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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

DHK FINANCIAL ADVISORS INC

CRD 106126

PORTSMOUTH, NH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6456017c-bb2b-83ba-aebc-c2d682580ba2

Data as of Mar 17, 2025 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 6
On other graphs: 1
Observed: Jan 26, 2012 to Mar 17, 2025
26 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

DHK Financial Advisors Inc

Investment consultant · shared crd

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: $1.7BItem 5.F on the latest filing (2025-03-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.4B
Private client RAUM: $124MderivedItem 5.D individuals plus high net worth individuals
Private client share: 7%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 187
Individual clients: 5
High net worth clients: 12
SEC number: 801-44524
CRD: 106126
Filings on the tape: 26
First filed: Jan 26, 2012
Latest filed: Mar 17, 2025
Organised: Corporation, NH
Website: dhkfinancial.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DEMPSEY, TIMOTHY, WILLIAM	PRESIDENT, DIRECTOR & CCO	E	yes	06/1993	Jan 26, 2012	Mar 21, 2024
FREEDMAN, CYNTHIA, R	DIRECTOR OF OPERATIONS	Na	yes	09/2019	Jun 29, 2020	Mar 21, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Boston	Ma	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 17, 2025	$1.7B	$1.4B	5	2	1	n/a	n/a
2023	Mar 21, 2024	$1.5B	$687M	5	2	1	n/a	n/a
2022	Mar 20, 2023	$1.3B	$658M	7	2	1	n/a	n/a
2021	Mar 21, 2022	$1.6B	$1.3B	6	2	1	n/a	n/a
2020	Mar 26, 2021	$1.5B	$802M	6	2	1	n/a	n/a
2019	Mar 27, 2020	$1.2B	$586M	7	3	1	n/a	n/a
2018	Mar 30, 2019	$1.0B	$460M	7	3	1	n/a	n/a
2017	Mar 28, 2018	$1.3B	$488M	8	3	1	n/a	n/a
2016	Mar 30, 2017	$1.2B	$429M	8	3	n/a	n/a	n/a
2015	Mar 29, 2016	$1.0B	$535M	8	3	n/a	n/a	n/a
2014	Mar 18, 2015	$1.0B	$358M	7	3	n/a	n/a	n/a
2013	Mar 26, 2014	$1.1B	$345M	7	3	n/a	n/a	n/a
2012	Mar 26, 2013	$977M	$396M	7	2	n/a	n/a	n/a
2011	Mar 27, 2012	$873M	$239M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$1.7B	$1.5B	10.8%	$1.6B	2.4%	5	5	1	1

Relationships

Registered with (3)

← TIMOTHY WILLIAM DEMPSEYAdvisorregistration: previous registration
Sep 13, 1993 to Sep 4, 2025factForm ADV
← DAVID L HENRYAdvisorregistration: previous registration
Feb 15, 2023 to Sep 3, 2025factForm ADV
← CHARLES DAVID BROWNAdvisorregistration: previous registration
Feb 12, 2016 to Aug 10, 2022factForm ADV

Controls (2)

← DEMPSEY, TIMOTHY, WILLIAMOwnerPRESIDENT, DIRECTOR & CCO, ownership code E, individual
Jan 26, 2012 to Mar 21, 2024factForm ADV
← FREEDMAN, CYNTHIA, ROwnerDIRECTOR OF OPERATIONS, ownership code NA, individual
Jun 29, 2020 to Mar 21, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 4, 2025
Advisor changed firm
Timothy William Dempsey left Dhk Financial Advisors Inc for New England Private Wealth Advisors, Llc (registered 2025-09-03)
Form ADVobserved 6 days ago
Occurred
Sep 3, 2025
Advisor changed firm
David L Henry left Dhk Financial Advisors Inc for The Patriot Financial Group, Llc (registered 2025-09-02)
Form ADVobserved 6 days ago
Occurred
Aug 10, 2022
Advisor changed firm
Charles David Brown left Dhk Financial Advisors Inc for Integrated Advisors Network Llc (registered 2022-08-23)
Form ADVobserved 6 days ago
Occurred
Mar 26, 2021
Regulatory AUM changed
Dhk Financial Advisors Inc reported RAUM $1.5B, up 26% from $1.2B (2020-06-29 to 2021-03-26)
Form ADVobserved 6 days ago
$314M
Occurred
Jun 29, 2020
Control person joined
R Cynthia Freedman (Director Of Operations) appeared on Schedule A of Dhk Financial Advisors Inc
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Dec 20, 2025
Dhk Financial Advisors Inc no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $1.7B)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6456017c-bb2b-83ba-aebc-c2d682580ba2
First observed: Jan 26, 2012
Last observed: Mar 17, 2025 18 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.

DHK FINANCIAL ADVISORS INC

CRD 106126

PORTSMOUTH, NH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6456017c-bb2b-83ba-aebc-c2d682580ba2

Data as of Mar 17, 2025 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:12 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DEMPSEY, TIMOTHY, WILLIAM

PRESIDENT, DIRECTOR & CCO

yes

06/1993

Jan 26, 2012

Mar 21, 2024

FREEDMAN, CYNTHIA, R

DIRECTOR OF OPERATIONS

yes

09/2019

Jun 29, 2020

Mar 21, 2024

City

State

Country

Employees

Also broker-dealer

Boston

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Mar 17, 2025

$1.7B

$1.4B

n/a

2023

Mar 21, 2024

$1.5B

$687M

n/a

2022

Mar 20, 2023

$1.3B

$658M

n/a

2021

Mar 21, 2022

$1.6B

$1.3B

n/a

2020

Mar 26, 2021

$1.5B

$802M

n/a

2019

Mar 27, 2020

$1.2B

$586M

n/a

2018

Mar 30, 2019

$1.0B

$460M

n/a

2017

Mar 28, 2018

$1.3B

$488M

n/a

2016

Mar 30, 2017

$1.2B

$429M

n/a

2015

Mar 29, 2016

$1.0B

$535M

n/a

2014

Mar 18, 2015

$1.0B

$358M

n/a

2013

Mar 26, 2014

$1.1B

$345M

n/a

2012

Mar 26, 2013

$977M

$396M

n/a

2011

Mar 27, 2012

$873M

$239M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$1.7B

$1.5B

10.8%

$1.6B

2.4%