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
B••••••• F•••••••• P•••••••
Legal name W••••• I••••••••• A•••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Nov 1, 2019 · 20 filings
SEC status approved since Jan 2, 2020
RAUM
$338M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$338M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$56.4M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$338M as of Mar 24, 2026
Mar 11, 2021$215M then
HNW client RAUM$208M as of Mar 24, 2026
Mar 11, 2021$88.6M then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 11, 20212 then
Employees (5.A)10 as of Mar 24, 2026
Mar 11, 20218 then
Private funds: no history
RAUM +17% over the last fiscal year+18% a year over threeIARs 4 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $56.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $253,255derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- 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$208M62%
- Individuals$130M38%
- Corporations and businesses$220,9980.1%
- Individual clients
- 431reported
- HNW clients
- 89reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,336reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $7.8M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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 |
|---|---|---|---|---|
| S•••• E•••••••• B••••• | Indianapolis, In | Jan 2, 2020 | 23 y | 3 |
| R••••• H••••• W••••• | Indianapolis, In | Jan 2, 2020 | 25 y | 2 |
| K•••• P••••••• T•• W•••• | Rixeyville, Va | Sep 22, 2023 | 23 y | 3 |
| E••• T••••• G••••••• | Smithfield, Ky | Dec 20, 2024 | 20 y | 0 |
| J••• U• B•••••Certified Financial Planner | Indianapolis, In | May 23, 2025 | 18 y | 0 |
| T••••• R••••• B••••• | Indianapolis, In | Jun 6, 2025 | 19 y | 0 |
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
- K•••• P••••••• T•• W•••• from L•• F•••••••• L••Sep 22, 2023 · Affiliated broker-dealer or bank to independent RIA
- R••••• H••••• W••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 2, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••• E•••••••• B••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 2, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 31, 2019 · Indianapolis, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• S••••• E•••••••• · Presidentcontrolsince 01/2021 · owns 50% to 75%
- H•••••• H••••• W••••• · Chief Compliance Officercontrolsince 01/2020 · owns 25% to 50%
- W•••••• R•••••• H••••• · Financial Advisersince 01/2009 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Indianapolis, In · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 24, 2026wrap fee program participation (Item 5.I): no on the filing of 2025-06-10, yes on the filing of 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,304 to 1,336Jun 10, 2025 to Mar 24, 2026
- Advisory employees · 6 to 5Jun 10, 2025 to Mar 24, 2026
- Corporate clients · 2 to 1Jun 10, 2025 to Mar 24, 2026
- HNW clients · 68 to 89Jun 10, 2025 to Mar 24, 2026
- Individual clients · 435 to 431Jun 10, 2025 to Mar 24, 2026
- Financial planning clients · 251-500 to 1-10Jun 10, 2025 to Mar 24, 2026
- State-registered IARs · 6 to 0Jun 10, 2025 to Mar 24, 2026
- Discretionary RAUM · $287M to $338MJun 10, 2025 to Mar 24, 2026
- HNW RAUM · $150M to $208MJun 10, 2025 to Mar 24, 2026
- Individual RAUM · $136M to $130MJun 10, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $1.6M to $0Jun 10, 2025 to Mar 24, 2026
- RAUM · $289M to $338MJun 10, 2025 to Mar 24, 2026
- Wrap assets (manager) · unset to 7849416.0Jun 10, 2025 to Mar 24, 2026
- Wrap assets (sponsor) · unset to 0.0Jun 10, 2025 to Mar 24, 2026
- Advisory employees · 5 to 6Apr 9, 2025 to Jun 10, 2025
- Financial planning clients · 251-500 to 251-500Apr 9, 2025 to Jun 10, 2025
- State-registered IARs · 4 to 6Apr 9, 2025 to Jun 10, 2025
- Accounts · 1,803 to 1,304May 9, 2024 to Feb 14, 2025
- Advisory employees · 3 to 5May 9, 2024 to Feb 14, 2025
- Corporate clients · 0 to 2May 9, 2024 to Feb 14, 2025
- HNW clients · 6 to 68May 9, 2024 to Feb 14, 2025
- Individual clients · 666 to 435May 9, 2024 to Feb 14, 2025
- Assets in custody · $352,227 to $2.3MMay 9, 2024 to Feb 14, 2025
- Employees · 9 to 10May 9, 2024 to Feb 14, 2025
- State-registered IARs · 3 to 4May 9, 2024 to Feb 14, 2025
- Other offices · 3 to 4May 9, 2024 to Feb 14, 2025
- Discretionary RAUM · $253M to $287MMay 9, 2024 to Feb 14, 2025
- HNW RAUM · $25.5M to $150MMay 9, 2024 to Feb 14, 2025
- Individual RAUM · $229M to $136MMay 9, 2024 to Feb 14, 2025
- Non-discretionary RAUM · $1.4M to $1.6MMay 9, 2024 to Feb 14, 2025
- RAUM · $254M to $289MMay 9, 2024 to Feb 14, 2025
- Accounts · 1,233 to 1,803Apr 13, 2023 to Feb 5, 2024
- Advisory employees · 2 to 3Apr 13, 2023 to Feb 5, 2024
- Charity clients · unset to 0.0Apr 13, 2023 to Feb 5, 2024
- Corporate clients · 4 to 0Apr 13, 2023 to Feb 5, 2024
- HNW clients · 8 to 6Apr 13, 2023 to Feb 5, 2024
- Individual clients · 459 to 666Apr 13, 2023 to Feb 5, 2024
- Pension plan clients · unset to 0.0Apr 13, 2023 to Feb 5, 2024
- Pooled vehicle clients · unset to 0.0Apr 13, 2023 to Feb 5, 2024
- Commission compensation · false to trueApr 13, 2023 to Feb 5, 2024
Signals
3 dated events
- Elizabeth Sarah B••••• (Vice President) appeared on Schedule A of B••••••• F•••••••• P•••••••Dec 17, 2021 · Control person joined · fact
- Lee L•••• W••••• (Secretary) no longer on Schedule A of B••••••• F•••••••• P••••••• (listed 2021-11-23, absent 2021-12-17)Dec 17, 2021 · Control person left · inference
- B••••••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)Nov 1, 2019 · 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
- Business phone
- 317-859-2502reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-859-2503reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-859-2502reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- bookendsfinancialplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-859-2502reportedpublic record, Form ADV, Mar 24, 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
- $56.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026