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
T•• W••••••••• G•• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 8, 2024 · 8 filings
SEC status approved since Sep 6, 2024
RAUM
$474M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$474M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$47.4M
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$474M as of Mar 31, 2026
Mar 14, 2025$136M then
HNW client RAUM$294M as of Mar 31, 2026
Mar 14, 2025$110M then
State-registered IARs (5.B.3)9 as of Mar 31, 2026
Mar 14, 20258 then
Employees (5.A)10 as of Mar 31, 2026
Mar 14, 202510 then
Private funds1 as of Mar 31, 2026
Aug 22, 20251 then
RAUM +247% over the last fiscal yearIARs 8 to 9offices 0 to 1
Practice profile
derived from the filing of Mar 31, 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
- 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)
- RAUM per advisor
- $47.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 152derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $312,431derivedRAUM 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
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +247%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1291%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $57.3M, 102 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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)
- 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)
- 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$294M62%
- Individuals$180M38%
- Individual clients
- 1,439reported
- HNW clients
- 77reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,516reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $57.3M for 102 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• B••• P••••• | Indianapolis, In | Oct 17, 2024 | 11 y | 4 |
| M•••••• T• M•••••Certified Financial Planner | Indianapolis, In | Oct 17, 2024 | 11 y | 3 |
| T••••• L• C•••• | Indianapolis, In | Oct 22, 2024 | 28 y | 4 |
| P•••••• H•••• D•••••• | Indianapolis, In | Oct 22, 2024 | 13 y | 2 |
| N•••••••• J••• M•••••Chartered Financial Consultant | Indianapolis, In | Oct 30, 2024 | 26 y | 4 |
| A•••••• J• B•••••• | Indianapolis, In | Oct 30, 2024 | 40 y | 4 |
| A••••• J•••• C••••••Certified Financial Planner | Indianapolis, In | Nov 15, 2024 | 29 y | 4 |
| C•••••••• S•••• Z••••••• | Indianapolis, In | Jun 26, 2025 | 11 y | 1 |
| T•••••• D••• B••••Certified Financial Planner | Indianapolis, In | Dec 3, 2025 | 32 y | 2 |
| K•••• P•••••• Z•••• | Indianapolis, In | Feb 20, 2026 | 13 y | 3 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- M•••••• C••••••• S•••••• to W••••••••• W••••• S••••••••• L••Apr 18, 2025 · RIA to RIA
Joined, latest
- K•••• P•••••• Z•••• from M•• I•••••••• S•••••••• L••Feb 20, 2026 · Affiliated broker-dealer or bank to independent RIA
- T•••••• D••• B•••• from S••Dec 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- C•••••••• S•••• Z••••••• from M•• I•••••••• S•••••••• L••Jun 26, 2025 · Affiliated broker-dealer or bank to independent RIA
- A••••• J•••• C•••••• from W••••••••• W••••• S••••••••• L••Nov 15, 2024 · RIA to a newly registered adviser
- N•••••••• J••• M••••• from W••••••••• W••••• S••••••••• L••Oct 30, 2024 · RIA to a newly registered adviser
- A•••••• J• B•••••• from W••••••••• W••••• S••••••••• L••Oct 30, 2024 · RIA to a newly registered adviser
- T••••• L• C•••• from W••••••••• W••••• S••••••••• L••Oct 22, 2024 · RIA to a newly registered adviser
- P•••••• H•••• D•••••• from W••••••••• W••••• S••••••••• L••Oct 22, 2024 · RIA to a newly registered adviser
- M•••••• C••••••• S•••••• from W••••••••• W••••• S••••••••• L••Oct 22, 2024 · RIA to a newly registered adviser
- M•••••• T• M••••• from W••••••••• W••••• S••••••••• L••Oct 17, 2024 · RIA to a newly registered adviser
- N••••••• B••• P••••• from W••••••••• W••••• S••••••••• L••Oct 17, 2024 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 8 joined from W••••••••• W••••• S••••••••• L••Dec 31, 2024 · Indianapolis, In · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• A••••••• J• · Managing Membercontrolsince 08/2024 · owns 75% or more
- C••••• T•••••• L• · Membercontrolsince 08/2024 · owns 10% to 25%
- M•••••• M••••••• T• · Membercontrolsince 08/2024 · owns 5% to 10%
- M•••••• N••••••••• J••• · Chief Operating Officersince 08/2024 · owns less than 5%
- P••••• C••••••••• L•• · Ccosince 09/2024 · owns less than 5%
Related persons
Schedule D 7.A
- W••••••••• W••••• S••••••••• L••investment advisernRAUM $146M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Indianapolis, In · principal | 10 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 239.0 to 1,516.0 (+534.0%) between the annual amendments of 2025-03-14 and 2026-03-31; the peer median change was +5.0% (3687 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 100% percentile
- client count surgeChange between filings · filing Mar 31, 2026individual and HNW clients (Item 5.D) moved from 109.0 to 1,516.0 (+1291.0%) between the annual amendments of 2025-03-14 and 2026-03-31; the peer median change was +3.0% (3309 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 100% percentile
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $136,422,525 to $473,645,985 (+247.0%) between the annual amendments of 2025-03-14 and 2026-03-31; the peer median change was +15.0% (4550 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 100% percentile
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 81.0% to 62.0% between the annual amendments of 2025-03-14 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 240 to 1,516Aug 22, 2025 to Mar 31, 2026
- Advisory employees · 8 to 9Aug 22, 2025 to Mar 31, 2026
- HNW clients · 27 to 77Aug 22, 2025 to Mar 31, 2026
- Individual clients · 82 to 1,439Aug 22, 2025 to Mar 31, 2026
- Pooled vehicle clients · 1 to 0Aug 22, 2025 to Mar 31, 2026
- Assets in custody · $27.3M to $57.3MAug 22, 2025 to Mar 31, 2026
- Insurance-licensed employees · 8 to 0Aug 22, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 1-10Aug 22, 2025 to Mar 31, 2026
- State-registered IARs · 8 to 9Aug 22, 2025 to Mar 31, 2026
- Other offices · 0 to 1Aug 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $136M to $474MAug 22, 2025 to Mar 31, 2026
- HNW RAUM · $110M to $294MAug 22, 2025 to Mar 31, 2026
- Individual RAUM · $26.5M to $180MAug 22, 2025 to Mar 31, 2026
- RAUM · $136M to $474MAug 22, 2025 to Mar 31, 2026
- Accounts · 239 to 240Jul 31, 2025 to Aug 22, 2025
- Advisory activities · 3 to 4Jul 31, 2025 to Aug 22, 2025
- Pooled vehicle clients · 0 to 1Jul 31, 2025 to Aug 22, 2025
- Financial planning clients · 0 to 0Jul 31, 2025 to Aug 22, 2025
- Private funds · unset to 1Jul 31, 2025 to Aug 22, 2025
- Accounts · 147 to 239Dec 12, 2024 to Mar 14, 2025
- HNW clients · 23 to 27Dec 12, 2024 to Mar 14, 2025
- Individual clients · 52 to 82Dec 12, 2024 to Mar 14, 2025
- Assets in custody · unset to 27337097.0Dec 12, 2024 to Mar 14, 2025
- Custody of client assets · false to trueDec 12, 2024 to Mar 14, 2025
- Insurance-licensed employees · 0 to 8Dec 12, 2024 to Mar 14, 2025
- Discretionary RAUM · $120M to $136MDec 12, 2024 to Mar 14, 2025
- HNW RAUM · $106M to $110MDec 12, 2024 to Mar 14, 2025
- Individual RAUM · $14.1M to $26.5MDec 12, 2024 to Mar 14, 2025
- RAUM · $120M to $136MDec 12, 2024 to Mar 14, 2025
- Accounts · 0 to 147Sep 20, 2024 to Dec 12, 2024
- Business name · W••••••••• L•• to T•• W••••••••• G•• L••Sep 20, 2024 to Dec 12, 2024
- HNW clients · 0 to 23Sep 20, 2024 to Dec 12, 2024
- Individual clients · 0 to 52Sep 20, 2024 to Dec 12, 2024
- Legal name · W••••••••• L•• to T•• W••••••••• G•• L••Sep 20, 2024 to Dec 12, 2024
- Discretionary RAUM · $0 to $120MSep 20, 2024 to Dec 12, 2024
- HNW RAUM · $0 to $106MSep 20, 2024 to Dec 12, 2024
- Individual RAUM · $0 to $14.1MSep 20, 2024 to Dec 12, 2024
- RAUM · $0 to $120MSep 20, 2024 to Dec 12, 2024
Signals
4 dated events
- T•• W••••••••• G•• L•• reported RAUM $473.6M, up 247% from $136.4M (2025-08-22 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- M•••••• C••••••• S•••••• left T•• W••••••••• G•• L•• for W••••••••• W••••• S••••••••• L•• (registered 2025-01-03)Apr 18, 2025 · Advisor changed firm · fact
- W••••••••• W••••• S••••••••• L••'s advisors moved to T•• W••••••••• G•• L•• (Indianapolis, IN): 8 of 13 registered, on the same dayDec 31, 2024 · Firm absorbed (people side) · derived
- W••••••••• L•• filed its initial SEC registration (Form ADV)Aug 8, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T•• W••••••••• G•• L•• · Independent Sponsorsshared crd · capital_provider
- T•• W••••••••• G•• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@thewellingtongroupllc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-848-4236reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 317-846-5055reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 630-335-9275reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/thewellingtongroupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- thewellingtongroupllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-846-5055reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- thewellingtongroupllc.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- thewellingtongroupllc.com/team-memberreportedpublished by the firm, firm site, Sep 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
- $47.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026