DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

H••••••• I••••••••• C•••••••••

H••••••• I••••••••• CORP., CRD 106923

WINNETKA, IL

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Search this name across graphsid dfx:ria:a20afbe6-853c-a4be-72f9-626f2a868957

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 6
On other graphs: 0
Observed: Apr 2, 2012 to Mar 30, 2026
26 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=0.76 fund_share=0.0 institutional_share=0.24 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $935M••• Locked
Discretionary RAUM: $669M
Private client RAUM: $707Mderived••• Locked
Private client share: 76%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $312Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••••• D••• P•••••	n/a	WINNETKA, IL	0	11	1	no
W•••••• G••••• H•••	Chartered Financial Analyst	WINNETKA, IL	0	36

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••• B••••• W••••••	PRESIDENT AND CEO	E	yes	08/2021	Aug 16, 2021	Mar 27, 2024
C••••••• K••••••• D•••	CHIEF COMPLIANCE OFFICER	Na	no	01/2023	Jan 5, 2023	Mar 27, 2024

Regulatory AUM by fiscal year

••• Locked

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

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	0

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	$935M	$851M	9.9%	$497M	23.5%	6	6	0	0

Relationships

Registered with (3)

← W•••••• G••••• H•••Advisorregistration: previous registration
Apr 29, 2010 to Dec 31, 2025factForm ADV
← B•••• W•••••• H•••Advisorregistration: previous registration
Mar 23, 2017 to Dec 31, 2025factForm ADV
← K•••••• D••• P•••••Advisorregistration: previous registration
Oct 8, 2015 to Dec 31, 2025factForm ADV

Owns (1)

Dated events

Occurred
Mar 27, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$192M
Occurred
Mar 27, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$162M
Occurred
Mar 30, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-278M
Occurred
Aug 16, 2021
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a20afbe6-853c-a4be-72f9-626f2a868957
First observed: Apr 2, 2012
Last observed: Mar 30, 2026 5 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.