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•••• F•••••••• S••••••••• G••••• L••
Latest filing Mar 31, 2026
First filing on the tape Nov 29, 2019 · 21 filings
SEC status approved since Jan 2, 2020
RAUM
$404M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$348M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$67.4M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$404M as of Mar 31, 2026
Feb 3, 2021$374M then
HNW client RAUM$290M as of Mar 31, 2026
Feb 3, 2021$225M then
State-registered IARs (5.B.3)6 as of Mar 31, 2026
Feb 3, 20216 then
Employees (5.A)9 as of Mar 31, 2026
Feb 3, 20219 then
Private funds: no history
RAUM +8.4% over the last fiscal year+10% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Mar 31, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $67.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $292,415derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $404MreportedItem 5.I
- Custody
- $10.1M, 22 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
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$290M72%
- Individuals$57.8M14%
- Charitable organizations$51.6M13%
- Corporations and businesses$4.8M1.2%
- Individual clients
- 467reported
- HNW clients
- 108reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,382reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $10.1M for 22 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• V•••••• S•••• | New Albany, In | Feb 27, 2020 | 27 y | 3 |
| G••••• J••• B••••••••• | New Albany, In | Apr 3, 2020 | 22 y | 2 |
| L••• D••••• | New Albany, In | Jan 30, 2025 | 11 y | 0 |
| J••••• K•••••Chartered Financial Analyst | New Albany, In | Mar 20, 2025 | 13 y | 0 |
| C••••• B•••• E•••• | New Albany, In | Jun 20, 2025 | 12 y | 1 |
| S••••• G••• L•••••• | New Albany, In | Jun 8, 2026 | 10 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 headcount2 left over 36 months
Left, latest
- S•••• P• B•••• to E••••• J••••Jun 2, 2025 · RIA to affiliated broker-dealer or bank
- R•••••• M••••••• K••••• to E••••• J••••May 28, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- C••••• B•••• E•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jun 20, 2025 · Affiliated broker-dealer or bank to independent RIA
- G••••• J••• B••••••••• from W•••• F•••• A•••••••Apr 3, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- D•••• V•••••• S•••• from W•••• F•••• A•••••••Feb 27, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S•••• P• B•••• from W•••• F•••• A•••••••Feb 24, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R•••••• M••••••• K••••• from W•••• F•••• A•••••••Feb 24, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for E••••• J••••May 28, 2025 · New Albany, In
- 3 joined from W•••• F•••• A•••••••Feb 28, 2020 · New Albany, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• L••• · Cfocontrolsince 11/2021 · owns less than 5%
- S••••• D••••• V•••••• · Ceo, Chief Compliance Officercontrolsince 11/2019 · owns less than 5%
- G•••• M••••••• A•••••• · Shareholdercontrolsince 10/2020 · owns 75% or more of Grau Family Holdings LLC
- S••••• D••••• V•••••• · Shareholdercontrolsince 11/2019 · owns 75% or more of Niotaze, LLC
Entity owners
- A•••• F•••••••• H••••••• L•• · Shareholderdirect · owns 75% or more
- G••• F••••• H••••••• L•• · Shareholderindirect · owns 25% to 50% of Axiom Financial Holdings LLC
- N••••••• L•• · Shareholderindirect · owns 75% or more of Axiom Financial Holdings LLC
Related persons
Schedule D 7.A
- S••••• S••••• S••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New Albany, In · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026pension consulting (Item 5.G.6): yes on the filing of 2025-03-12, no on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 56.0% to 72.0% between the annual amendments of 2025-03-12 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,414 to 1,382Mar 12, 2025 to Mar 31, 2026
- Advisory employees · 7 to 6Mar 12, 2025 to Mar 31, 2026
- Advisory activities · 6 to 5Mar 12, 2025 to Mar 31, 2026
- BD registered reps · 4 to 3Mar 12, 2025 to Mar 31, 2026
- Charity clients · 5.0 to unsetMar 12, 2025 to Mar 31, 2026
- HNW clients · 117 to 108Mar 12, 2025 to Mar 31, 2026
- Individual clients · 547 to 467Mar 12, 2025 to Mar 31, 2026
- Assets in custody · $3.9M to $10.1MMar 12, 2025 to Mar 31, 2026
- State-registered IARs · 7 to 6Mar 12, 2025 to Mar 31, 2026
- Discretionary RAUM · $371M to $404MMar 12, 2025 to Mar 31, 2026
- HNW RAUM · $210M to $290MMar 12, 2025 to Mar 31, 2026
- Individual RAUM · $114M to $57.8MMar 12, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.7M to $87,831Mar 12, 2025 to Mar 31, 2026
- RAUM · $373M to $404MMar 12, 2025 to Mar 31, 2026
- HNW RAUM · $87.1M to $210MNov 25, 2024 to Mar 12, 2025
- Individual RAUM · $166M to $114MNov 25, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $0 to $1.7MNov 25, 2024 to Mar 12, 2025
- Pension RAUM · 1627480.0 to unsetNov 25, 2024 to Mar 12, 2025
- RAUM · $346M to $373MNov 25, 2024 to Mar 12, 2025
- Accounts · 1,287 to 1,414Nov 25, 2024 to Mar 12, 2025
- Charity clients · unset to 5.0Nov 25, 2024 to Mar 12, 2025
- Corporate clients · 8.0 to unsetNov 25, 2024 to Mar 12, 2025
- HNW clients · 52 to 117Nov 25, 2024 to Mar 12, 2025
- Individual clients · 1,151 to 547Nov 25, 2024 to Mar 12, 2025
- Pension plan clients · 17.0 to unsetNov 25, 2024 to Mar 12, 2025
- Assets in custody · $13.9M to $3.9MNov 25, 2024 to Mar 12, 2025
- Employees · 7 to 9Nov 25, 2024 to Mar 12, 2025
- Financial planning clients · 251-500 to 251-500Nov 25, 2024 to Mar 12, 2025
- State-registered IARs · 5 to 7Nov 25, 2024 to Mar 12, 2025
- Discretionary RAUM · $346M to $371MNov 25, 2024 to Mar 12, 2025
- Accounts · 1,217 to 1,287Nov 2, 2023 to Mar 13, 2024
- Advisory employees · 5 to 7Nov 2, 2023 to Mar 13, 2024
- BD registered reps · 5 to 4Nov 2, 2023 to Mar 13, 2024
- Corporate clients · 6 to 8Nov 2, 2023 to Mar 13, 2024
- HNW clients · 42 to 52Nov 2, 2023 to Mar 13, 2024
- Individual clients · 1,098 to 1,151Nov 2, 2023 to Mar 13, 2024
- Pension plan clients · 16 to 17Nov 2, 2023 to Mar 13, 2024
- Assets in custody · unset to 13891819.0Nov 2, 2023 to Mar 13, 2024
- Custody of client assets · false to trueNov 2, 2023 to Mar 13, 2024
- Employees · 10 to 7Nov 2, 2023 to Mar 13, 2024
Signals
8 dated events
- Sarah P Black left Axiom Financial Strategies Group, Llc for Edward Jones (registered 2025-11-05)Jun 2, 2025 · Advisor changed firm · fact
- 2 advisors left Axiom Financial Strategies Group, LLC (New Albany, IN) for Edward Jones within 5 daysMay 28, 2025 · Team lift-out · derived
- Rebecca Michelle Konkle left Axiom Financial Strategies Group, Llc for Edward Jones (registered 2025-05-08)May 28, 2025 · Advisor changed firm · fact
- Axiom Financial Strategies Group, Llc reported RAUM $300.8M, down 26% from $403.8M (2022-06-13 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Ashley Matthew Swendiman (Chief Compliance Officer) no longer on Schedule A of Axiom Financial Strategies Group, Llc (listed 2022-06-13, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- Leah Driver (Cfo) appeared on Schedule A of Axiom Financial Strategies Group, LlcMar 3, 2022 · Control person joined · fact
- Ashley Matthew Swendiman (Chief Compliance Officer) appeared on Schedule A of Axiom Financial Strategies Group, LlcJun 24, 2020 · Control person joined · fact
- Axiom Financial Strategies Group, Llc filed its initial SEC registration (Form ADV)Nov 29, 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
- 812-913-7701reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 812-913-7702reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/springstreetsolutionsreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/axiomfsgreportedpublic record, Form ADV, Sep 18, 2026
- Website
- axiomfsg.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 812-913-7701reportedpublic record, Form ADV, Mar 31, 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
- $67.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026