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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Former SEC-registered adviser
I••••••••• W••••• S•••••••
Legal name H•••• I••••••••• I•••
Latest filing Jun 12, 2025
First filing on the tape Feb 1, 2024 · 5 filings
SEC status approved since Mar 7, 2024
RAUM
$138M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$138M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 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$138M as of Jun 12, 2025
Jan 29, 2025$138M then
HNW client RAUM$122M as of Jun 12, 2025
Jan 29, 2025$122M then
State-registered IARs (5.B.3)1 as of Jun 12, 2025
Jan 29, 20251 then
Employees (5.A)2 as of Jun 12, 2025
Jan 29, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 12, 2025; every figure names its basis
- RAUM per advisor
- $138MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $439,490derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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, educational seminarsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$122M88%
- Individuals$16.4M12%
- Individual clients
- 36reported
- HNW clients
- 55reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 314reported
- Financial planning clients
- 51-100reported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- H••••• K••• H•••• to B••••• P••••• A•••••••• L••Dec 31, 2025 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• H•••••• K••• · President/Chief Compliance Officercontrolsince 05/2008 · 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 |
|---|---|---|---|---|---|
| Fort Worth, Tx | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Feb 5, 2025 to Jun 12, 2025
- Accounts · 295 to 314Feb 8, 2024 to Jan 29, 2025
- HNW clients · 49 to 55Feb 8, 2024 to Jan 29, 2025
- Individual clients · 38 to 36Feb 8, 2024 to Jan 29, 2025
- HQ city · unset to Feb 8, 2024 to Jan 29, 2025
- HQ state · unset to Feb 8, 2024 to Jan 29, 2025
- Discretionary RAUM · $115M to $138MFeb 8, 2024 to Jan 29, 2025
- HNW RAUM · $98.6M to $122MFeb 8, 2024 to Jan 29, 2025
- Individual RAUM · $16.6M to $16.4MFeb 8, 2024 to Jan 29, 2025
- RAUM · $115M to $138MFeb 8, 2024 to Jan 29, 2025
Signals
3 dated events
- I••••••••• W••••• S••••••• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $138.0M)Mar 2, 2026 · Left the SEC roster · derived
- H••••• K••• H•••• left I••••••••• W••••• S••••••• for B••••• P••••• A•••••••• L•• (registered 2026-01-22)Dec 31, 2025 · Advisor changed firm · fact
- I••••••••• W••••• S••••••• filed its initial SEC registration (Form ADV)Feb 1, 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.
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