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••••••••• F••••••••• I•••
Latest filing Mar 13, 2026
First filing on the tape Jul 26, 2024 · 5 filings
SEC status approved since Sep 11, 2024
RAUM
$186M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
71%
$133M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$93.0M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$186M as of Mar 13, 2026
Mar 5, 2025$155M then
HNW client RAUM$58.3M as of Mar 13, 2026
Mar 5, 2025$37.6M then
State-registered IARs (5.B.3)2 as of Mar 13, 2026
Mar 5, 20252 then
Employees (5.A)4 as of Mar 13, 2026
Mar 5, 20254 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 13, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $93.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 130derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $285,273derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 29%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -27%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $5.5M, 23 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$74.4M40%
- High-net-worth individuals$58.3M31%
- Pension and profit-sharing plans$53.3M29%
- Individual clients
- 231reported
- HNW clients
- 29reported
- Pension plan clients
- 10reported
- Charitable clients
- 0reported
- Accounts
- 652reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $22.7M managedreported
- Custody of client assets
- $5.5M for 23 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.29 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• G•••• F•••••Certified Financial Planner | Surprise, Az | Oct 21, 2010 | 40 y | 5 |
| A••• D•••••• C•• | Surprise, Az | Aug 23, 2021 | 17 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
- T••••• M•• S•••• to U••• F•••••••• P••••••• S•••••••Jun 2, 2008 · RIA to a newly registered adviser
Joined, latest
- A••• D•••••• C•• from N••••••••• F••••••••• L••Aug 23, 2021 · Other
- K••• G•••• F••••• from M••••• S••••••Oct 21, 2010 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• K•••• G•••• · President/Chief Compliance Officercontrolsince 07/2012 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Surprise, Az · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 13, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $154,788,350 to $185,998,213, advisors 2 to 2, private clients 357 to 260, offices 0 to 0 (2025-03-05 to 2026-03-13)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 641 to 652Nov 13, 2025 to Mar 13, 2026
- HNW clients · 21 to 29Nov 13, 2025 to Mar 13, 2026
- Individual clients · 336 to 231Nov 13, 2025 to Mar 13, 2026
- Pension plan clients · 11 to 10Nov 13, 2025 to Mar 13, 2026
- Assets in custody · $5.0M to $5.5MNov 13, 2025 to Mar 13, 2026
- Discretionary RAUM · $155M to $186MNov 13, 2025 to Mar 13, 2026
- HNW RAUM · $37.6M to $58.3MNov 13, 2025 to Mar 13, 2026
- Individual RAUM · $69.7M to $74.4MNov 13, 2025 to Mar 13, 2026
- Pension RAUM · $47.4M to $53.3MNov 13, 2025 to Mar 13, 2026
- RAUM · $155M to $186MNov 13, 2025 to Mar 13, 2026
- Financial planning clients · 0 to 0Mar 5, 2025 to Nov 13, 2025
- Accounts · 596 to 641Sep 25, 2024 to Mar 5, 2025
- HNW clients · 19 to 21Sep 25, 2024 to Mar 5, 2025
- Individual clients · 182 to 336Sep 25, 2024 to Mar 5, 2025
- Pension plan clients · 17 to 11Sep 25, 2024 to Mar 5, 2025
- Assets in custody · $5.9M to $5.0MSep 25, 2024 to Mar 5, 2025
- Discretionary RAUM · $169M to $155MSep 25, 2024 to Mar 5, 2025
- HNW RAUM · $33.4M to $37.6MSep 25, 2024 to Mar 5, 2025
- Individual RAUM · $90.1M to $69.7MSep 25, 2024 to Mar 5, 2025
- Pension RAUM · $45.7M to $47.4MSep 25, 2024 to Mar 5, 2025
- RAUM · $169M to $155MSep 25, 2024 to Mar 5, 2025
- Wrap assets (manager) · $19.7M to $22.7MSep 25, 2024 to Mar 5, 2025
Signals
1 dated events
- H••••••••• F••••••••• I••• filed its initial SEC registration (Form ADV)Jul 26, 2024 · First SEC registration · fact
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
- 623-583-6141reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 623-583-6152reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-264-0893reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 623-583-6141reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- hillspringfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- hillspringfinancial.com/who-we-arereportedpublished by the firm, firm site, Sep 16, 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
- $93.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026