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.
SEC-registered adviser
H••••••• I••••••••• A••••••• L••
Latest filing Jun 30, 2026
First filing on the tape Dec 8, 2020 · 23 filings
SEC status approved since Jan 11, 2021
RAUM
$368M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$346M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$36.8M
derived; firm RAUM over IAPD count
Employees
11
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$368M as of Jun 30, 2026
Mar 29, 2021$112M then
HNW client RAUM$114M as of Jun 30, 2026
Mar 29, 2021$50.7M then
State-registered IARs (5.B.3)10 as of Jun 30, 2026
Mar 29, 20215 then
Employees (5.A)11 as of Jun 30, 2026
Mar 29, 20215 then
Private funds: no history
RAUM +19% over the last fiscal year+29% a year over threeIARs 10 to 10offices 2 to 1
Practice profile
derived from the filing of Jun 30, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $36.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $260,813derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.7%derived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$232M63%
- High-net-worth individuals$114M31%
- Pension and profit-sharing plans$17.3M4.7%
- Charitable organizations$3.4M0.9%
- Corporations and businesses$1.3M0.4%
- Individual clients
- 533reported
- HNW clients
- 60reported
- Pension plan clients
- 5reported
- Charitable clients
- 3reported
- Accounts
- 1,412reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• S••• D••••Chartered Financial Analyst | Ponte Vedra, Fl | Mar 31, 2009 | 26 y | 1 |
| B•••••• P•••••• W••••••Certified Financial Planner | Ponte Vedra, Fl | Feb 3, 2020 | 12 y | 2 |
| R••••• T••••••• D•••••Certified Financial Planner | Brookfield, Wi | Jan 13, 2021 | 22 y | 4 |
| A••• R•••••• S••••••••Certified Financial Planner | Ponte Vedra, Fl | Dec 1, 2022 | 16 y | 1 |
| W•••••• D•••• M••••••• | Ponte Vedra, Fl | May 8, 2024 | 14 y | 1 |
| A••••••••• K•••••• | Ponte Vedra, Fl | Jun 18, 2024 | 16 y | 0 |
| S•••• J••• K••••••Personal Financial Specialist | Ponte Vedra, Fl | Jul 1, 2024 | 36 y | 1 |
| R••• M• M••••Certified Financial Planner, Chartered Financial Analyst | Brookfield, Wi | Jul 8, 2024 | 11 y | 1 |
| M••• M••••• W••••••Certified Financial Planner | Ponte Vedra, Fl | Mar 6, 2025 | 21 y | 0 |
| A••••••• K••• | Brookfield, Wi | Jun 30, 2026 | 10 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
- R•• E• C•••••• to E•••••••• A•••••••• L••Mar 11, 2015 · RIA to affiliated broker-dealer or bank
- A••• M•••••• F•••••• to E•••••••• A•••••••• L••Nov 14, 2011 · RIA to affiliated broker-dealer or bank
Joined, latest
- R••• M• M•••• from J•• F•••••••• G•••• L••Jul 8, 2024 · RIA to RIA
- S•••• J••• K•••••• from P••••••••• M••••••••• O• M••••••••• I•••Jul 1, 2024 · Other
- W•••••• D•••• M••••••• from F••• M••••••••• C••••May 8, 2024 · Other
- A••• R•••••• S•••••••• from S•••••••• F•••••••• A••••••• S•••••••• L••Dec 1, 2022 · Other
- R••••• T••••••• D••••• from A•••••• A••••••• S•••••••Jan 13, 2021 · Affiliated broker-dealer or bank to independent RIA
- B•••••• P•••••• W•••••• from A•••••• A••••••• S•••••••Feb 3, 2020 · Affiliated broker-dealer or bank to independent RIA
- R•• E• C•••••• from A•••••••• F•••• M••••••••• L••Jan 2, 2013 · Other
- A••• M•••••• F•••••• from V•••••• C•••••• M••••••••• L••Aug 11, 2010 · Other
- A••• S••• D•••• from V•••••• C•••••• M••••••••• L••Mar 31, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• A•••• S••• · Managing Member/Investment Advisor Representative/Chief Compliance Officercontrolsince 01/2009 · 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 |
|---|---|---|---|---|---|
| Ponte Vedra, Fl · principal | 10 | 1 | 0 | ||
| Brookfield, Wi | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Brookfield, WI6 employees
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 2 to 1Feb 16, 2026 to Jun 30, 2026
- Accounts · 1,305 to 1,412Feb 26, 2025 to Feb 16, 2026
- HNW clients · 57 to 60Feb 26, 2025 to Feb 16, 2026
- Individual clients · 565 to 533Feb 26, 2025 to Feb 16, 2026
- Pension plan clients · 4 to 5Feb 26, 2025 to Feb 16, 2026
- Financial planning clients · 101-250 to 26-50Feb 26, 2025 to Feb 16, 2026
- Discretionary RAUM · $309M to $367MFeb 26, 2025 to Feb 16, 2026
- HNW RAUM · $103M to $114MFeb 26, 2025 to Feb 16, 2026
- Individual RAUM · $188M to $232MFeb 26, 2025 to Feb 16, 2026
- Non-discretionary RAUM · $0 to $980,633Feb 26, 2025 to Feb 16, 2026
- Pension RAUM · $13.4M to $17.3MFeb 26, 2025 to Feb 16, 2026
- RAUM · $309M to $368MFeb 26, 2025 to Feb 16, 2026
- Advisory employees · 9 to 10Dec 23, 2024 to Feb 26, 2025
- Employees · 10 to 11Dec 23, 2024 to Feb 26, 2025
- Financial planning clients · 51-100 to 101-250Dec 23, 2024 to Feb 26, 2025
- State-registered IARs · 9 to 10Dec 23, 2024 to Feb 26, 2025
- Discretionary RAUM · $314M to $309MDec 23, 2024 to Feb 26, 2025
- HNW RAUM · $106M to $103MDec 23, 2024 to Feb 26, 2025
- Individual RAUM · $191M to $188MDec 23, 2024 to Feb 26, 2025
- Pension RAUM · $12.2M to $13.4MDec 23, 2024 to Feb 26, 2025
- RAUM · $314M to $309MDec 23, 2024 to Feb 26, 2025
- Advisory employees · 10 to 9Dec 5, 2024 to Dec 23, 2024
- Employees · 11 to 10Dec 5, 2024 to Dec 23, 2024
- State-registered IARs · 10 to 9Dec 5, 2024 to Dec 23, 2024
- Accounts · 1,203 to 1,305Jul 8, 2024 to Dec 5, 2024
- HNW clients · 52 to 57Jul 8, 2024 to Dec 5, 2024
- Individual clients · 538 to 565Jul 8, 2024 to Dec 5, 2024
- Pension plan clients · 1 to 4Jul 8, 2024 to Dec 5, 2024
- Other offices · 3 to 2Jul 8, 2024 to Dec 5, 2024
- Discretionary RAUM · $239M to $314MJul 8, 2024 to Dec 5, 2024
- HNW RAUM · $88.7M to $106MJul 8, 2024 to Dec 5, 2024
- Individual RAUM · $146M to $191MJul 8, 2024 to Dec 5, 2024
- Pension RAUM · $632,356 to $12.2MJul 8, 2024 to Dec 5, 2024
- RAUM · $239M to $314MJul 8, 2024 to Dec 5, 2024
- Advisory employees · 9 to 10Jul 1, 2024 to Jul 8, 2024
- Employees · 10 to 11Jul 1, 2024 to Jul 8, 2024
- State-registered IARs · 9 to 10Jul 1, 2024 to Jul 8, 2024
- Advisory employees · 8 to 9Jun 10, 2024 to Jul 1, 2024
- Employees · 9 to 10Jun 10, 2024 to Jul 1, 2024
- State-registered IARs · 8 to 9Jun 10, 2024 to Jul 1, 2024
Signals
2 dated events
- Edward Kenneth Karr (President / Chief Compliance Officer) no longer on Schedule A of H••••••• I••••••••• A••••••• L•• (listed 2022-03-30, absent 2023-01-31)Jan 31, 2023 · Control person left · inference
- H••••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Dec 8, 2020 · 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
- 414-755-2309reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-755-2309reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 904-436-5223reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 414-755-2309reportedpublic record, Form ADV, Jun 30, 2026
- Contact form
- HIGHLANDINVESTMENTADVISORS.COM/contactreportedpublished 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
- $36.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026