DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

H••••• E•••••••• K••••

A••••• W••••• P•••••••independent RIARichmond, Ca IA-onlyIAPD 6432713

Certified Financial Planner

Feed of 09/15/2026

Also filed as H••••• K••••

At current firm

0 y

since Sep 3, 2026

In the industry

11 y

since Dec 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••• W••••• P••••••• independent RIA current
since Sep 3, 2026 · San Carlos, Ca
T•••••••• W••••• A••••••• independent RIA
Feb 5, 2025 to Sep 8, 2026 · Walnut Creek, Ca
T•• H•••••••• G•••• former
Mar 3, 2020 to Jan 16, 2025 · San Francisco, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 23, 2015 to Apr 25, 2017 · Mill Valley, Ca

Moves

a registration end followed by a registration begin elsewhere

T•••••••• W••••• A••••••• to A••••• W••••• P•••••••
left Sep 8, 2026, registered Sep 3, 2026 (-5 days) · RIA to RIA
T•• H•••••••• G•••• to T•••••••• W••••• A•••••••
left Jan 16, 2025, registered Feb 5, 2025 (20 days) · RIA to RIA · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T•• H•••••••• G••••
left Apr 25, 2017, registered Mar 3, 2020 (1043 days) · Wirehouse to independent RIA

Signals

H••••• E•••••••• K•••• left T•••••••• W••••• A••••••• for A••••• W••••• P••••••• (registered 2026-09-03)
Sep 8, 2026 · Advisor changed firm · fact
H••••• E•••••••• K•••• left T•• H•••••••• G•••• for T•••••••• W••••• A••••••• (registered 2025-02-05)
Jan 16, 2025 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address