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
C••••••••• F•••••••• C•••••••••
Legal name C•• P••••••• C••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Nov 1, 2024 · 4 filings
SEC status approved since Dec 2, 2024
RAUM
$187M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
96%
$180M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$46.8M
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$187M as of Mar 17, 2026
Mar 28, 2025$140M then
HNW client RAUM$109M as of Mar 17, 2026
Mar 28, 2025$73.7M then
State-registered IARs (5.B.3)3 as of Mar 17, 2026
Mar 28, 20253 then
Employees (5.A)9 as of Mar 17, 2026
Mar 28, 20257 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 17, 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
- $46.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $166,773derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $65.8M, 154 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$109M58%
- Individuals$71.0M38%
- Charitable organizations$4.8M2.6%
- Pension and profit-sharing plans$1.6M0.8%
- Corporations and businesses$1.1M0.6%
- Insurance companies$195,8450.1%
- Individual clients
- 315reported
- HNW clients
- 61reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 1,123reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $65.8M for 154 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••••• D•••• M•••••Certified Financial Planner, Chartered Financial Consultant | Cicero, In | Sep 1, 2020 | 10 y | 0 |
| D•••• E••• M••••• | Cicero, In | Sep 1, 2020 | 32 y | 3 |
| D••••• J•••••• B•••• | Cicero, In | Jan 17, 2026 | 12 y | 0 |
| N••• E•••• W•••• | Cicero, In | Apr 4, 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 headcount1 left over 36 months
Left, latest
- M•••••• G•••• O••••••• to C••••••••• I••••••••• A•••••••• L••Aug 19, 2025 · RIA to RIA
Joined, latest
- M•••••• G•••• O••••••• from L•• F•••••••• L••Jan 14, 2025 · Affiliated broker-dealer or bank to independent RIA
- D•••• E••• M••••• from C•••Sep 1, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• C••••••••• D•••• · Ccocontrolsince 08/2020 · owns less than 5%
- M•••••• D••••• E••• · Managing Membercontrolsince 04/2020 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Cicero, In · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 904 to 1,123Oct 21, 2025 to Mar 17, 2026
- Corporate clients · 8 to 9Oct 21, 2025 to Mar 17, 2026
- HNW clients · 45 to 61Oct 21, 2025 to Mar 17, 2026
- Individual clients · 301 to 315Oct 21, 2025 to Mar 17, 2026
- Assets in custody · $53.7M to $65.8MOct 21, 2025 to Mar 17, 2026
- Employees · 7 to 9Oct 21, 2025 to Mar 17, 2026
- Discretionary RAUM · $138M to $186MOct 21, 2025 to Mar 17, 2026
- HNW RAUM · $73.7M to $109MOct 21, 2025 to Mar 17, 2026
- Individual RAUM · $60.8M to $71.0MOct 21, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $2.4M to $1.6MOct 21, 2025 to Mar 17, 2026
- Pension RAUM · $2.4M to $1.6MOct 21, 2025 to Mar 17, 2026
- RAUM · $140M to $187MOct 21, 2025 to Mar 17, 2026
- Accounts · 857 to 904Nov 1, 2024 to Mar 28, 2025
- Advisory employees · 2 to 3Nov 1, 2024 to Mar 28, 2025
- Charity clients · 6 to 7Nov 1, 2024 to Mar 28, 2025
- Corporate clients · unset to 8.0Nov 1, 2024 to Mar 28, 2025
- HNW clients · 44 to 45Nov 1, 2024 to Mar 28, 2025
- Individual clients · 281 to 301Nov 1, 2024 to Mar 28, 2025
- Assets in custody · $48.3M to $53.7MNov 1, 2024 to Mar 28, 2025
- Employees · 5 to 7Nov 1, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 1-10Nov 1, 2024 to Mar 28, 2025
- State-registered IARs · 2 to 3Nov 1, 2024 to Mar 28, 2025
- Discretionary RAUM · $137M to $138MNov 1, 2024 to Mar 28, 2025
- HNW RAUM · $75.5M to $73.7MNov 1, 2024 to Mar 28, 2025
- Individual RAUM · $59.6M to $60.8MNov 1, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $2.8M to $2.4MNov 1, 2024 to Mar 28, 2025
- Pension RAUM · $2.8M to $2.4MNov 1, 2024 to Mar 28, 2025
- RAUM · $140M to $140MNov 1, 2024 to Mar 28, 2025
Signals
2 dated events
- M•••••• G•••• O••••••• left C••••••••• F•••••••• C••••••••• for C••••••••• I••••••••• A•••••••• L•• (registered 2025-12-16)Aug 19, 2025 · Advisor changed firm · fact
- C••••••••• F•••••••• C••••••••• filed its initial SEC registration (Form ADV)Nov 1, 2024 · 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
- 317-984-7693reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.c•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-984-7693reportedpublic record, Form ADV, Mar 17, 2026
- Team page
- c•••••••.comreportedpublished 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
- $46.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026