DFX Intelligence

O••• W••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

O••• W••••• A•••••••• L••

CRD 142404

TAMPA, FL

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Search this name across graphsid dfx:ria:7f4d97fe-793c-f19c-c701-1dadaf3770f6

Data as of Feb 23, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 21, 2012 to Feb 23, 2012
3 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: $45.2M••• Locked
Discretionary RAUM: $40.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 290

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••••• B••••• K••••	PRESIDENT & CEO	E	yes	09/1999	Feb 21, 2012	Feb 23, 2012
H••••••••• B••••• K••••	MEMBER & CHIEF COMPLIANCE OFFICER	Na	yes	12/2000	Feb 21, 2012	Feb 23, 2012

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Kennesaw	Ga	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Feb 21, 2012	$45.2M	$40.0M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$45.2M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (2)

← H••••••••• B••••• K••••OwnerPRESIDENT & CEO, ownership code E, individual
Feb 21, 2012 to presentfactForm ADV
← O•••••• F•••••••• A•••••••• I•••OwnerHOLDING COMPANY & MANAGING MEMBER, ownership code E, domestic entity
Feb 21, 2012 to presentfactForm ADV

Registered with (1)

← B•••• K•••• H•••••••••Advisorregistration: previous registration
Apr 19, 2004 to Aug 2, 2023factForm ADV

Dated events

Occurred
Aug 2, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7f4d97fe-793c-f19c-c701-1dadaf3770f6
First observed: Feb 21, 2012
Last observed: Feb 23, 2012 177 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.