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
T•••• I••••••••• A•••••••
Legal name S••••• C•••••• P•••••••• L••
Latest filing Mar 24, 2026
First filing on the tape May 8, 2020 · 14 filings
SEC status approved since May 6, 2020
RAUM
$239M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$225M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$59.7M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$239M as of Mar 24, 2026
Mar 22, 2021$140M then
HNW client RAUM$175M as of Mar 24, 2026
Mar 22, 2021$86.6M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Mar 22, 20214 then
Employees (5.A)4 as of Mar 24, 2026
Mar 22, 20216 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 1 to 2
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
- 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
- RAUM per advisor
- $59.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $630,432derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.4%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $23.0M, 49 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)
- 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$175M73%
- Individuals$49.2M21%
- Charitable organizations$14.3M6.0%
- Individual clients
- 119reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 379reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $21.6M managedreported
- Custody of client assets
- $23.0M for 49 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••• P•••• S••••• | Indianapolis, In | Aug 6, 2020 | 33 y | 3 |
| J•••• R••••• D•••• | Indianapolis, In | Aug 21, 2020 | 14 y | 1 |
| M•••••• W••••• M••••••• | Indianapolis, In | Oct 15, 2024 | 13 y | 1 |
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
- M•••••• W••••• M••••••• from S•••••• N••••••• • C••••••• I•••••••••Oct 15, 2024 · Affiliated broker-dealer or bank to independent RIA
- D•••••• W•••••• D••••• from O••••••••• • C•• I•••Feb 14, 2024 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• B•••••• P• · Owner And Ccocontrolsince 05/2020 · owns 75% or more
Entity owners
- S••••• C•••••• P••••••• L•• · Legal Name Of LLCdirect · owns less than 5%
Related persons
Schedule D 7.A
- T•••• I••••••••• A••••••• W••••• M••••••••• L••investment adviseryRAUM $34.4M
Advisers that list T•••• I••••••••• A••••••• as a related person
- 329218 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Indianapolis, In · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 389 to 379Aug 27, 2025 to Mar 24, 2026
- Advisory employees · 4 to 3Aug 27, 2025 to Mar 24, 2026
- HNW clients · 47 to 44Aug 27, 2025 to Mar 24, 2026
- Individual clients · 131 to 119Aug 27, 2025 to Mar 24, 2026
- Assets in custody · $22.0M to $23.0MAug 27, 2025 to Mar 24, 2026
- Employees · 5 to 4Aug 27, 2025 to Mar 24, 2026
- State-registered IARs · 1 to 2Aug 27, 2025 to Mar 24, 2026
- Discretionary RAUM · $208M to $239MAug 27, 2025 to Mar 24, 2026
- HNW RAUM · $154M to $175MAug 27, 2025 to Mar 24, 2026
- Individual RAUM · $43.3M to $49.2MAug 27, 2025 to Mar 24, 2026
- RAUM · $208M to $239MAug 27, 2025 to Mar 24, 2026
- Wrap assets (manager) · $14.5M to $21.6MAug 27, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 0Mar 30, 2025 to Aug 27, 2025
- Accounts · 404 to 389Dec 10, 2024 to Mar 30, 2025
- HNW clients · 40 to 47Dec 10, 2024 to Mar 30, 2025
- Individual clients · 136 to 131Dec 10, 2024 to Mar 30, 2025
- Assets in custody · $20.6M to $22.0MDec 10, 2024 to Mar 30, 2025
- Insurance-licensed employees · 0 to 1Dec 10, 2024 to Mar 30, 2025
- Discretionary RAUM · $182M to $208MDec 10, 2024 to Mar 30, 2025
- HNW RAUM · $132M to $154MDec 10, 2024 to Mar 30, 2025
- Individual RAUM · $38.8M to $43.3MDec 10, 2024 to Mar 30, 2025
- RAUM · $182M to $208MDec 10, 2024 to Mar 30, 2025
- Wrap assets (manager) · $27.4M to $14.5MDec 10, 2024 to Mar 30, 2025
- Related adviser · false to trueMar 28, 2024 to Dec 10, 2024
- Accounts · 204 to 404Nov 30, 2023 to Mar 28, 2024
- Individual clients · 153 to 136Nov 30, 2023 to Mar 28, 2024
- Assets in custody · $17.0M to $20.6MNov 30, 2023 to Mar 28, 2024
- Other offices · 1 to 0Nov 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $165M to $182MNov 30, 2023 to Mar 28, 2024
- HNW RAUM · $115M to $132MNov 30, 2023 to Mar 28, 2024
- Individual RAUM · $47.1M to $38.8MNov 30, 2023 to Mar 28, 2024
- RAUM · $165M to $182MNov 30, 2023 to Mar 28, 2024
- Wrap assets (manager) · $26.2M to $27.4MNov 30, 2023 to Mar 28, 2024
- Advisory employees · 5 to 4Mar 27, 2023 to Nov 30, 2023
- Employees · 6 to 5Mar 27, 2023 to Nov 30, 2023
- Other offices · 2 to 1Mar 27, 2023 to Nov 30, 2023
- Accounts · 391 to 204Sep 1, 2022 to Mar 27, 2023
- HNW clients · 36 to 40Sep 1, 2022 to Mar 27, 2023
- Individual clients · 149 to 153Sep 1, 2022 to Mar 27, 2023
- Assets in custody · $17.0M to $17.0MSep 1, 2022 to Mar 27, 2023
Signals
2 dated events
- T•••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)May 8, 2020 · First SEC registration · fact
- T•••• I••••••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 8, 2020 · Succession (Item 4) · 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
- 317-253-2000reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 317-254-5845reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- tiadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-253-2000reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- tiadvisors.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $59.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026