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H•••••• • J•••• F•••••••• S•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

H•••••• • J•••• F•••••••• S•••••••• I•••

CRD 115762

DUBUQUE, IA

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Search this name across graphsid dfx:ria:3eb92130-551e-758d-3054-00491f0029ec

Data as of Mar 31, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 0
Observed: Mar 30, 2012 to Mar 31, 2023
16 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $385M••• Locked
Discretionary RAUM: $385M
Private client RAUM: $373Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••• P•••• J•••	PRESIDENT, TREASURER, DIRECTOR, CHIEF COMPLIANCE OFFICER	E	yes	06/2000	Mar 30, 2012	Mar 31, 2023
H••••••• R•••• J•••	Director	Na	no	06/2000	Mar 30, 2012	Mar 31, 2023

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$385M	$419M	-8.0%	$349M	3.4%	8	11	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W••••• E••••••••• A••••••• S•••••••• L••	2	May 30, 2023	May 1, 2023	DUBUQUE, IA	Team lift out	RIA to RIA	100.0%

Relationships

Controls (1)

← H••••••• P•••• J•••OwnerPRESIDENT, TREASURER, DIRECTOR, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV

Owns (2)

← K•••••••• S•••••• K•••••••OwnerVICE PRESIDENT, SECRETARY, DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← H••••••• R•••• J•••OwnerDIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Registered with (5)

Dated events

Occurred
May 30, 2023
Team lift-out
2 advisors left H•••••• • J•••• F•••••••• S•••••••• I••• (Dubuque, IA) for W••••• E••••••••• A••••••• S•••••••• L•• on the same day
Form ADVobserved 7 days ago
2 advisors
Occurred
May 30, 2023
Advisor changed firm
Paul John Heacock left H•••••• • J•••• F•••••••• S•••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-05-01)
Form ADVobserved 7 days ago
Occurred
May 30, 2023
Advisor changed firm
Sharon Kathleen Kluesner left H•••••• • J•••• F•••••••• S•••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-05-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3eb92130-551e-758d-3054-00491f0029ec
First observed: Mar 30, 2012
Last observed: Mar 31, 2023 42 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.