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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SEC-registered adviser
H••••••• I••••••••• C•••••••••
Legal name H••••••• I••••••••• C••••
Latest filing Mar 30, 2026
First filing on the tape Apr 2, 2012 · 26 filings
SEC status approved since May 18, 1990
RAUM
$935M
reported, Item 5.F
Discretionary
72%
of RAUM
Private clients
76%
$707M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$312M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$935M as of Mar 30, 2026
Apr 2, 2012$320M then
HNW client RAUM$672M as of Mar 30, 2026
Mar 28, 2018$311M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Apr 2, 20120 then
Employees (5.A)6 as of Mar 30, 2026
Mar 27, 20133 then
Private funds: no history
RAUM +9.9% over the last fiscal year+23% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $312MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.5MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 72%derivedof RAUM
- Institutional
- 24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$672M72%
- Charitable organizations$226M24%
- Individuals$35.3M3.8%
- Pension and profit-sharing plans$2.6M0.3%
- Individual clients
- 158reported
- HNW clients
- 90reported
- Pension plan clients
- 1reported
- Charitable clients
- 17reported
- Accounts
- 455reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.76 fund_share=0.0 institutional_share=0.24 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• D••• P••••• | Winnetka, Il | Mar 17, 2026 | 11 y | 1 |
| B•••• W•••••• H••• | Winnetka, Il | Mar 18, 2026 | 10 y | 1 |
| W•••••• G••••• H•••Chartered Financial Analyst | Winnetka, Il | Mar 18, 2026 | 36 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• B••••• W•••••• · President And Ceocontrolsince 08/2021 · owns 75% or more
- C••••••• K••••••• D••• · Chief Compliance Officersince 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Winnetka, Il · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 30, 2026RAUM per registered advisor of $311,827,183 against a peer median of $106,309,121 (1261 comparable advisers, 100.0th percentile, 3.6 robust deviations)peers: independent wealth managers, $500M to $1B (1,261) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 438 to 455Jan 14, 2026 to Mar 30, 2026
- Charity clients · 16 to 17Jan 14, 2026 to Mar 30, 2026
- HNW clients · 70 to 90Jan 14, 2026 to Mar 30, 2026
- Individual clients · 136 to 158Jan 14, 2026 to Mar 30, 2026
- Pension plan clients · 3 to 1Jan 14, 2026 to Mar 30, 2026
- Discretionary RAUM · $615M to $669MJan 14, 2026 to Mar 30, 2026
- HNW RAUM · $608M to $672MJan 14, 2026 to Mar 30, 2026
- Individual RAUM · $37.8M to $35.3MJan 14, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $236M to $266MJan 14, 2026 to Mar 30, 2026
- Pension RAUM · $5.8M to $2.6MJan 14, 2026 to Mar 30, 2026
- RAUM · $851M to $935MJan 14, 2026 to Mar 30, 2026
- Accounts · 465 to 438Mar 27, 2024 to Mar 27, 2025
- Charity clients · 17 to 16Mar 27, 2024 to Mar 27, 2025
- HNW clients · 73 to 70Mar 27, 2024 to Mar 27, 2025
- Individual clients · 159 to 136Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $457M to $615MMar 27, 2024 to Mar 27, 2025
- HNW RAUM · $451M to $608MMar 27, 2024 to Mar 27, 2025
- Individual RAUM · $46.2M to $37.8MMar 27, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $202M to $236MMar 27, 2024 to Mar 27, 2025
- Pension RAUM · $5.5M to $5.8MMar 27, 2024 to Mar 27, 2025
- RAUM · $659M to $851MMar 27, 2024 to Mar 27, 2025
- Accounts · 411 to 465Mar 30, 2023 to Mar 27, 2024
- Charity clients · 15 to 17Mar 30, 2023 to Mar 27, 2024
- HNW clients · 64 to 73Mar 30, 2023 to Mar 27, 2024
- Individual clients · 146 to 159Mar 30, 2023 to Mar 27, 2024
- Pension plan clients · 18 to 3Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $338M to $457MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $340M to $451MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $33.5M to $46.2MMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $159M to $202MMar 30, 2023 to Mar 27, 2024
- Pension RAUM · $5.5M to $5.5MMar 30, 2023 to Mar 27, 2024
- RAUM · $497M to $659MMar 30, 2023 to Mar 27, 2024
- Accounts · 410 to 411Jan 5, 2023 to Mar 30, 2023
- HNW clients · 78 to 64Jan 5, 2023 to Mar 30, 2023
- Individual clients · 132 to 146Jan 5, 2023 to Mar 30, 2023
- Pension plan clients · 15 to 18Jan 5, 2023 to Mar 30, 2023
- Discretionary RAUM · $573M to $338MJan 5, 2023 to Mar 30, 2023
- HNW RAUM · $548M to $340MJan 5, 2023 to Mar 30, 2023
- Individual RAUM · $34.6M to $33.5MJan 5, 2023 to Mar 30, 2023
Signals
6 dated events
- H••••••• I••••••••• C••••••••• reported RAUM $851.5M, up 29% from $659.3M (2024-03-27 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- H••••••• I••••••••• C••••••••• reported RAUM $659.3M, up 33% from $497.2M (2023-03-30 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- H••••••• I••••••••• C••••••••• reported RAUM $497.2M, down 36% from $775.4M (2023-01-05 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- W•••••• B•••• H••• (President And Ceo) appeared on Schedule A of H••••••• I••••••••• C•••••••••Aug 16, 2021 · Control person joined · fact
- H••••••• I••••••••• C••••••••• reported RAUM $713.0M, up 45% from $491.9M (2021-01-05 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
- H••••••• I••••••••• C••••••••• reported RAUM $491.9M, up 27% from $388.8M (2019-03-26 to 2020-04-29)Apr 29, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 312-726-5703reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••INV.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-726-5703reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $312Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026