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.

Firms

SEC-registered investment advisers

One row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list. Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.

Firm	HQ	Class	RAUM	Private clients	Advisors	RAUM / advisor	Offices	Private funds
40/86 Advisors, Inc. CRD 107740	Carmel, IN	institutional	$30B	0.0%	0	n/a	0	3
Oneamerica Asset Management, LLC CRD 165929	Indianapolis, IN	institutional	$24B	0.0%	0	n/a	0	0
Oxford Financial Group, Ltd CRD 105303	Carmel, IN	independent RIA	$23B	59%	50	$467M	6	48
S•••••• C•••••• L•• CRD 324899	Indianapolis, IN	independent RIA	$14B	86%	36	$382M	4	0
V•••• F•••••••• A•••••••• L•• CRD 127132	Carmel, IN	independent RIA	$13B	98%	108	$120M	16	0
S••••••• F•••••••• I••••••••• A••••••• L•• CRD 288623	Carmel, IN	institutional	$6.2B	9.9%	25	$247M	6	0
S•• F•••••••• A••••••• CRD 107517	Winona Lake, IN	independent RIA	$5.8B	65%	33	$176M	5	0
M• R••••••••• CRD 164328	Carmel, IN	institutional	$5.5B	1.5%	5	$1.1B	0	0
G•••••• I••••••••• M••••••••• CRD 44402	Carmel, IN	mixed wealth	$4.5B	48%	23	$196M	0	0
C• I••••••••• L•• CRD 292627	Auburn, IN	independent RIA	$4.5B	96%	80	$55.8M	15	0
B••••• C•••••• M••••••••• I•• CRD 105123	Indianapolis, IN	institutional	$4.2B	0.0%	3	$1.4B	0	0
W••••••• C•••••• M••••••••• CRD 145216	Carmel, IN	institutional	$4.0B	10.0%	4	$993M	0	1
T••••••• S••••••• A••••••• CRD 299201	Indianapolis, IN	BD affiliated	$3.7B	54%	102	$36.0M	20	0
D•••••••• C•••••• M••••••••• L•• CRD 106131	Evansville, IN	independent RIA	$3.5B	84%	46	$75.3M	3	0
P••••• I••••••••• M••••••••• I••• CRD 105675	Goshen, IN	asset manager	$3.3B	0.0%	1	$3.3B	0	0
C••••••• F•••••••• D••••••• I••• CRD 109032	Kokomo, IN	BD affiliated	$2.9B	98%	162	$18.2M	104	0
B•••• F•••••••• C••••••••• I•• CRD 105653	Indianapolis, IN	independent RIA	$2.9B	98%	19	$154M	0	0
G••••• A••••••• I••••••••• A•••••••• L•• CRD 167429	Indianapolis, IN	asset manager	$2.7B	0.0%	2	$1.3B	0	0
P••••••• F•••••••• CRD 131344	Fort Wayne, IN	independent RIA	$2.6B	64%	15	$176M	1	0
W•••••• F•••• CRD 107660	Indianapolis, IN	independent RIA	$2.3B	89%	11	$211M	0	0
E•••• F•••••••• P•••••••• I••• CRD 143311	Indianapolis, IN	independent RIA	$2.1B	95%	13	$162M	0	0
C•••• P•••••••• L•• CRD 290937	South Bend, IN	asset manager	$2.0B	0.0%	0	n/a	1	3
A••• A••••••• CRD 107571	Indianapolis, IN	other	$1.9B	10%	4	$470M	0	0
I••••• L•• CRD 282863	Indianapolis, IN	independent RIA	$1.6B	80%	34	$46.0M	11	0
L•• W••••• M••••••••• L•• CRD 145399	Indianapolis, IN	independent RIA	$1.4B	76%	13	$106M	2	0
W••••• A••••••• G•••• CRD 122050	Fort Wayne, IN	independent RIA	$1.3B	79%	9	$149M	0	0
W••••••••• A•••• M••••••••• CRD 143360	Indianapolis, IN	independent RIA	$1.3B	86%	8	$165M	0	0
P••••••• F•••••••• A•••••••• L•• CRD 156369	Evansville, IN	independent RIA	$1.3B	84%	8	$159M	1	0
D•••••••• CRD 104964	Indianapolis, IN	independent RIA	$1.2B	96%	7	$168M	7	0
C••••••••• F•••••••• G•••• CRD 325310	Shelbyville, IN	independent RIA	$1.2B	88%	10	$115M	3	0
K•••••• F•••••••• G•••• CRD 128606	Granger, IN	independent RIA	$1.2B	92%	49	$23.5M	4	0
F•• F•••••••• A•••••••• L•• CRD 168005	Indianapolis, IN	independent RIA	$1.1B	97%	9	$127M	0	3
C••••••••• C•••••• P••••••• CRD 161504	Indianapolis, IN	asset manager	$1.1B	0.0%	0	n/a	0	8
V••••• P••••••• W••••• A••••••• CRD 290565	Fort Wayne, IN	independent RIA	$1.1B	98%	22	$48.2M	8	0
A••••• I••••••••• C••••••••• CRD 136403	Carmel, IN	independent RIA	$1.0B	76%	78	$13.0M	72	0
F•••••••• E••••••••• G•••• CRD 159017	Anderson, IN	independent RIA	$987M	97%	27	$36.6M	5	0
W••••• K••••• W••••• M••••••••• CRD 104838	South Bend, IN	independent RIA	$983M	64%	6	$164M	0	0
A•• I••••••••• M••••••••• I•• CRD 106321	Kendallville, IN	mixed wealth	$964M	33%	4	$241M	0	0
S•• A••••••• S•••••••• L•• CRD 137872	Columbus, IN	independent RIA	$949M	76%	7	$136M	0	0
G•••••• F•••••••• M••••••••• I•• CRD 107218	Fort Wayne, IN	independent RIA	$929M	100%	6	$155M	0	0
A•••• C•••••• M••••••••• C••• CRD 106107	Ft Wayne, IN	independent RIA	$870M	100%	5	$174M	0	0
L•••• • A••••••••• CRD 108326	Newburgh, IN	independent RIA	$831M	96%	7	$119M	0	0
H••••• W••••• M••••••••• G••••• I••• CRD 282587	Bloomington, IN	independent RIA	$794M	85%	11	$72.2M	1	0
S••••••• F•••••••• G•••• CRD 14143	Kokomo, IN	independent RIA	$787M	98%	4	$197M	2	0
M••••• S••••• W••••• M••••••••• A•••••••• L•• CRD 122212	Indianapolis, IN	independent RIA	$776M	98%	8	$97.0M	7	0
U• A••••••••• CRD 282576	Carmel, IN	other	$759M	0.0%	0	n/a	0	1
Q•••••• F•••••••• S••••••• I••• CRD 121631	Indianapolis, IN	independent RIA	$731M	100%	2	$365M	0	0
3•••••••• • S•• A••••••• S•••••••• L•• CRD 331301	Columbus, IN	asset manager	$723M	0.0%	0	n/a	0	0
H••••• F••••••• F•••••••• I•• CRD 109563	Carmel, IN	independent RIA	$705M	99%	8	$88.1M	0	1
I•••• A•••• P•••••••• L•• CRD 154503	Carmel, IN	independent RIA	$685M	81%	4	$171M	0	3

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147 advisers match.