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
M•••••• W••••• M••••••••• L••
Latest filing Sep 10, 2026
First filing on the tape Feb 21, 2024 · 26 filings
SEC status approved since Mar 26, 2024
RAUM
$445M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
65%
$288M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$445M as of Aug 26, 2026
Mar 26, 2025$323M then
HNW client RAUM$276M as of Aug 26, 2026
Mar 26, 2025$196M then
State-registered IARs (5.B.3)4 as of Aug 26, 2026
Mar 26, 20254 then
Employees (5.A)4 as of Aug 26, 2026
Mar 26, 20254 then
Private funds: no history
RAUM +38% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Sep 10, 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
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +32%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $53.5M, 30 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)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$276M62%
- Corporations and businesses$157M35%
- Individuals$11.7M2.6%
- Individual clients
- 85reported
- HNW clients
- 189reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 276reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $53.5M for 30 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.65 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• A•••• V••••••••• | Indianapolis, In | Mar 27, 2024 | 18 y | 1 |
| P•••• G••••• B••••••••• | Indianapolis, In | Mar 27, 2024 | 11 y | 6 |
| S••• W•••••• W••• H••••• | Indianapolis, In | Apr 2, 2024 | 16 y | 2 |
| J•••• W•••••• H•••••••• | Indianapolis, In | Apr 2, 2024 | 15 y | 1 |
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
- S••• W•••••• W••• H••••• from S••••• B•••• I••••••••• A•••••••• L••Apr 2, 2024 · RIA to a newly registered adviser
- J•••• W•••••• H•••••••• from S••••• B•••• I••••••••• A•••••••• L••Apr 2, 2024 · RIA to a newly registered adviser
- M••• A•••• V••••••••• from S••••• B•••• I••••••••• A•••••••• L••Mar 27, 2024 · RIA to a newly registered adviser
- P•••• G••••• B••••••••• from I••••••••• P••••••••• L••Mar 27, 2024 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from S••••• B•••• I••••••••• A•••••••• L••Mar 27, 2024 · Indianapolis, In
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• P••••• G••••• · Managing Partnercontrolsince 03/2024 · owns 25% to 50%
- H•••••• S•••• W•••••• W••• · Managing Partnercontrolsince 03/2024 · owns 25% to 50%
- H••••••••• J••••• W•••••• · Managing Partnercontrolsince 03/2024 · owns 25% to 50%
- P••••••• C••••••••• G••••• · Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
- V••••••••• M•••• A•••• · Managing Partnercontrolsince 03/2024 · owns 25% to 50%
Related persons
Schedule D 7.A
- 4• N•••• C••••••• L••investment adviseryRAUM $125M
- C••••• C•••••• M••••••••• L••investment adviseryRAUM $243M
- C•••••••• C••••••investment adviseryRAUM $179M
- E••••••• W••••• M••••••••• L••investment adviseryRAUM $513M
- I•••••• W••••• P•••••••• L••investment adviseryRAUM $364M
- P•••••••••investment adviseryRAUM $235M
- S•••• M••• A••••••• L••investment adviseryRAUM $417M
- S•••••••• W••••• A•••••••• L••investment adviseryRAUM $300M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Indianapolis, In · principal | 4 | 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
- RAUM up 25 %Change between filings · filing Mar 13, 2026RAUM (Item 5.F) moved from $323,391,492 to $445,495,566 (+38.0%) between the annual amendments of 2025-03-26 and 2026-03-13; the peer median change was +15.0% (4550 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 92% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250Aug 26, 2026 to Sep 10, 2026
- Succession · false to unsetAug 26, 2026 to Sep 10, 2026
- Accounts · 212 to 276Nov 26, 2025 to Feb 23, 2026
- Corporate clients · 4 to 3Nov 26, 2025 to Feb 23, 2026
- HNW clients · 121 to 189Nov 26, 2025 to Feb 23, 2026
- Individual clients · 87 to 85Nov 26, 2025 to Feb 23, 2026
- Assets in custody · unset to 53474570.0Nov 26, 2025 to Feb 23, 2026
- Custody of client assets · false to trueNov 26, 2025 to Feb 23, 2026
- Financial planning clients · 11-25 to 101-250Nov 26, 2025 to Feb 23, 2026
- Discretionary RAUM · $323M to $445MNov 26, 2025 to Feb 23, 2026
- HNW RAUM · $196M to $276MNov 26, 2025 to Feb 23, 2026
- Individual RAUM · $21.6M to $11.7MNov 26, 2025 to Feb 23, 2026
- RAUM · $323M to $445MNov 26, 2025 to Feb 23, 2026
- Related adviser · false to trueNov 26, 2025 to Feb 23, 2026
- Accounts · 113 to 212Sep 20, 2024 to Mar 26, 2025
- Corporate clients · 1 to 4Sep 20, 2024 to Mar 26, 2025
- HNW clients · 66 to 121Sep 20, 2024 to Mar 26, 2025
- Individual clients · 46 to 87Sep 20, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 11-25Sep 20, 2024 to Mar 26, 2025
- Discretionary RAUM · $206M to $323MSep 20, 2024 to Mar 26, 2025
- HNW RAUM · $110M to $196MSep 20, 2024 to Mar 26, 2025
- Individual RAUM · $20.5M to $21.6MSep 20, 2024 to Mar 26, 2025
- RAUM · $206M to $323MSep 20, 2024 to Mar 26, 2025
- Related adviser · true to falseSep 20, 2024 to Mar 26, 2025
- HQ city · FISHERS to INDIANAPOLISMay 30, 2024 to Jul 17, 2024
- Accounts · 0 to 113Apr 1, 2024 to May 7, 2024
- Corporate clients · 0 to 1Apr 1, 2024 to May 7, 2024
- HNW clients · 0 to 66Apr 1, 2024 to May 7, 2024
- Individual clients · 0 to 46Apr 1, 2024 to May 7, 2024
- Discretionary RAUM · $0 to $206MApr 1, 2024 to May 7, 2024
- HNW RAUM · $0 to $110MApr 1, 2024 to May 7, 2024
- Individual RAUM · $0 to $20.5MApr 1, 2024 to May 7, 2024
- RAUM · $0 to $206MApr 1, 2024 to May 7, 2024
- Related adviser · false to trueFeb 21, 2024 to Feb 22, 2024
Signals
15 dated events
- M•••••• W••••• M••••••••• L•• reported RAUM $445.5M, up 38% from $323.4M (2025-11-26 to 2026-02-23)Feb 23, 2026 · RAUM change · derived
- M•••••• W••••• M••••••••• L•• reported RAUM $323.4M, up 57% from $205.7M (2024-09-20 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- Leigh Stacy Sizemore (Chief Compliance Officer) no longer on Schedule A of M•••••• W••••• M••••••••• L•• (listed 2024-05-07, absent 2024-05-08)May 8, 2024 · Control person left · inference
- George Christopher Plummer (Chief Compliance Officer) appeared on Schedule A of M•••••• W••••• M••••••••• L••May 8, 2024 · Control person joined · fact
- Gorman Peter Bjelopetrovich (Managing Partner) appeared on Schedule A of M•••••• W••••• M••••••••• L••Mar 27, 2024 · Control person joined · fact
- William Webb Seth Hickle (Managing Partner) appeared on Schedule A of M•••••• W••••• M••••••••• L••Mar 27, 2024 · Control person joined · fact
- William James Humphries (Managing Partner) appeared on Schedule A of M•••••• W••••• M••••••••• L••Mar 27, 2024 · Control person joined · fact
- Allen Mark Vandygriff (Managing Partner) appeared on Schedule A of M•••••• W••••• M••••••••• L••Mar 27, 2024 · Control person joined · fact
- 3 advisors left S••••• B•••• I••••••••• A•••••••• L•• (Indianapolis, IN) for M•••••• W••••• M••••••••• L•• on the same dayMar 27, 2024 · Team lift-out · derived
- Kristian Lars Olson (Owner And Chief Executive Officer) no longer on Schedule A of M•••••• W••••• M••••••••• L•• (listed 2024-03-26, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Gorman Peter Bjelopetrovich (Managing Partner) appeared on Schedule A of M•••••• W••••• M••••••••• L••Mar 12, 2024 · Control person joined · fact
- William Webb Seth Hickle (Managing Partner) appeared on Schedule A of M•••••• W••••• M••••••••• L••Mar 12, 2024 · Control person joined · fact
- William James Humphries (Managing Partner) appeared on Schedule A of M•••••• W••••• M••••••••• L••Mar 12, 2024 · Control person joined · fact
- Allen Mark Vandygriff (Managing Partner) appeared on Schedule A of M•••••• W••••• M••••••••• L••Mar 12, 2024 · Control person joined · fact
- M•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 21, 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
- 317-348-4655reportedpublic record, Form ADV, Sep 10, 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026