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••

Independent wealth managerBloomington, IndianaCRD 340681SEC 801-135517IAPD
Latest filing Jul 7, 2026
First filing on the tape Mar 16, 2026 · 3 filings
SEC status approved since Mar 9, 2026
RAUM
$285M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$285M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$143M
derived; firm RAUM over IAPD count
Employees
2
2 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$285M as of Jul 7, 2026
Mar 16, 2026$0 then
HNW client RAUM: $241M
State-registered IARs (5.B.3)2 as of Jul 7, 2026
Mar 16, 20262 then
Employees (5.A)2 as of Jul 7, 2026
Mar 16, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 7, 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
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$143MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
100derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM 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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$137MreportedItem 5.I
Custody
yesreportedItem 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)
  • 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$241M85%
  • Individuals$44.0M15%
Individual clients
122reported
HNW clients
77reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
199reported
Financial planning clients
reported
Wrap fee programs
$0 sponsored, $137M managedreported
Custody of client assets
$0 for 0 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=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••••••••• H••• M•••••Bloomington, InApr 2, 202616 y5
R••••• J••• D•••••••Certified Financial PlannerBloomington, InApr 2, 202635 y3
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 headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••••• R•••••• J••• · Managing Partner, Senior Financial Advisor, Chief Compliance Officercontrol
        since 01/2026 · owns 75% or more
      • M•••••• C••••••••• H••• · Partner, Senior Financial Advisorcontrol
        since 01/2026 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Bloomington, In · principal220
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Jul 7, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 199
        Jun 4, 2026 to Jul 7, 2026
      • Charity clients · unset to 0.0
        Jun 4, 2026 to Jul 7, 2026
      • Corporate clients · unset to 0.0
        Jun 4, 2026 to Jul 7, 2026
      • HNW clients · unset to 77.0
        Jun 4, 2026 to Jul 7, 2026
      • Individual clients · unset to 122.0
        Jun 4, 2026 to Jul 7, 2026
      • Pension plan clients · unset to 0.0
        Jun 4, 2026 to Jul 7, 2026
      • Pooled vehicle clients · unset to 0.0
        Jun 4, 2026 to Jul 7, 2026
      • HNW RAUM · unset to 241000000.0
        Jun 4, 2026 to Jul 7, 2026
      • Individual RAUM · unset to 44000000.0
        Jun 4, 2026 to Jul 7, 2026
      • Non-discretionary RAUM · $0 to $285M
        Jun 4, 2026 to Jul 7, 2026
      • Pension RAUM · unset to 0.0
        Jun 4, 2026 to Jul 7, 2026
      • Pooled vehicle RAUM · unset to 0.0
        Jun 4, 2026 to Jul 7, 2026
      • RAUM · $0 to $285M
        Jun 4, 2026 to Jul 7, 2026
      • Wrap assets (manager) · $0 to $137M
        Jun 4, 2026 to Jul 7, 2026
      Signals
      1 dated events
      • 2 advisors left R•••••• J•••• • A••••••••• I••• (Bloomington, IN) for M••••• W••••• M••••••••• L•• on the same day
        Apr 2, 2026 · Team lift-out · derived
      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
      812-333-3275reportedpublic record, Form ADV, Jul 7, 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
      $143Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026