DFX Intelligence

Q•• E••••• I•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

Q•• E••••• I•••••••• L••

CRD 283060

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:894d6117-02c6-58d1-48df-3b1581e3b46a

Data as of Mar 20, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 8
On other graphs: 0
Observed: Mar 21, 2023 to Mar 20, 2025
7 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: $113M••• Locked
Discretionary RAUM: $112M
Private client RAUM: $21.9Mderived••• Locked
Private client share: 19%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• R•••••• W••••••	Owner	E	yes	12/2012	Mar 21, 2023	Mar 21, 2024
J•••••• R• K•••• 2••• D••••••••• O• T••••	Member	C	yes	04/2016	Mar 21, 2023	Mar 21, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 20, 2025

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	2	-2	n/a	0	0	0	0	2

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$113M	$111M	2.0%	n/a	n/a	3	3	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H••••• C•••••• M•••••••••	2	Feb 5, 2026	Feb 27, 2026	NAPERVILLE, IL	Team lift out	Other	100.0%

Relationships

Moved with (1)

→ H••••• C•••••• M•••••••••Registered adviser2 advisors, team lift out, same day
Feb 5, 2026 to Feb 27, 2026factForm ADV

Registered with (6)

← R•••••• W•••••• H•••••Advisorregistration: previous registration
Apr 15, 2016 to Feb 5, 2026factForm ADV
← J•••••• R••••• K••••Advisorregistration: previous registration
Apr 15, 2016 to Feb 5, 2026factForm ADV

Dated events

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

Occurred
Feb 5, 2026
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Feb 5, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Feb 5, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:894d6117-02c6-58d1-48df-3b1581e3b46a
First observed: Mar 21, 2023
Last observed: Mar 20, 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.