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
R••• W••••• S••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Sep 5, 2023 · 12 filings
SEC status approved since Oct 19, 2023
RAUM
$106M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$106M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$52.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$106M as of Mar 24, 2026
Mar 29, 2024$99.2M then
HNW client RAUM$95.6M as of Mar 24, 2026
Mar 29, 2024$85.8M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Mar 29, 20242 then
Employees (5.A)2 as of Mar 24, 2026
Mar 29, 2024382 then
Private funds: no history
RAUM +2.0% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $52.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $446,203derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $4.6M, 39 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)
- 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$95.6M90%
- Individuals$10.1M9.6%
- Individual clients
- 62reported
- HNW clients
- 27reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 237reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.6M for 39 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• L• M•••••• | Fishers, In | Oct 20, 2023 | 18 y | 2 |
| J•••• W•••••• R••• | Fishers, In | Oct 20, 2023 | 30 y | 3 |
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
- J•••• W•••••• R••• from U•• F•••••••• S••••••• I•••Oct 20, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W••••• L• M•••••• from U•• F•••••••• S••••••• I•••Oct 20, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from U•• F•••••••• S••••••• I•••Oct 31, 2023 · Indianapolis, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• J••••• W•••••• · Ceocontrolsince 10/2023 · owns 75% or more
- G••••••• S••••• A•• · Chief Compliance Officersince 08/2023 · owns less than 5%
- M••••••• W•••••• L• · Chief Operating Officersince 10/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Fishers, In | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 24, 2026HNW share of RAUM moved from 71.0% to 90.0% between the annual amendments of 2025-03-27 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 67 to 237Nov 11, 2025 to Mar 24, 2026
- Charity clients · unset to 0.0Nov 11, 2025 to Mar 24, 2026
- Corporate clients · unset to 0.0Nov 11, 2025 to Mar 24, 2026
- HNW clients · 15 to 27Nov 11, 2025 to Mar 24, 2026
- Individual clients · 52 to 62Nov 11, 2025 to Mar 24, 2026
- Pension plan clients · unset to 0.0Nov 11, 2025 to Mar 24, 2026
- Pooled vehicle clients · unset to 0.0Nov 11, 2025 to Mar 24, 2026
- Assets in custody · $385M to $4.6MNov 11, 2025 to Mar 24, 2026
- Discretionary RAUM · $104M to $106MNov 11, 2025 to Mar 24, 2026
- HNW RAUM · $73.5M to $95.6MNov 11, 2025 to Mar 24, 2026
- Individual RAUM · $30.2M to $10.1MNov 11, 2025 to Mar 24, 2026
- Pension RAUM · unset to 0.0Nov 11, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · unset to 0.0Nov 11, 2025 to Mar 24, 2026
- RAUM · $104M to $106MNov 11, 2025 to Mar 24, 2026
- Accounts · 203 to 67Apr 19, 2024 to Mar 27, 2025
- HNW clients · 22 to 15Apr 19, 2024 to Mar 27, 2025
- Individual clients · 38 to 52Apr 19, 2024 to Mar 27, 2025
- Assets in custody · $35.5M to $385MApr 19, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 1-10Apr 19, 2024 to Mar 27, 2025
- HQ city · unset to Apr 19, 2024 to Mar 27, 2025
- HQ state · unset to Apr 19, 2024 to Mar 27, 2025
- Discretionary RAUM · $99.2M to $104MApr 19, 2024 to Mar 27, 2025
- HNW RAUM · $85.8M to $73.5MApr 19, 2024 to Mar 27, 2025
- Individual RAUM · $13.4M to $30.2MApr 19, 2024 to Mar 27, 2025
- RAUM · $99.2M to $104MApr 19, 2024 to Mar 27, 2025
- Employees · 382 to 2Mar 29, 2024 to Apr 1, 2024
- Accounts · 0 to 203Mar 8, 2024 to Mar 29, 2024
- Advisory employees · 1 to 2Mar 8, 2024 to Mar 29, 2024
- HNW clients · unset to 22.0Mar 8, 2024 to Mar 29, 2024
- Individual clients · unset to 38.0Mar 8, 2024 to Mar 29, 2024
- Assets in custody · unset to 35545570.0Mar 8, 2024 to Mar 29, 2024
- Custody of client assets · false to trueMar 8, 2024 to Mar 29, 2024
- Employees · 2 to 382Mar 8, 2024 to Mar 29, 2024
- Discretionary RAUM · $0 to $99.2MMar 8, 2024 to Mar 29, 2024
- HNW RAUM · unset to 85795096.0Mar 8, 2024 to Mar 29, 2024
- Individual RAUM · unset to 13408761.0Mar 8, 2024 to Mar 29, 2024
- RAUM · $0 to $99.2MMar 8, 2024 to Mar 29, 2024
- State-registered IARs · 0 to 2Mar 6, 2024 to Mar 8, 2024
- Related adviser · true to falseMar 6, 2024 to Mar 8, 2024
- Business name · M••••• W••••• M••••••••• to R••• W••••• S••••••••• L••Oct 20, 2023 to Mar 6, 2024
Signals
4 dated events
- 2 advisors left U•• F•••••••• S••••••• I••• (Indianapolis, IN) for R••• W••••• S••••••••• L•• on the same dayOct 31, 2023 · Team lift-out · derived
- Sean Kevin Woodard (Member And Manager) no longer on Schedule A of R••• W••••• S••••••••• L•• (listed 2023-09-11, absent 2023-10-20)Oct 20, 2023 · Control person left · inference
- Wendell Jason R••• (Ceo) appeared on Schedule A of R••• W••••• S••••••••• L••Oct 20, 2023 · Control person joined · fact
- M••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 5, 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
- 463-248-6395reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 463-248-6538reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 463-248-6395reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- r•••••••••.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
- $52.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026