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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
I••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jun 2, 2021 · 14 filings
SEC status approved since Jul 6, 2021
RAUM
$101M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$33.6M
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$101M as of Mar 26, 2026
Mar 31, 2023$0 then
HNW client RAUM$0 as of Mar 26, 2026
Mar 31, 2023$0 then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Mar 30, 20222 then
Employees (5.A)4 as of Mar 26, 2026
Mar 30, 20222 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- $33.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $33.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$101M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- D••••• A• R•••••• to P••••••• U••••• A•••••••• I•••Dec 12, 2024 · Other
Joined, latest
- D••••• A• R•••••• from L••••• T••••• A••••••• S•••••••• L••Jul 7, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••• S••••••• L••••• · Managercontrolsince 05/2021 · owns less than 5%
- T•••••• S••••••• L••••• · Membercontrolsince 05/2021 · owns 75% or more of Linden Thomas Financial Group, LLC
- H•••• D••••• L•• · Chief Compliance Officersince 07/2024 · owns less than 5%
Entity owners
- L••••• T••••• F•••••••• G••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Linden Thomas Advisory Services, LLCinvestment advisernRAUM $1.8B
- L••••• T••••• A•• C•••••• S••••••••• L••broker-dealern
Advisers that list I••••••••• L•• as a related person
- 288557 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 3 | 0 | 0 | ||
| Parrish, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 3Nov 3, 2025 to Mar 26, 2026
- Discretionary RAUM · $0 to $101MNov 3, 2025 to Mar 26, 2026
- RAUM · $0 to $101MNov 3, 2025 to Mar 26, 2026
- Advisory employees · 2 to 3Mar 28, 2025 to Nov 3, 2025
- BD registered reps · 2 to 3Mar 28, 2025 to Nov 3, 2025
- Employees · 2 to 4Mar 28, 2025 to Nov 3, 2025
- Insurance-licensed employees · 2 to 3Mar 28, 2025 to Nov 3, 2025
- State-registered IARs · 2 to 3Mar 28, 2025 to Nov 3, 2025
- Accounts · unset to 0.0Nov 13, 2024 to Mar 28, 2025
- Financial planning clients · unset to Nov 13, 2024 to Mar 28, 2025
- Discretionary RAUM · unset to 0.0Nov 13, 2024 to Mar 28, 2025
- Non-discretionary RAUM · unset to 0.0Nov 13, 2024 to Mar 28, 2025
- RAUM · unset to 0.0Nov 13, 2024 to Mar 28, 2025
- Accounts · 0.0 to unsetMar 1, 2024 to Mar 28, 2024
- Discretionary RAUM · 0.0 to unsetMar 1, 2024 to Mar 28, 2024
- Non-discretionary RAUM · 0.0 to unsetMar 1, 2024 to Mar 28, 2024
- RAUM · 0.0 to unsetMar 1, 2024 to Mar 28, 2024
- Accounts · unset to 0.0Aug 26, 2022 to Mar 31, 2023
- Charity clients · unset to 0.0Aug 26, 2022 to Mar 31, 2023
- Corporate clients · unset to 0.0Aug 26, 2022 to Mar 31, 2023
- HNW clients · unset to 0.0Aug 26, 2022 to Mar 31, 2023
- Individual clients · unset to 0.0Aug 26, 2022 to Mar 31, 2023
- Pension plan clients · unset to 0.0Aug 26, 2022 to Mar 31, 2023
- Pooled vehicle clients · unset to 0.0Aug 26, 2022 to Mar 31, 2023
- Discretionary RAUM · unset to 0.0Aug 26, 2022 to Mar 31, 2023
- HNW RAUM · unset to 0.0Aug 26, 2022 to Mar 31, 2023
- Individual RAUM · unset to 0.0Aug 26, 2022 to Mar 31, 2023
- Non-discretionary RAUM · unset to 0.0Aug 26, 2022 to Mar 31, 2023
- Pension RAUM · unset to 0.0Aug 26, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · unset to 0.0Aug 26, 2022 to Mar 31, 2023
- RAUM · unset to 0.0Aug 26, 2022 to Mar 31, 2023
Signals
2 dated events
- Daniel A. Roberts left Indexperts, Llc for People'S United Advisors, Inc. (registered 2021-08-06)Dec 12, 2024 · Advisor changed firm · fact
- Indexperts, Llc filed its initial SEC registration (Form ADV)Jun 2, 2021 · 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
- Website
- INDEXPERTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (704) 554-8150reportedpublic record, Form ADV, Mar 26, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $33.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026