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
F••• W•••••• L••
Latest filing Apr 1, 2026
First filing on the tape Mar 17, 2025 · 3 filings
SEC status approved since Mar 18, 2025
RAUM
$122M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$122M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$122M as of Apr 1, 2026
Mar 17, 2025$0 then
HNW client RAUM$112M as of Apr 1, 2026
Jul 16, 2025$102M then
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Mar 17, 20251 then
Employees (5.A)2 as of Apr 1, 2026
Mar 17, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$112M92%
- Individuals$10.1M8.3%
- Charitable organizations$151,3870.1%
- Investment companies$23,4770.0%
- Individual clients
- 28reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 56reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true 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 |
|---|---|---|---|---|
| R••••• D•••••• | Indianapolis, In | Mar 20, 2025 | 16 y | 2 |
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
- R••••• D•••••• from I•••• A•••• P•••••••• L••Mar 20, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• R•••••• J••••• · Firm Principalcontrolsince 02/2025 · owns 10% to 25%
- H•••••• T•••••• E••••• · Chief Compliance Officersince 02/2025 · owns less than 5%
Entity owners
- F•••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 84 to 56Jul 16, 2025 to Apr 1, 2026
- Charity clients · unset to 1.0Jul 16, 2025 to Apr 1, 2026
- HNW clients · 61 to 26Jul 16, 2025 to Apr 1, 2026
- Individual clients · unset to 28.0Jul 16, 2025 to Apr 1, 2026
- Discretionary RAUM · $102M to $122MJul 16, 2025 to Apr 1, 2026
- HNW RAUM · $102M to $112MJul 16, 2025 to Apr 1, 2026
- Individual RAUM · unset to 10111454.0Jul 16, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $0 to $46,625Jul 16, 2025 to Apr 1, 2026
- RAUM · $102M to $122MJul 16, 2025 to Apr 1, 2026
- Accounts · 0 to 84Mar 17, 2025 to Jul 16, 2025
- HNW clients · unset to 61.0Mar 17, 2025 to Jul 16, 2025
- Financial planning clients · unset to Mar 17, 2025 to Jul 16, 2025
- Discretionary RAUM · $0 to $102MMar 17, 2025 to Jul 16, 2025
- HNW RAUM · unset to 102100000.0Mar 17, 2025 to Jul 16, 2025
- RAUM · $0 to $102MMar 17, 2025 to Jul 16, 2025
Signals
No event on the tape.
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
- f•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 317-445-7676reportedpublic record, Form ADV, Apr 1, 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
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026