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
T•••• I••••••••• A••••••• W••••• M••••••••• L••
Latest filing May 8, 2026
First filing on the tape Feb 19, 2024 · 9 filings
SEC status approved since Mar 22, 2024
RAUM
$34.4M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$34.4M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$11.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$34.4M as of May 8, 2026
Mar 28, 2025$22.5M then
HNW client RAUM$23.6M as of May 8, 2026
Mar 28, 2025$18.3M then
State-registered IARs (5.B.3)3 as of May 8, 2026
Mar 28, 20253 then
Employees (5.A)3 as of May 8, 2026
Mar 28, 20253 then
Private funds: no history
RAUM +53% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of May 8, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $11.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $414,846derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +53%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +90%derived
- Compensation
- percentage of assets, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$23.6M69%
- Individuals$10.8M31%
- Individual clients
- 27reported
- HNW clients
- 11reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 83reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, commissionsreported
- 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 |
|---|---|---|---|---|
| D•••••• W•••••• D••••• | Indianapolis, In | Mar 25, 2024 | 45 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• S••••• E••••• · Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- S•••••• B•••••• P•••• · President & Membercontrolsince 11/2023 · owns 75% or more
Related persons
Schedule D 7.A
- T•••• I••••••••• A•••••••investment adviseryRAUM $239M
Advisers that list T•••• I••••••••• A••••••• W••••• M••••••••• L•• as a related person
- 309233 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Indianapolis, In · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Organization form · Limited Liability Partnership to Limited Liability CompanyMar 27, 2026 to May 8, 2026
- Accounts · 54 to 83Mar 28, 2025 to Mar 27, 2026
- HNW clients · 9 to 11Mar 28, 2025 to Mar 27, 2026
- Individual clients · 11 to 27Mar 28, 2025 to Mar 27, 2026
- Assets in custody · 1575700.0 to unsetMar 28, 2025 to Mar 27, 2026
- Custody of client assets · true to falseMar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $8.4M to $0Mar 28, 2025 to Mar 27, 2026
- HNW RAUM · $18.3M to $23.6MMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $4.2M to $10.8MMar 28, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $14.1M to $34.4MMar 28, 2025 to Mar 27, 2026
- RAUM · $22.5M to $34.4MMar 28, 2025 to Mar 27, 2026
- Accounts · 0 to 54Jul 22, 2024 to Mar 28, 2025
- Advisory employees · 2 to 3Jul 22, 2024 to Mar 28, 2025
- HNW clients · unset to 9.0Jul 22, 2024 to Mar 28, 2025
- Individual clients · unset to 11.0Jul 22, 2024 to Mar 28, 2025
- Assets in custody · $0 to $1.6MJul 22, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Jul 22, 2024 to Mar 28, 2025
- State-registered IARs · 2 to 3Jul 22, 2024 to Mar 28, 2025
- Discretionary RAUM · $0 to $8.4MJul 22, 2024 to Mar 28, 2025
- HNW RAUM · unset to 18268905.0Jul 22, 2024 to Mar 28, 2025
- Individual RAUM · unset to 4240879.0Jul 22, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $0 to $14.1MJul 22, 2024 to Mar 28, 2025
- RAUM · $0 to $22.5MJul 22, 2024 to Mar 28, 2025
- Advisory employees · 3 to 2May 6, 2024 to Jul 22, 2024
- State-registered IARs · 3 to 2May 6, 2024 to Jul 22, 2024
Signals
2 dated events
- Elaine Susan Mitchell (Chief Compliance Officer) appeared on Schedule A of T•••• I••••••••• A••••••• W••••• M••••••••• L••Apr 16, 2024 · Control person joined · fact
- T•••• I••••••••• A••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 19, 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
- Principal office phone
- 317-253-2000reportedpublic record, Form ADV, May 8, 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
- $11.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026