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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SEC-registered adviser
H•••• C•••••• G••••
Legal name H•••• C•••••• G••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 15, 2012 · 11 filings
SEC status approved since May 10, 2024
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$137M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$144M
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
11 filings and snapshots on the tape
RAUM$144M as of Mar 31, 2026
Mar 16, 2012$34.0M then
HNW client RAUM$131M as of Mar 31, 2026
Mar 28, 2025$131M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 16, 20120 then
Employees (5.A)1 as of Mar 31, 2026
Mar 28, 20251 then
Private funds: no history
RAUM +1.1% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $144MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.6%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
- +1.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, 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)
- 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
- High-net-worth individuals$131M91%
- Individuals$6.6M4.6%
- Pension and profit-sharing plans$5.6M3.9%
- Charitable organizations$1.0M0.7%
- Corporations and businesses$2,6350.0%
- Individual clients
- 36reported
- HNW clients
- 82reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 125reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• W•••• H•••••Chartered Financial Analyst | Westlake Village, Ca | May 21, 2024 | 33 y | 3 |
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
- K•••••• W•••• H••••• from J••• M••••• P•••••• W••••• A••••••• L••Jun 23, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• K••••••• W•••• · President And Chief Compliance Officercontrolsince 06/2009 · 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 · 137 to 125Mar 28, 2025 to Mar 31, 2026
- HNW clients · 96 to 82Mar 28, 2025 to Mar 31, 2026
- Individual clients · 32 to 36Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $142M to $144MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $131M to $131MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $5.1M to $6.6MMar 28, 2025 to Mar 31, 2026
- Pension RAUM · $5.4M to $5.6MMar 28, 2025 to Mar 31, 2026
- RAUM · $142M to $144MMar 28, 2025 to Mar 31, 2026
- Accounts · 132 to 137May 21, 2024 to Mar 28, 2025
- HNW clients · 94 to 96May 21, 2024 to Mar 28, 2025
- Individual clients · 30 to 32May 21, 2024 to Mar 28, 2025
- Pension plan clients · 5.0 to unsetMay 21, 2024 to Mar 28, 2025
- Pooled vehicle clients · unset to 0.0May 21, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 11-25May 21, 2024 to Mar 28, 2025
- Discretionary RAUM · $119M to $142MMay 21, 2024 to Mar 28, 2025
- HNW RAUM · $109M to $131MMay 21, 2024 to Mar 28, 2025
- Individual RAUM · $3.8M to $5.1MMay 21, 2024 to Mar 28, 2025
- Pension RAUM · $4.9M to $5.4MMay 21, 2024 to Mar 28, 2025
- RAUM · $119M to $142MMay 21, 2024 to Mar 28, 2025
- Accounts · 83 to 132May 4, 2012 to Mar 30, 2024
- Advisory employees · unset to 1.0May 4, 2012 to Mar 30, 2024
- Advisory activities · 2 to 3May 4, 2012 to Mar 30, 2024
- HNW clients · unset to 94.0May 4, 2012 to Mar 30, 2024
- Individual clients · unset to 30.0May 4, 2012 to Mar 30, 2024
- Pension plan clients · unset to 5.0May 4, 2012 to Mar 30, 2024
- Employees · unset to 1.0May 4, 2012 to Mar 30, 2024
- Financial planning clients · unset to 11-25May 4, 2012 to Mar 30, 2024
- HQ city · SANTA BARBARA to WESTLAKE VILLAGEMay 4, 2012 to Mar 30, 2024
- State-registered IARs · 0 to 1May 4, 2012 to Mar 30, 2024
- Other offices · unset to 0.0May 4, 2012 to Mar 30, 2024
- Discretionary RAUM · $34.0M to $119MMay 4, 2012 to Mar 30, 2024
- HNW RAUM · unset to 109113857.0May 4, 2012 to Mar 30, 2024
- Individual RAUM · unset to 3774866.0May 4, 2012 to Mar 30, 2024
- Pension RAUM · unset to 4856143.0May 4, 2012 to Mar 30, 2024
- Pooled vehicle RAUM · unset to 0.0May 4, 2012 to Mar 30, 2024
- RAUM · $34.0M to $119MMay 4, 2012 to Mar 30, 2024
Signals
1 dated events
- H•••• C•••••• G•••• filed its initial SEC registration (Form ADV)Mar 30, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/H••••-CAPITAL-GROUP-INC.reportedpublic record, Form ADV, Sep 19, 2026
- Website
- H••••CAPITALGROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 805-963-9050reportedpublic record, Form ADV, Mar 31, 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
- $144Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026