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.

Former SEC-registered adviser

Thurston Springer Financial

Former SEC-registered adviserIndianapolis, IndianaCRD 8478SEC 801-63564IAPD
Legal name Thurston, Springer, Miller, Herd & Titak, Inc.
Latest filing Nov 9, 2021
First filing on the tape Dec 1, 2011 · 71 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
71 filings and snapshots on the tape
RAUM$755M as of Sep 29, 2020
Aug 29, 2012$113M then
HNW client RAUM$0 as of Sep 28, 2021
Sep 27, 2018$19.3M then
State-registered IARs (5.B.3)2 as of Sep 28, 2021
Aug 29, 20120 then
Employees (5.A)2 as of Sep 28, 2021
Sep 20, 201322 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 57 to 2offices 19 to 1
Practice profile
derived from the filing of Nov 9, 2021; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-96%derivedItem 5.B.3 between annual amendments
Client growth, one year
-100%derived
Compensation
percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
Financial planning clients
1,560reportedItem 5.H
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
  • is a broker-dealer (6.A.1)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
1,560reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
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
  • Richard Wilson Parker · President / Ceo / Treasurercontrol
    since 05/2020 · owns less than 5%
  • James John Titak · Chairman Of The Boardcontrol
    since 09/2018 · owns less than 5%
  • Richard Wilson Parker · Trustee, James J. Titak Irrevocable Trustcontrol
    since 12/2020 · owns F of Trustee, James J. Titak Irrevocable Trust
  • Richard Wilson Parker · Ownercontrol
    since 12/2020 · owns F of Financial Services Holdings, LLC
  • James John Titak · Ownercontrol
    since 12/2020 · owns F of Financial Services Holdings, LLC
  • Matthew Mark Reynolds · Finop / Pfo / Poo
    since 02/2021 · owns less than 5%
  • Brian Patrick Sweeney · Chief Compliance Officer / General Counsel / Corporate Secretary
    since 01/2017 · owns less than 5%
Entity owners
  • Financial Services Holdings, LLC · Sole Shareholder
    direct · owns 75% or more
  • James J. Titak Irrevocable Trust · Owner
    indirect · owns 50% to 75% of Financial Services Holdings, LLC
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Thurston Springer Financial as a related person
Offices
Schedule D 1.F, the 25 largest
  • Washington, DC1 employees
What changed
consecutive filings, newest first
  • Accounts · 2794.0 to unset
    Mar 25, 2021 to Sep 28, 2021
  • Advisory employees · 57 to 1
    Mar 25, 2021 to Sep 28, 2021
  • BD registered reps · 65 to 1
    Mar 25, 2021 to Sep 28, 2021
  • Charity clients · unset to 0.0
    Mar 25, 2021 to Sep 28, 2021
  • HNW clients · 192 to 0
    Mar 25, 2021 to Sep 28, 2021
  • Individual clients · 1,558 to 0
    Mar 25, 2021 to Sep 28, 2021
  • Assets in custody · $21.2M to $0
    Mar 25, 2021 to Sep 28, 2021
  • Custody of client assets · true to false
    Mar 25, 2021 to Sep 28, 2021
  • Employees · 88 to 2
    Mar 25, 2021 to Sep 28, 2021
  • Insurance-licensed employees · 57 to 2
    Mar 25, 2021 to Sep 28, 2021
  • State-registered IARs · 57 to 2
    Mar 25, 2021 to Sep 28, 2021
  • Other offices · 18 to 1
    Mar 25, 2021 to Sep 28, 2021
  • Discretionary RAUM · 754762415.0 to unset
    Mar 25, 2021 to Sep 28, 2021
  • HNW RAUM · $428M to $0
    Mar 25, 2021 to Sep 28, 2021
  • Individual RAUM · $326M to $0
    Mar 25, 2021 to Sep 28, 2021
  • Non-discretionary RAUM · 0.0 to unset
    Mar 25, 2021 to Sep 28, 2021
  • RAUM · 754762415.0 to unset
    Mar 25, 2021 to Sep 28, 2021
  • Related adviser · false to true
    Mar 25, 2021 to Sep 28, 2021
  • Wrap assets (manager) · 697195582.0 to unset
    Mar 25, 2021 to Sep 28, 2021
  • Wrap assets (sponsor) · 754762415.0 to unset
    Mar 25, 2021 to Sep 28, 2021
  • Other offices · 19 to 18
    Sep 29, 2020 to Nov 16, 2020
  • Accounts · 2,461 to 2,794
    Jul 21, 2020 to Sep 29, 2020
  • Advisory employees · 54 to 57
    Jul 21, 2020 to Sep 29, 2020
  • BD registered reps · 66 to 65
    Jul 21, 2020 to Sep 29, 2020
  • HNW clients · 152 to 192
    Jul 21, 2020 to Sep 29, 2020
  • Individual clients · 1,239 to 1,558
    Jul 21, 2020 to Sep 29, 2020
  • Assets in custody · $29.1M to $21.2M
    Jul 21, 2020 to Sep 29, 2020
  • Employees · 89 to 88
    Jul 21, 2020 to Sep 29, 2020
  • Insurance-licensed employees · 0 to 57
    Jul 21, 2020 to Sep 29, 2020
  • State-registered IARs · 54 to 57
    Jul 21, 2020 to Sep 29, 2020
  • Other offices · 20 to 19
    Jul 21, 2020 to Sep 29, 2020
  • Discretionary RAUM · $657M to $755M
    Jul 21, 2020 to Sep 29, 2020
  • HNW RAUM · $346M to $428M
    Jul 21, 2020 to Sep 29, 2020
  • Individual RAUM · $311M to $326M
    Jul 21, 2020 to Sep 29, 2020
  • RAUM · $657M to $755M
    Jul 21, 2020 to Sep 29, 2020
  • Wrap assets (manager) · $600M to $697M
    Jul 21, 2020 to Sep 29, 2020
  • Wrap assets (sponsor) · $657M to $755M
    Jul 21, 2020 to Sep 29, 2020
  • Other offices · 16 to 20
    Sep 25, 2019 to Apr 13, 2020
  • Accounts · 2,016 to 2,461
    Sep 4, 2019 to Sep 24, 2019
  • Advisory employees · 45 to 54
    Sep 4, 2019 to Sep 24, 2019
Signals
7 dated events
  • Paul Edward Baldassari left Thurston Springer Financial for Thurston Springer Advisors (registered 2025-01-27)
    Jan 3, 2022 · Advisor changed firm · fact
  • Brian Patrick Sweeney left Thurston Springer Financial for Thurston Springer Advisors (registered 2020-08-12)
    Jan 3, 2022 · Advisor changed firm · fact
  • Lisa Louise Lauria (Chief Operating Officer) no longer on Schedule A of Thurston Springer Financial (listed 2021-11-08, absent 2021-11-09)
    Nov 9, 2021 · Control person left · inference
  • Lynette Herd (Secretary/Treasurer/Director/Finop/Pfo/Poo) no longer on Schedule A of Thurston Springer Financial (listed 2021-09-28, absent 2021-10-27)
    Oct 27, 2021 · Control person left · inference
  • Thurston Springer Financial reported 1 offices beyond its principal office, down from 18 (2021-03-25 to 2021-09-28)
    Sep 28, 2021 · Office count change · derived
  • Thurston Springer Financial reported 2 state-registered advisory representatives, down from 57 (2021-03-25 to 2021-09-28)
    Sep 28, 2021 · Advisor headcount change · derived
  • Lisa Louise Lauria (Chief Operating Officer) appeared on Schedule A of Thurston Springer Financial
    Dec 14, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026