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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
H•••••• • J•••• F•••••••• S•••••••• I•••
Latest filing Mar 31, 2023
First filing on the tape Mar 30, 2012 · 16 filings
RAUM
$385M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$373M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$385M as of Mar 31, 2023
Mar 30, 2012$150M then
HNW client RAUM$260M as of Mar 31, 2023
Mar 30, 2018$180M then
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Apr 1, 20130 then
Employees (5.A)8 as of Mar 31, 2023
Apr 1, 20135 then
Private funds: no history
RAUM -8.0% over the last fiscal year+3.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $576,162derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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$260M68%
- Individuals$113M29%
- Corporations and businesses$4.7M1.2%
- Charitable organizations$4.3M1.1%
- Pension and profit-sharing plans$3.5M0.9%
- Individual clients
- 513reported
- HNW clients
- 143reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 669reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
Left, latest
- S••••• K••••••• K••••••• to W••••• E••••••••• A••••••• S•••••••• L••May 30, 2023 · RIA to RIA
- P••• J••• H•••••• to W••••• E••••••••• A••••••• S•••••••• L••May 30, 2023 · RIA to RIA
- D•••••• D••••• K••••••• to W••••••••• A••••••• P••••••• L••Apr 17, 2023 · RIA to RIA
- R•••• M•••••• T•••• to M•••••• I•••••••••Jul 28, 2021 · RIA to RIA
- J•••• W•••••• M••••••• to N•••••• F•••••••• G••••• I•••Jul 18, 2016 · Other
Joined, latest
- J•••• W•••••• M••••••• from E•••• S••••••••• L••Jan 20, 2016 · Other
- D•••••• D••••• K••••••• from W••••••• F•••••••• S•••••••• I•••Oct 16, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for W••••• E••••••••• A••••••• S•••••••• L••May 30, 2023 · Dubuque, Ia
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• P•••• J••• · President, Treasurer, Director, Chief Compliance Officercontrolsince 06/2000 · owns 75% or more
- H••••••• R•••• J••• · Directorsince 06/2000 · owns less than 5%
- K•••••••• S•••••• K••••••• · Vice President, Secretary, Directorsince 06/2000 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 503 to 669Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 9 to 6Mar 31, 2022 to Mar 31, 2023
- Corporate clients · 5 to 6Mar 31, 2022 to Mar 31, 2023
- HNW clients · 127 to 143Mar 31, 2022 to Mar 31, 2023
- Individual clients · 365 to 513Mar 31, 2022 to Mar 31, 2023
- Employees · 11 to 8Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $419M to $385MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $287M to $260MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $116M to $113MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $220,804 to $855,618Mar 31, 2022 to Mar 31, 2023
- Pension RAUM · $5.1M to $3.5MMar 31, 2022 to Mar 31, 2023
- RAUM · $419M to $385MMar 31, 2022 to Mar 31, 2023
- Accounts · 484 to 503Mar 31, 2021 to Mar 31, 2022
- Charity clients · 4.0 to unsetMar 31, 2021 to Mar 31, 2022
- Corporate clients · 8 to 5Mar 31, 2021 to Mar 31, 2022
- HNW clients · 115 to 127Mar 31, 2021 to Mar 31, 2022
- Individual clients · 352 to 365Mar 31, 2021 to Mar 31, 2022
- Pension plan clients · 5.0 to unsetMar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $360M to $419MMar 31, 2021 to Mar 31, 2022
- HNW RAUM · $229M to $287MMar 31, 2021 to Mar 31, 2022
- Individual RAUM · $109M to $116MMar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $106,845 to $220,804Mar 31, 2021 to Mar 31, 2022
- Pension RAUM · $12.0M to $5.1MMar 31, 2021 to Mar 31, 2022
- RAUM · $360M to $419MMar 31, 2021 to Mar 31, 2022
- Charity clients · unset to 4.0Jun 30, 2020 to Mar 31, 2021
- Corporate clients · 7 to 8Jun 30, 2020 to Mar 31, 2021
- HNW clients · 131 to 115Jun 30, 2020 to Mar 31, 2021
- Individual clients · 338 to 352Jun 30, 2020 to Mar 31, 2021
- Pension plan clients · unset to 5.0Jun 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $349M to $360MJun 30, 2020 to Mar 31, 2021
- HNW RAUM · $233M to $229MJun 30, 2020 to Mar 31, 2021
- Individual RAUM · $95.7M to $109MJun 30, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $110,195 to $106,845Jun 30, 2020 to Mar 31, 2021
- Pension RAUM · $10.9M to $12.0MJun 30, 2020 to Mar 31, 2021
- RAUM · $349M to $360MJun 30, 2020 to Mar 31, 2021
- Accounts · 471 to 484Oct 9, 2019 to Apr 29, 2020
- Advisory employees · 8 to 9Oct 9, 2019 to Apr 29, 2020
- Charity clients · 4.0 to unsetOct 9, 2019 to Apr 29, 2020
- HNW clients · 102 to 131Oct 9, 2019 to Apr 29, 2020
- Individual clients · 352 to 338Oct 9, 2019 to Apr 29, 2020
Signals
4 dated events
- S••••• K••••••• K••••••• left H•••••• • J•••• F•••••••• S•••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-05-01)May 30, 2023 · Advisor changed firm · fact
- P••• J••• H•••••• left H•••••• • J•••• F•••••••• S•••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-05-01)May 30, 2023 · Advisor changed firm · fact
- 2 advisors left H•••••• • J•••• F•••••••• S•••••••• I••• (Dubuque, IA) for W••••• E••••••••• A••••••• S•••••••• L•• on the same dayMay 30, 2023 · Team lift-out · derived
- D•••••• D••••• K••••••• left H•••••• • J•••• F•••••••• S•••••••• I••• for W••••••••• A••••••• P••••••• L•• (registered 2023-04-14)Apr 17, 2023 · Advisor changed firm · fact
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