DFX Intelligence
RIA Intelligence
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SEC-registered adviser
H•••••••• F•••••••• M••••••••• L••
Legal name H•••••••• F•••••••• M••••••••• L•••••
Latest filing Jan 23, 2026
First filing on the tape Mar 29, 2012 · 22 filings
SEC status approved since Mar 1, 2018
RAUM
$220M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$217M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$220M as of Jan 23, 2026
Jun 11, 2012$55.7M then
HNW client RAUM$174M as of Jan 23, 2026
Feb 7, 2019$70.5M then
State-registered IARs (5.B.3)2 as of Jan 23, 2026
Jun 11, 20120 then
Employees (5.A)3 as of Jan 23, 2026
Feb 7, 20192 then
Private funds: no history
RAUM +15% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 23, 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
- 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
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $459,219derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $76.0M, 93 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)
- 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
- High-net-worth individuals$174M79%
- Individuals$42.7M19%
- Pension and profit-sharing plans$3.5M1.6%
- Individual clients
- 117reported
- HNW clients
- 62reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 480reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $76.0M for 93 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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•••• D••• H•••••••• | Portage, Mi | May 21, 2010 | 25 y | 0 |
| J••••••• G•••••• H•••••••• | Portage, Mi | Mar 15, 2024 | 12 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• K••••• D••• · President, Chief Compliance Officer, And Trustee Of T•• K•••• A•• L•••• H•••••••• R•••••••• T••••controlsince 04/2004 · owns less than 5%
- H••••••••• L••••• L•• · Vp, Secty, Treasurer And Trustee Of T•• K•••• A•• L•••• H•••••••• R•••••••• T••••controlsince 04/2004 · owns less than 5%
Entity owners
- T•• K•••• A•• L•••• H•••••••• R•••••••• T•••• · Trust, Owner Of All Voting Sharesdirect · 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 |
|---|---|---|---|---|---|
| Portage, Mi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Individual clients · 103 to 117Feb 17, 2025 to Jan 23, 2026
- Accounts · 463 to 480Feb 17, 2025 to Jan 23, 2026
- HNW clients · 67 to 62Feb 17, 2025 to Jan 23, 2026
- Assets in custody · $38.9M to $76.0MFeb 17, 2025 to Jan 23, 2026
- Discretionary RAUM · $191M to $220MFeb 17, 2025 to Jan 23, 2026
- HNW RAUM · $159M to $174MFeb 17, 2025 to Jan 23, 2026
- Individual RAUM · $29.9M to $42.7MFeb 17, 2025 to Jan 23, 2026
- Pension RAUM · $2.8M to $3.5MFeb 17, 2025 to Jan 23, 2026
- RAUM · $191M to $220MFeb 17, 2025 to Jan 23, 2026
- Financial planning clients · 1-10 to 1-10Jan 31, 2025 to Feb 17, 2025
- Accounts · 472 to 463Apr 18, 2024 to Jan 31, 2025
- HNW clients · 66 to 67Apr 18, 2024 to Jan 31, 2025
- Individual clients · 93 to 103Apr 18, 2024 to Jan 31, 2025
- Pension plan clients · unset to 2.0Apr 18, 2024 to Jan 31, 2025
- Assets in custody · $29.6M to $38.9MApr 18, 2024 to Jan 31, 2025
- Legal name · H•••••••• F•••••••• M••••••••• L•• to H•••••••• F•••••••• M••••••••• L•••••Apr 18, 2024 to Jan 31, 2025
- Discretionary RAUM · $171M to $191MApr 18, 2024 to Jan 31, 2025
- HNW RAUM · $142M to $159MApr 18, 2024 to Jan 31, 2025
- Individual RAUM · $29.2M to $29.9MApr 18, 2024 to Jan 31, 2025
- Pension RAUM · unset to 2798000.0Apr 18, 2024 to Jan 31, 2025
- RAUM · $171M to $191MApr 18, 2024 to Jan 31, 2025
- Advisory employees · 1 to 2Feb 1, 2024 to Apr 18, 2024
- Employees · 2 to 3Feb 1, 2024 to Apr 18, 2024
- State-registered IARs · 1 to 2Feb 1, 2024 to Apr 18, 2024
- Accounts · 153 to 472Jul 14, 2023 to Feb 1, 2024
- HNW clients · 43 to 66Jul 14, 2023 to Feb 1, 2024
- Individual clients · 110 to 93Jul 14, 2023 to Feb 1, 2024
- Assets in custody · $22.9M to $29.6MJul 14, 2023 to Feb 1, 2024
- Discretionary RAUM · $140M to $171MJul 14, 2023 to Feb 1, 2024
- HNW RAUM · $101M to $142MJul 14, 2023 to Feb 1, 2024
- Individual RAUM · $39.4M to $29.2MJul 14, 2023 to Feb 1, 2024
- RAUM · $140M to $171MJul 14, 2023 to Feb 1, 2024
- Accounts · 414 to 153Jun 14, 2022 to Feb 23, 2023
- Individual clients · 108 to 110Jun 14, 2022 to Feb 23, 2023
- Assets in custody · $21.5M to $22.9MJun 14, 2022 to Feb 23, 2023
- Discretionary RAUM · $154M to $140MJun 14, 2022 to Feb 23, 2023
- HNW RAUM · $109M to $101MJun 14, 2022 to Feb 23, 2023
- Individual RAUM · $45.7M to $39.4MJun 14, 2022 to Feb 23, 2023
- RAUM · $154M to $140MJun 14, 2022 to Feb 23, 2023
- Accounts · 440 to 414Jan 27, 2021 to Feb 1, 2022
Signals
1 dated events
- H•••••••• F•••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 1, 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
- Principal office phone
- 269-321-5070reportedpublic record, Form ADV, Jan 23, 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026