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

H••••• F•••••••• A••••••• G••••• L••

Former SEC-registered adviserBrentwood, TennesseeCRD 107428SEC 801-50900IAPD
Latest filing Mar 15, 2016
First filing on the tape Mar 14, 2012 · 13 filings
RAUM
$105M
reported, Item 5.F
Discretionary
75%
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$105M as of Mar 15, 2016
Mar 14, 2012$93.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 15, 2016
Mar 14, 20120 then
Employees (5.A)3 as of Mar 15, 2016
Mar 12, 20136 then
Private funds: no history
RAUM -16% over the last fiscal year-2.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 15, 2016; every figure names its basis
RAUM per advisor
$52.7MderivedRAUM 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
$229,800derivedRAUM over accounts (5.F.2.f)
Discretionary
75%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-16%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
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
459reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
    • H•••••• M••••••• K• · Managing Member/Chief Compliance Officercontrol
      since 01/2003 · owns 75% or more
    • H•••••• R••••••• K• · Membercontrol
      since 12/1995 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 541 to 459
      Jul 28, 2015 to Mar 15, 2016
    • Employees · 6 to 3
      Jul 28, 2015 to Mar 15, 2016
    • Discretionary RAUM · $95.0M to $79.4M
      Jul 28, 2015 to Mar 15, 2016
    • Non-discretionary RAUM · $30.9M to $26.1M
      Jul 28, 2015 to Mar 15, 2016
    • RAUM · $126M to $105M
      Jul 28, 2015 to Mar 15, 2016
    • Accounts · 513 to 541
      Mar 11, 2014 to Mar 18, 2015
    • Advisory activities · 2 to 3
      Mar 11, 2014 to Mar 18, 2015
    • Discretionary RAUM · $86.2M to $95.0M
      Mar 11, 2014 to Mar 18, 2015
    • Non-discretionary RAUM · $34.4M to $30.9M
      Mar 11, 2014 to Mar 18, 2015
    • RAUM · $121M to $126M
      Mar 11, 2014 to Mar 18, 2015
    • Accounts · 551 to 513
      Oct 15, 2013 to Mar 11, 2014
    • Discretionary RAUM · $79.1M to $86.2M
      Oct 15, 2013 to Mar 11, 2014
    • Non-discretionary RAUM · $33.6M to $34.4M
      Oct 15, 2013 to Mar 11, 2014
    • RAUM · $113M to $121M
      Oct 15, 2013 to Mar 11, 2014
    • Accounts · 495 to 551
      Nov 7, 2012 to Mar 12, 2013
    • Discretionary RAUM · $73.2M to $79.1M
      Nov 7, 2012 to Mar 12, 2013
    • Non-discretionary RAUM · $32.6M to $33.6M
      Nov 7, 2012 to Mar 12, 2013
    • RAUM · $106M to $113M
      Nov 7, 2012 to Mar 12, 2013
    • Advisory employees · unset to 2.0
      May 21, 2012 to Nov 7, 2012
    • Employees · unset to 6.0
      May 21, 2012 to Nov 7, 2012
    • State-registered IARs · 0 to 2
      May 21, 2012 to Nov 7, 2012
    • Discretionary RAUM · $66.9M to $32.6M
      Mar 14, 2012 to Apr 9, 2012
    • Non-discretionary RAUM · $26.7M to $73.2M
      Mar 14, 2012 to Apr 9, 2012
    • RAUM · $93.6M to $106M
      Mar 14, 2012 to Apr 9, 2012
    • Discretionary RAUM · $32.6M to $73.2M
      Apr 9, 2012 to Apr 9, 2012
    • Non-discretionary RAUM · $73.2M to $32.6M
      Apr 9, 2012 to Apr 9, 2012
    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