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

H•••••• F•••••••• G••••• L••

Former SEC-registered adviserRichmond, VirginiaCRD 149503SEC 801-80117IAPD
Latest filing Nov 1, 2019
First filing on the tape Jul 18, 2014 · 23 filings
RAUM
$75.1M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$74.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$75.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$77.3M as of Mar 1, 2019
Apr 1, 2015$109M then
HNW client RAUM$0 as of Mar 1, 2019
Jan 23, 2018$15.0M then
State-registered IARs (5.B.3)1 as of Mar 1, 2019
Apr 1, 20156 then
Employees (5.A)1 as of Mar 1, 2019
Apr 1, 20156 then
Private funds: no history
RAUM -19% over the last fiscal year-9.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Nov 1, 2019; every figure names its basis
RAUM per advisor
$75.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
377derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$94,673derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+26%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publications, 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
  • Individuals$67.7M90%
  • High-net-worth individuals$6.8M9.1%
  • Other investment advisers$577,0890.8%
Individual clients
372reported
HNW clients
5reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
793reported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K••• T••••• M••••Richmond, VaAug 13, 201828 y4
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••••• K•••• T••••• · President/Cco/Shareholdercontrol
    since 07/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,123 to 793
    Jun 20, 2019 to Jun 28, 2019
  • HNW clients · 0 to 5
    Jun 20, 2019 to Jun 28, 2019
  • Individual clients · 507 to 372
    Jun 20, 2019 to Jun 28, 2019
  • Discretionary RAUM · $75.7M to $74.5M
    Jun 20, 2019 to Jun 28, 2019
  • HNW RAUM · $0 to $6.8M
    Jun 20, 2019 to Jun 28, 2019
  • Individual RAUM · $76.5M to $67.7M
    Jun 20, 2019 to Jun 28, 2019
  • Non-discretionary RAUM · $1.6M to $567,632
    Jun 20, 2019 to Jun 28, 2019
  • RAUM · $77.3M to $75.1M
    Jun 20, 2019 to Jun 28, 2019
  • Advisory activities · 4 to 5
    Apr 30, 2019 to Jun 20, 2019
  • Accounts · 684 to 1,123
    Oct 10, 2018 to Dec 21, 2018
  • HNW clients · 30 to 0
    Oct 10, 2018 to Dec 21, 2018
  • Individual clients · 373 to 507
    Oct 10, 2018 to Dec 21, 2018
  • Discretionary RAUM · $90.5M to $75.7M
    Oct 10, 2018 to Dec 21, 2018
  • HNW RAUM · $15.0M to $0
    Oct 10, 2018 to Dec 21, 2018
  • Individual RAUM · $77.8M to $76.5M
    Oct 10, 2018 to Dec 21, 2018
  • Non-discretionary RAUM · $2.4M to $1.6M
    Oct 10, 2018 to Dec 21, 2018
  • RAUM · $92.8M to $77.3M
    Oct 10, 2018 to Dec 21, 2018
  • Accounts · 938 to 684
    Apr 3, 2017 to Jan 23, 2018
  • Advisory employees · 3 to 1
    Apr 3, 2017 to Jan 23, 2018
  • Charity clients · unset to 0.0
    Apr 3, 2017 to Jan 23, 2018
  • Corporate clients · unset to 0.0
    Apr 3, 2017 to Jan 23, 2018
  • HNW clients · unset to 30.0
    Apr 3, 2017 to Jan 23, 2018
  • Individual clients · unset to 373.0
    Apr 3, 2017 to Jan 23, 2018
  • Pension plan clients · unset to 0.0
    Apr 3, 2017 to Jan 23, 2018
  • Pooled vehicle clients · unset to 0.0
    Apr 3, 2017 to Jan 23, 2018
  • Employees · 4 to 1
    Apr 3, 2017 to Jan 23, 2018
  • Insurance-licensed employees · 1 to 0
    Apr 3, 2017 to Jan 23, 2018
  • State-registered IARs · 3 to 1
    Apr 3, 2017 to Jan 23, 2018
  • Other offices · unset to 0.0
    Apr 3, 2017 to Jan 23, 2018
  • Discretionary RAUM · $107M to $90.5M
    Apr 3, 2017 to Jan 23, 2018
  • HNW RAUM · unset to 15000000.0
    Apr 3, 2017 to Jan 23, 2018
  • Individual RAUM · unset to 77847819.0
    Apr 3, 2017 to Jan 23, 2018
  • Non-discretionary RAUM · $4.0M to $2.4M
    Apr 3, 2017 to Jan 23, 2018
  • Pension RAUM · unset to 0.0
    Apr 3, 2017 to Jan 23, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Apr 3, 2017 to Jan 23, 2018
  • RAUM · $111M to $92.8M
    Apr 3, 2017 to Jan 23, 2018
  • Accounts · 930 to 938
    Mar 31, 2017 to Apr 3, 2017
  • Non-discretionary RAUM · $0 to $4.0M
    Mar 31, 2017 to Apr 3, 2017
  • RAUM · $107M to $111M
    Mar 31, 2017 to Apr 3, 2017
  • Accounts · 1,227 to 930
    Dec 19, 2016 to Mar 31, 2017
Signals
1 dated events
  • H•••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)
    Jul 18, 2014 · 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
Website
H••••••FG.COMreportedpublic record, Form ADV, Sep 18, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$75.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026