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.

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Former SEC-registered adviser

V••• K••• A•••••••••

Former SEC-registered adviserCRD 105705SEC 801-31899IAPD
Legal name K••• V••••••• H•••••••••
Latest filing Jul 20, 2016
First filing on the tape Jan 18, 2012 · 8 filings
RAUM
$86.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$72.9M as of Mar 30, 2016
Jan 18, 2012$125M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Jan 18, 20120 then
Employees (5.A)1 as of Mar 30, 2016
Apr 1, 20132 then
Private funds: no history
RAUM -14% over the last fiscal year-11% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Jul 20, 2016; every figure names its basis
RAUM per advisor
$86.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$323,981derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-28%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
268reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K•••• V•••••••• H••••••••• · Sole Proprietor/Chief Compliance Officercontrol
      since 09/1984 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 277 to 268
      Jul 8, 2016 to Jul 20, 2016
    • State-registered IARs · 0 to 1
      Jul 8, 2016 to Jul 20, 2016
    • Discretionary RAUM · $72.9M to $86.8M
      Jul 8, 2016 to Jul 20, 2016
    • RAUM · $72.9M to $86.8M
      Jul 8, 2016 to Jul 20, 2016
    • Accounts · 303 to 277
      Feb 26, 2015 to Mar 30, 2016
    • Advisory activities · 3 to 2
      Feb 26, 2015 to Mar 30, 2016
    • Financial planning clients · 51-100 to unset
      Feb 26, 2015 to Mar 30, 2016
    • Discretionary RAUM · $101M to $72.9M
      Feb 26, 2015 to Mar 30, 2016
    • RAUM · $101M to $72.9M
      Feb 26, 2015 to Mar 30, 2016
    • Accounts · 298 to 303
      Feb 19, 2014 to Feb 26, 2015
    • Discretionary RAUM · $103M to $101M
      Feb 19, 2014 to Feb 26, 2015
    • RAUM · $103M to $101M
      Feb 19, 2014 to Feb 26, 2015
    • Accounts · 450 to 298
      Apr 1, 2013 to Feb 19, 2014
    • Advisory employees · 2 to 1
      Apr 1, 2013 to Feb 19, 2014
    • Employees · 2 to 1
      Apr 1, 2013 to Feb 19, 2014
    • Financial planning clients · 101-250 to 51-100
      Apr 1, 2013 to Feb 19, 2014
    • Discretionary RAUM · $124M to $103M
      Apr 1, 2013 to Feb 19, 2014
    • RAUM · $124M to $103M
      Apr 1, 2013 to Feb 19, 2014
    • Accounts · 422 to 450
      Jan 18, 2012 to Apr 1, 2013
    • Advisory employees · unset to 2.0
      Jan 18, 2012 to Apr 1, 2013
    • Employees · unset to 2.0
      Jan 18, 2012 to Apr 1, 2013
    • Discretionary RAUM · $125M to $124M
      Jan 18, 2012 to Apr 1, 2013
    • RAUM · $125M to $124M
      Jan 18, 2012 to Apr 1, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026