DFX Intelligence

H••• • C••••• F•••••••• G•••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

H••• • C••••• F•••••••• G•••• L••

CRD 150601

LAS VEGAS, NV

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Search this name across graphsid dfx:ria:0c28fc9f-2d15-675a-a871-1224655cf397

Data as of Mar 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Mar 4, 2026 to Mar 4, 2026
1 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.84 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $129M••• Locked
Discretionary RAUM: $108M
Private client RAUM: $108Mderived••• Locked
Private client share: 84%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $32.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B••••••• C••••• C•••••	n/a	LAS VEGAS, NV	17	17	n/a	no
K••• A•••••• H•••	n/a	LAS VEGAS, NV	15	32

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• B•••••••• C•••••	CHIEF COMPLIANCE OFFICER	C	yes	05/2009	Mar 4, 2026	Mar 4, 2026
C•••••• R•••••• H•••••	MANAGING MEMBER	C	yes	04/2016	Mar 4, 2026	Mar 4, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 4, 2026	$129M	$108M	5	4	2	n/a	n/a

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$129M	n/a	n/a	n/a	n/a	5	n/a	2	n/a

Relationships

Controls (3)

← C•••••• B•••••••• C•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 4, 2026 to presentfactForm ADV
← C•••••• R•••••• H•••••OwnerMANAGING MEMBER, ownership code C, individual
Mar 4, 2026 to presentfactForm ADV
← H•••• K•••• A••••••OwnerMANAGING MEMBER, ownership code D, individual
Mar 4, 2026 to presentfactForm ADV

Registered with (6)

← S••• W• L••••Advisor

Dated events

Occurred
Jun 27, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0c28fc9f-2d15-675a-a871-1224655cf397
First observed: Mar 4, 2026
Last observed: Mar 4, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.