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
D•••••• T••••••• I••••••••• C••••
Latest filing Jul 15, 2026
First filing on the tape Jan 31, 2024 · 12 filings
SEC status approved since Mar 4, 2024
RAUM
$265M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$205M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$88.4M
derived; firm RAUM over IAPD count
Employees
10
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$265M as of Jul 15, 2026
Mar 30, 2025$185M then
HNW client RAUM$22.6M as of Jul 15, 2026
Mar 30, 2025$16.6M then
State-registered IARs (5.B.3)2 as of Jul 15, 2026
Mar 30, 20252 then
Employees (5.A)10 as of Jul 15, 2026
Mar 30, 20257 then
Private funds5 as of Jul 15, 2026
Mar 30, 20255 then
RAUM +43% over the last fiscal yearIARs 2 to 2offices 2 to 0
Practice profile
derived from the filing of Jul 15, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $88.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 130derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $245,845derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +43%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$183M69%
- Pooled investment vehicles$59.9M23%
- High-net-worth individuals$22.6M8.5%
- Individual clients
- 383reported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,079reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.77 fund_share=0.23 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• A•••• S••••• | Louisville, Ky | Mar 7, 2024 | 28 y | 5 |
| J••••••• T• B•••••• | Prospect, Ky | Jan 9, 2025 | 11 y | 2 |
| P••••• J••• S••••• | Prospect , Ky | Jul 15, 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••••••• T• B•••••• from M•• C•••••• A••••••• L••Jan 9, 2025 · RIA to RIA
- J•••••• A•••• S••••• from A•••••• I••••••••• A•••••••• L••Mar 7, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• J••••••• A•••• · Ceo, Cio & Ccocontrolsince 11/2021 · owns 75% or more
- M••••••••• L••• · Cfosince 09/2024 · owns less than 5%
- S•••••• P•••••• J••• · Ctosince 09/2024 · owns less than 5%
Related persons
Schedule D 7.A
- J•••••• S•••••pooled vehicle sponsorn
- J•••••• S•••••pooled vehicle sponsorn
- J•••••• S•••••pooled vehicle sponsorn
- J•••••• S•••••pooled vehicle sponsorn
- J•••••• S•••••n
- J•••••• S•••••pooled vehicle sponsorn
- J•••••• S•••••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Prospect, Ky · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Indianapolis, IN1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $185,027,885 to $265,266,889 (+43.0%) between the annual amendments of 2025-03-30 and 2026-03-31; the peer median change was +15.0% (4550 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 994 to 1,079Oct 9, 2025 to Mar 31, 2026
- Advisory activities · 2 to 3Oct 9, 2025 to Mar 31, 2026
- Individual clients · 392 to 383Oct 9, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 6Oct 9, 2025 to Mar 31, 2026
- Employees · 7 to 10Oct 9, 2025 to Mar 31, 2026
- HQ city · to PROSPECTOct 9, 2025 to Mar 31, 2026
- HQ state · to KYOct 9, 2025 to Mar 31, 2026
- Other offices · 2 to 0Oct 9, 2025 to Mar 31, 2026
- Discretionary RAUM · $185M to $265MOct 9, 2025 to Mar 31, 2026
- HNW RAUM · $16.6M to $22.6MOct 9, 2025 to Mar 31, 2026
- Individual RAUM · $141M to $183MOct 9, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $27.0M to $59.9MOct 9, 2025 to Mar 31, 2026
- RAUM · $185M to $265MOct 9, 2025 to Mar 31, 2026
- HQ city · SHERIDAN to Aug 18, 2025 to Oct 9, 2025
- HQ state · WY to Aug 18, 2025 to Oct 9, 2025
- Financial planning clients · unset to Mar 30, 2025 to Jun 4, 2025
- Accounts · 543 to 994Sep 25, 2024 to Mar 30, 2025
- Advisory employees · 1 to 3Sep 25, 2024 to Mar 30, 2025
- Individual clients · 536 to 392Sep 25, 2024 to Mar 30, 2025
- Pooled vehicle clients · unset to 5.0Sep 25, 2024 to Mar 30, 2025
- Employees · 1 to 7Sep 25, 2024 to Mar 30, 2025
- State-registered IARs · 1 to 2Sep 25, 2024 to Mar 30, 2025
- Private funds · unset to 5Sep 25, 2024 to Mar 30, 2025
- Discretionary RAUM · $101M to $185MSep 25, 2024 to Mar 30, 2025
- HNW RAUM · $8.6M to $16.6MSep 25, 2024 to Mar 30, 2025
- Individual RAUM · $92.4M to $141MSep 25, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · unset to 26954407.0Sep 25, 2024 to Mar 30, 2025
- RAUM · $101M to $185MSep 25, 2024 to Mar 30, 2025
- Accounts · 0 to 543Mar 11, 2024 to Jul 3, 2024
- HNW clients · unset to 7.0Mar 11, 2024 to Jul 3, 2024
- Individual clients · unset to 536.0Mar 11, 2024 to Jul 3, 2024
- Discretionary RAUM · $0 to $101MMar 11, 2024 to Jul 3, 2024
- HNW RAUM · unset to 8614313.0Mar 11, 2024 to Jul 3, 2024
- Individual RAUM · unset to 92366385.0Mar 11, 2024 to Jul 3, 2024
- RAUM · $0 to $101MMar 11, 2024 to Jul 3, 2024
Signals
1 dated events
- D•••••• T••••••• I••••••••• C•••• filed its initial SEC registration (Form ADV)Jan 31, 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
- Website
- demeter-funds.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 2125184444reportedpublic record, Form ADV, Jul 15, 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
- $88.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026