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

M•••••• W••••• M••••••••• I•••

Former SEC-registered adviserIndianapolis, IndianaCRD 298787SEC 801-119267IAPD
Latest filing Feb 17, 2022
First filing on the tape Sep 28, 2018 · 9 filings
RAUM
$191M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$175M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$191M as of Feb 17, 2022
Feb 1, 2021$130M then
HNW client RAUM$148M as of Feb 17, 2022
Feb 1, 2021$96.6M then
State-registered IARs (5.B.3)4 as of Feb 17, 2022
Feb 1, 20214 then
Employees (5.A)6 as of Feb 17, 2022
Feb 1, 20216 then
Private funds: no history
RAUM +47% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Feb 17, 2022; every figure names its basis
RAUM per advisor
$47.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$470,463derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+47%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+26%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$148M78%
  • Individuals$26.6M14%
  • Charitable organizations$11.5M6.0%
  • Pension and profit-sharing plans$4.5M2.4%
  • Corporations and businesses$409,7260.2%
Individual clients
122reported
HNW clients
66reported
Pension plan clients
n/areported
Charitable clients
5reported
Accounts
407reported
Financial planning clients
1-10reported
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
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
    • D••••• A•••• J•••• · Director Of Investment Operationscontrol
      since 01/2020 · owns 10% to 25%
    • S••••••• G••••••• T••••• · President, Chief Compliance Officercontrol
      since 11/2018 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 332 to 407
      Feb 1, 2021 to Feb 17, 2022
    • Charity clients · unset to 5.0
      Feb 1, 2021 to Feb 17, 2022
    • HNW clients · 47 to 66
      Feb 1, 2021 to Feb 17, 2022
    • Individual clients · 102 to 122
      Feb 1, 2021 to Feb 17, 2022
    • Discretionary RAUM · $130M to $191M
      Feb 1, 2021 to Feb 17, 2022
    • HNW RAUM · $96.6M to $148M
      Feb 1, 2021 to Feb 17, 2022
    • Individual RAUM · $21.2M to $26.6M
      Feb 1, 2021 to Feb 17, 2022
    • Pension RAUM · $3.4M to $4.5M
      Feb 1, 2021 to Feb 17, 2022
    • RAUM · $130M to $191M
      Feb 1, 2021 to Feb 17, 2022
    • Accounts · 308 to 332
      Sep 11, 2020 to Feb 1, 2021
    • Advisory employees · 3 to 4
      Sep 11, 2020 to Feb 1, 2021
    • HNW clients · 43 to 47
      Sep 11, 2020 to Feb 1, 2021
    • Individual clients · 90 to 102
      Sep 11, 2020 to Feb 1, 2021
    • Employees · 5 to 6
      Sep 11, 2020 to Feb 1, 2021
    • Financial planning clients · 0 to 1-10
      Sep 11, 2020 to Feb 1, 2021
    • State-registered IARs · 3 to 4
      Sep 11, 2020 to Feb 1, 2021
    • Discretionary RAUM · $104M to $130M
      Sep 11, 2020 to Feb 1, 2021
    • HNW RAUM · $77.2M to $96.6M
      Sep 11, 2020 to Feb 1, 2021
    • Individual RAUM · $16.5M to $21.2M
      Sep 11, 2020 to Feb 1, 2021
    • Pension RAUM · $3.2M to $3.4M
      Sep 11, 2020 to Feb 1, 2021
    • RAUM · $104M to $130M
      Sep 11, 2020 to Feb 1, 2021
    • Accounts · 272 to 308
      Jan 23, 2019 to Jul 13, 2020
    • Advisory employees · 2 to 3
      Jan 23, 2019 to Jul 13, 2020
    • HNW clients · 41 to 43
      Jan 23, 2019 to Jul 13, 2020
    • Individual clients · 68 to 90
      Jan 23, 2019 to Jul 13, 2020
    • Employees · 4 to 5
      Jan 23, 2019 to Jul 13, 2020
    • State-registered IARs · 2 to 3
      Jan 23, 2019 to Jul 13, 2020
    • Discretionary RAUM · $76.3M to $104M
      Jan 23, 2019 to Jul 13, 2020
    • HNW RAUM · $55.4M to $77.2M
      Jan 23, 2019 to Jul 13, 2020
    • Individual RAUM · $12.2M to $16.5M
      Jan 23, 2019 to Jul 13, 2020
    • Pension RAUM · $3.8M to $3.2M
      Jan 23, 2019 to Jul 13, 2020
    • RAUM · $76.3M to $104M
      Jan 23, 2019 to Jul 13, 2020
    • Accounts · 0 to 272
      Jan 18, 2019 to Jan 23, 2019
    • HNW clients · unset to 41.0
      Jan 18, 2019 to Jan 23, 2019
    • Individual clients · unset to 68.0
      Jan 18, 2019 to Jan 23, 2019
    • Discretionary RAUM · $0 to $76.3M
      Jan 18, 2019 to Jan 23, 2019
    • HNW RAUM · unset to 55363632.0
      Jan 18, 2019 to Jan 23, 2019
    • Individual RAUM · unset to 12218781.0
      Jan 18, 2019 to Jan 23, 2019
    • Pension RAUM · unset to 3779096.0
      Jan 18, 2019 to Jan 23, 2019
    • RAUM · $0 to $76.3M
      Jan 18, 2019 to Jan 23, 2019
    Signals
    6 dated events
    • D•••• T•••• left M•••••• W••••• M••••••••• I••• for L••••• F•••••••• G••••• L•• (registered 2022-05-02)
      Jul 1, 2022 · Advisor changed firm · fact
    • M•••••• A•••••• T•••• left M•••••• W••••• M••••••••• I••• for L••••• F•••••••• G••••• L•• (registered 2022-04-14)
      Jul 1, 2022 · Advisor changed firm · fact
    • A••• J•••• D•••• left M•••••• W••••• M••••••••• I••• for L••••• F•••••••• G••••• L•• (registered 2022-04-20)
      Jul 1, 2022 · Advisor changed firm · fact
    • M•••••• W••••• M••••••••• I•••'s advisors moved to L••••• F•••••••• G••••• L•• (Indianapolis, IN): 3 of 3 registered, on the same day
      Jul 1, 2022 · Firm absorbed (people side) · derived
    • James Alex Davis (Director Of Investment Operations) appeared on Schedule A of M•••••• W••••• M••••••••• I•••
      Jul 13, 2020 · Control person joined · fact
    • M•••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
      Sep 28, 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.
    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