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
D•••• W••••• A••••••• L••
Latest filing Jun 10, 2026
First filing on the tape Nov 15, 2023 · 12 filings
SEC status approved since Dec 14, 2023
RAUM
$152M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$147M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$50.6M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$152M as of Jun 10, 2026
Mar 25, 2024$102M then
HNW client RAUM$115M as of Jun 10, 2026
Mar 25, 2024$73.6M then
State-registered IARs (5.B.3)2 as of Jun 10, 2026
Mar 25, 20242 then
Employees (5.A)5 as of Jun 10, 2026
Mar 25, 20243 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 10, 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
- $50.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $291,981derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $33.8M, 150 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
- 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)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$115M76%
- Individuals$31.9M21%
- Pension and profit-sharing plans$4.5M3.0%
- Corporations and businesses$475,0000.3%
- Individual clients
- 111reported
- HNW clients
- 65reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 520reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $33.8M for 150 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| D••• N• E••••••••Certified Financial Planner | Indianapolis, In | Sep 9, 2020 | 21 y | 3 |
| N••••••• G••••• C••••• F•••••••Chartered Financial Analyst | Indianapolis, In | Sep 28, 2020 | 10 y | 2 |
| N••••• T••••• S••••Certified Financial Planner | Indianapolis, In | Mar 5, 2026 | 11 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 headcount1 left over 36 months
Left, latest
- A••• C••••••••• S••••••• to B••• C••• F••••••••Jan 16, 2024 · RIA to a state-registered adviser
Joined, latest
- N••••••• G••••• C••••• F••••••• from W••••• A••••••• S••••••••• L••Sep 28, 2020 · RIA to RIA
- D••• N• E•••••••• from W••••• A••••••• S••••••••• L••Sep 9, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••••• D•••• N• · Managing Member & Chief Compliance Officercontrolsince 10/2017 · owns 75% or more
- F•••••••• N•••••••• G••••• C••••• · Ownercontrolsince 09/2020 · owns 10% to 25%
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 | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Oakbrook Terrace, IL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jun 10, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-04-29, yes on the filing of 2026-06-10peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory activities · 4 to 5Apr 29, 2026 to Jun 10, 2026
- Accounts · 584 to 520Oct 6, 2025 to Mar 24, 2026
- Corporate clients · 0 to 1Oct 6, 2025 to Mar 24, 2026
- HNW clients · 63 to 65Oct 6, 2025 to Mar 24, 2026
- Individual clients · 144 to 111Oct 6, 2025 to Mar 24, 2026
- Pension plan clients · 1 to 4Oct 6, 2025 to Mar 24, 2026
- Assets in custody · $0 to $33.8MOct 6, 2025 to Mar 24, 2026
- Employees · 3 to 5Oct 6, 2025 to Mar 24, 2026
- Discretionary RAUM · $119M to $150MOct 6, 2025 to Mar 24, 2026
- HNW RAUM · $92.4M to $115MOct 6, 2025 to Mar 24, 2026
- Individual RAUM · $28.1M to $31.9MOct 6, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $1.3M to $1.4MOct 6, 2025 to Mar 24, 2026
- Pension RAUM · $33,287 to $4.5MOct 6, 2025 to Mar 24, 2026
- RAUM · $121M to $152MOct 6, 2025 to Mar 24, 2026
- Business name · D•••• W••••• A•••••••• L•• to D•••• W••••• A••••••• L••Mar 28, 2025 to Jul 9, 2025
- Financial planning clients · 101-250 to 101-250Mar 28, 2025 to Jul 9, 2025
- Legal name · D•••• W••••• A•••••••• L•• to D•••• W••••• A••••••• L••Mar 28, 2025 to Jul 9, 2025
- Accounts · 538 to 584Nov 21, 2024 to Mar 28, 2025
- HNW clients · 57 to 63Nov 21, 2024 to Mar 28, 2025
- Individual clients · 149 to 144Nov 21, 2024 to Mar 28, 2025
- Pension plan clients · 6 to 1Nov 21, 2024 to Mar 28, 2025
- Assets in custody · $102M to $0Nov 21, 2024 to Mar 28, 2025
- HQ city · unset to Nov 21, 2024 to Mar 28, 2025
- HQ state · unset to Nov 21, 2024 to Mar 28, 2025
- Discretionary RAUM · $101M to $119MNov 21, 2024 to Mar 28, 2025
- HNW RAUM · $73.6M to $92.4MNov 21, 2024 to Mar 28, 2025
- Individual RAUM · $27.3M to $28.1MNov 21, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $1.1M to $1.3MNov 21, 2024 to Mar 28, 2025
- Pension RAUM · $1.3M to $33,287Nov 21, 2024 to Mar 28, 2025
- RAUM · $102M to $121MNov 21, 2024 to Mar 28, 2025
- Accounts · 203 to 538Mar 12, 2024 to Mar 25, 2024
- HNW clients · 53 to 57Mar 12, 2024 to Mar 25, 2024
- Individual clients · 142 to 149Mar 12, 2024 to Mar 25, 2024
- Pension plan clients · 8 to 6Mar 12, 2024 to Mar 25, 2024
- Assets in custody · $0 to $102MMar 12, 2024 to Mar 25, 2024
- Custody of client assets · false to trueMar 12, 2024 to Mar 25, 2024
- Discretionary RAUM · $97.8M to $101MMar 12, 2024 to Mar 25, 2024
- HNW RAUM · $71.9M to $73.6MMar 12, 2024 to Mar 25, 2024
- Individual RAUM · $25.9M to $27.3MMar 12, 2024 to Mar 25, 2024
- Non-discretionary RAUM · $2.6M to $1.1MMar 12, 2024 to Mar 25, 2024
Signals
2 dated events
- A••• C••••••••• S••••••• left D•••• W••••• A••••••• L•• for B••• C••• F•••••••• (registered 2025-02-10)Jan 16, 2024 · Advisor changed firm · fact
- D•••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 15, 2023 · 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
- 317-224-0220reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- deltawealthadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-735-6445reportedpublic record, Form ADV, Jun 10, 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
- $50.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026