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
C•••• V••••• W••••• A•••••••
Legal name T•• H••••• H••••• G••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 30, 2012 · 17 filings
SEC status approved since Jul 26, 2018
RAUM
$173M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$150M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$57.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$173M as of Mar 26, 2026
Mar 30, 2012$50.3M then
HNW client RAUM$87.1M as of Mar 26, 2026
Mar 29, 2019$67.5M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Mar 30, 20120 then
Employees (5.A)3 as of Mar 26, 2026
Mar 29, 20192 then
Private funds: no history
RAUM +11% over the last fiscal year+6.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $57.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $588,891derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $1.5M, 46 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$87.1M51%
- Individuals$62.5M36%
- Pension and profit-sharing plans$21.7M13%
- Corporations and businesses$1.2M0.7%
- Individual clients
- 66reported
- HNW clients
- 26reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 293reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5M for 46 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 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 |
|---|---|---|---|---|
| R••••• M•••••• H••••• | C•••• Falls, Ia | Sep 17, 2001 | 39 y | 0 |
| K•••• R•••• H•••••Certified Financial Planner | C•••• Falls, Ia | Feb 26, 2010 | 25 y | 1 |
| J••• R••••• H••••• | C•••• Falls, Ia | Oct 19, 2024 | 19 y | 0 |
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
- K•••• R•••• H••••• from H•••• C•••••• M••••••••• I•••Feb 26, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• R•••••• M•••••• · Membercontrolsince 01/2023 · owns 50% to 75%
- H•••••• K••••• R•••• · Chief Compliance Officer And Managing Membercontrolsince 01/2023 · owns 50% to 75%
Related persons
Schedule D 7.A
- C•••• V••••• T•• • A••••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| C•••• Falls, Ia · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 290 to 293Mar 12, 2025 to Mar 26, 2026
- HNW clients · 27 to 26Mar 12, 2025 to Mar 26, 2026
- Individual clients · 63 to 66Mar 12, 2025 to Mar 26, 2026
- Assets in custody · $2.1M to $1.5MMar 12, 2025 to Mar 26, 2026
- Discretionary RAUM · $155M to $173MMar 12, 2025 to Mar 26, 2026
- HNW RAUM · $83.8M to $87.1MMar 12, 2025 to Mar 26, 2026
- Individual RAUM · $50.7M to $62.5MMar 12, 2025 to Mar 26, 2026
- Pension RAUM · $19.4M to $21.7MMar 12, 2025 to Mar 26, 2026
- RAUM · $155M to $173MMar 12, 2025 to Mar 26, 2026
- Accounts · 298 to 290Mar 19, 2024 to Mar 12, 2025
- Advisory employees · 2 to 3Mar 19, 2024 to Mar 12, 2025
- Individual clients · 67 to 63Mar 19, 2024 to Mar 12, 2025
- Pension plan clients · 6 to 5Mar 19, 2024 to Mar 12, 2025
- Assets in custody · $2.2M to $2.1MMar 19, 2024 to Mar 12, 2025
- Employees · 2 to 3Mar 19, 2024 to Mar 12, 2025
- Financial planning clients · 0 to 0Mar 19, 2024 to Mar 12, 2025
- State-registered IARs · 2 to 3Mar 19, 2024 to Mar 12, 2025
- Discretionary RAUM · $150M to $155MMar 19, 2024 to Mar 12, 2025
- HNW RAUM · $81.6M to $83.8MMar 19, 2024 to Mar 12, 2025
- Individual RAUM · $48.2M to $50.7MMar 19, 2024 to Mar 12, 2025
- Pension RAUM · $19.4M to $19.4MMar 19, 2024 to Mar 12, 2025
- RAUM · $150M to $155MMar 19, 2024 to Mar 12, 2025
- Accounts · 311 to 298Oct 16, 2023 to Mar 19, 2024
- Charity clients · unset to 0.0Oct 16, 2023 to Mar 19, 2024
- HNW clients · 29 to 27Oct 16, 2023 to Mar 19, 2024
- Individual clients · 70 to 67Oct 16, 2023 to Mar 19, 2024
- Assets in custody · $1.9M to $2.2MOct 16, 2023 to Mar 19, 2024
- Discretionary RAUM · $145M to $150MOct 16, 2023 to Mar 19, 2024
- HNW RAUM · $81.5M to $81.6MOct 16, 2023 to Mar 19, 2024
- Individual RAUM · $46.0M to $48.2MOct 16, 2023 to Mar 19, 2024
- Pension RAUM · $16.4M to $19.4MOct 16, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · unset to 0.0Oct 16, 2023 to Mar 19, 2024
- RAUM · $145M to $150MOct 16, 2023 to Mar 19, 2024
- Accounts · 331 to 311Jan 30, 2023 to Mar 24, 2023
- HNW clients · 27 to 29Jan 30, 2023 to Mar 24, 2023
- Individual clients · 72 to 70Jan 30, 2023 to Mar 24, 2023
- Pension plan clients · 7 to 6Jan 30, 2023 to Mar 24, 2023
- Assets in custody · $3.2M to $1.9MJan 30, 2023 to Mar 24, 2023
- Discretionary RAUM · $179M to $145MJan 30, 2023 to Mar 24, 2023
- HNW RAUM · $102M to $81.5MJan 30, 2023 to Mar 24, 2023
Signals
1 dated events
- C•••• V••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Jun 28, 2018 · 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
- 319-266-6507reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 319-266-6601reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/H•••••-A••••-FINANCIAL-SERVreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 319-266-6507reportedpublic record, Form ADV, Mar 26, 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
- $57.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026