, IN) for A•••• T••• A•••• M••••••••• L•• on the same dayDec 31, 2023 · Team lift-out · derived
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
- appletreefinancialgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 260-637-7278reportedpublic record, Form ADV, Mar 26, 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
- $25.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026