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.
SEC-registered adviser
Encircle Financial Strategies
Legal name Marvel Financial Planning, Inc.
Latest filing Aug 25, 2026
First filing on the tape Jul 20, 2023 · 11 filings
SEC status approved since Oct 30, 2023
RAUM
$139M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$139M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$139M as of Aug 25, 2026
Feb 20, 2024$115M then
HNW client RAUM$63.9M as of Aug 25, 2026
Feb 20, 2024$30.3M then
State-registered IARs (5.B.3)1 as of Aug 25, 2026
Feb 20, 20240 then
Employees (5.A)4 as of Aug 25, 2026
Feb 20, 20241 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 240derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $192,002derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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
- 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
- Individuals$75.3M54%
- High-net-worth individuals$63.9M46%
- Corporations and businesses$205,4650.1%
- Individual clients
- 199reported
- HNW clients
- 41reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 726reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Katharine Booth MarvelChartered Financial Consultant | Indianapolis, In | Oct 11, 2023 | 33 y | 6 |
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
- Katharine Booth Marvel from Wealth Advisory Solutions, LLCOct 11, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Booth Katharine Marvel · Chief Compliance Officer, President, And Managing Membercontrolsince 09/2001 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Columbus, IN1 employees
- Indianapolis, IN1 employees
- West Yarmouth, MA1 employees
What changed
consecutive filings, newest first
- Accounts · 736 to 726Aug 21, 2025 to Feb 17, 2026
- HNW clients · 34 to 41Aug 21, 2025 to Feb 17, 2026
- Individual clients · 217 to 199Aug 21, 2025 to Feb 17, 2026
- Employees · 3 to 4Aug 21, 2025 to Feb 17, 2026
- Discretionary RAUM · $124M to $139MAug 21, 2025 to Feb 17, 2026
- HNW RAUM · $49.4M to $63.9MAug 21, 2025 to Feb 17, 2026
- Individual RAUM · $74.8M to $75.3MAug 21, 2025 to Feb 17, 2026
- RAUM · $124M to $139MAug 21, 2025 to Feb 17, 2026
- Accounts · 704 to 736Feb 20, 2024 to Mar 12, 2025
- Corporate clients · 1 to 2Feb 20, 2024 to Mar 12, 2025
- HNW clients · 20 to 34Feb 20, 2024 to Mar 12, 2025
- Individual clients · 316 to 217Feb 20, 2024 to Mar 12, 2025
- Employees · 1 to 3Feb 20, 2024 to Mar 12, 2025
- Financial planning clients · 101-250 to 101-250Feb 20, 2024 to Mar 12, 2025
- HQ city · unset to Feb 20, 2024 to Mar 12, 2025
- HQ state · unset to Feb 20, 2024 to Mar 12, 2025
- State-registered IARs · 0 to 1Feb 20, 2024 to Mar 12, 2025
- Discretionary RAUM · $115M to $124MFeb 20, 2024 to Mar 12, 2025
- HNW RAUM · $30.3M to $49.4MFeb 20, 2024 to Mar 12, 2025
- Individual RAUM · $85.0M to $74.8MFeb 20, 2024 to Mar 12, 2025
- RAUM · $115M to $124MFeb 20, 2024 to Mar 12, 2025
- Accounts · 686 to 704Dec 7, 2023 to Feb 20, 2024
- Corporate clients · 0 to 1Dec 7, 2023 to Feb 20, 2024
- HNW clients · 12 to 20Dec 7, 2023 to Feb 20, 2024
- Financial planning clients · 251-500 to 101-250Dec 7, 2023 to Feb 20, 2024
- Discretionary RAUM · $105M to $115MDec 7, 2023 to Feb 20, 2024
- HNW RAUM · $18.3M to $30.3MDec 7, 2023 to Feb 20, 2024
- Individual RAUM · $86.7M to $85.0MDec 7, 2023 to Feb 20, 2024
- RAUM · $105M to $115MDec 7, 2023 to Feb 20, 2024
- Other offices · 2 to 3Oct 24, 2023 to Dec 7, 2023
- Accounts · unset to 686.0Sep 15, 2023 to Oct 24, 2023
- Advisory activities · 2 to 3Sep 15, 2023 to Oct 24, 2023
- Business name · MARVEL FINANCIAL PLANNING to ENCIRCLE FINANCIAL STRATEGIESSep 15, 2023 to Oct 24, 2023
- HNW clients · 0 to 12Sep 15, 2023 to Oct 24, 2023
- Individual clients · 0 to 316Sep 15, 2023 to Oct 24, 2023
- Financial planning clients · 0 to 251-500Sep 15, 2023 to Oct 24, 2023
- Discretionary RAUM · unset to 104972385.0Sep 15, 2023 to Oct 24, 2023
- HNW RAUM · $0 to $18.3MSep 15, 2023 to Oct 24, 2023
- Individual RAUM · $0 to $86.7MSep 15, 2023 to Oct 24, 2023
- Non-discretionary RAUM · unset to 0.0Sep 15, 2023 to Oct 24, 2023
Signals
1 dated events
- Marvel Financial Planning filed its initial SEC registration (Form ADV)Jul 20, 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
- 317-570-1800reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 317-750-1252reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- encirclefinancialstrategies.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-570-1800reportedpublic record, Form ADV, Aug 25, 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
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026