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••••••• K••••••• W•••••• • C••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Feb 10, 2012 · 28 filings
SEC status approved since Mar 27, 2012
RAUM
$631M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
5
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$631M as of Mar 31, 2026
Mar 1, 2013$339M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 1, 20130 then
Employees (5.A)8 as of Mar 31, 2026
Mar 1, 201315 then
Private funds5 as of Mar 31, 2026
Mar 1, 20138 then
RAUM -4.5% over the last fiscal year+4.3% a year over threeIARs 0 to 0offices 1 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $126MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.5%derivedbetween 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, performance-basedreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Custody
- $631M, 5 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$631M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $631M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•• C•••••• P••••••• V• L••• | Private Equity Fund | $433M | 63 | Mar 29, 2018 |
| H•• C•••••• P••••••• I•• L••• | Private Equity Fund | $110M | 22 | Jul 31, 2012 |
| H•• C•••••• P••••••• V••• L••• | Private Equity Fund | $49.6M | 41 | Mar 29, 2018 |
| H•• C•••••• P••••••• I•• S••••••••• L•••no longer reported | Private Equity Fund | $29.4M | 12 | Feb 10, 2012 |
| H•• C•••••• P••••••• I••• L•••no longer reported | Private Equity Fund | $24.4M | 22 | Feb 10, 2012 |
| H•• C•••••• P••••••• I•••• L••• | Private Equity Fund | $17.8M | 43 | Jul 31, 2012 |
| H•• C•••••• P••••••• I• S••••••••• L•••no longer reported | Private Equity Fund | $14.2M | 20 | Feb 10, 2012 |
| H•• C•••••• P••••••• I•••• L••• | Private Equity Fund | $12.9M | 2 | Aug 1, 2014 |
| H•• C•••••• P••••••• I••••• L•••no longer reported | Private Equity Fund | $4.2M | 44 | Feb 10, 2012 |
| H•• C•••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $2.6M | 34 | Feb 10, 2012 |
| H•• C•••••• P••••••• I•••• S••••••••• L•••no longer reported | Private Equity Fund | $2.2M | 14 | Feb 10, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••• M••••••• A•••••• · President, Partnercontrolsince 01/2011 · owns 25% to 50%
- G••••• M•••••• N•• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- K•••••• T••• H• · Ceo, Partnercontrolsince 01/2007 · owns 25% to 50%
- R•••••••• K•••• W•••••• · Partnercontrolsince 09/2017 · owns 25% to 50%
- S•••••• J••••• C•••••• · Partnercontrolsince 08/1999 · owns 25% to 50%
Related persons
Schedule D 7.A
- H•• M••••••••• I•• L•••pooled vehicle sponsorn
- H•• M••••••••• V• L•••pooled vehicle sponsorn
Advisers that list H••••••• K••••••• W•••••• • C••••••• I••• as a related person
- 333392 n
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Advisory employees · 7 to 6Jul 31, 2025 to Mar 31, 2026
- Assets in custody · $661M to $631MJul 31, 2025 to Mar 31, 2026
- Employees · 9 to 8Jul 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $661M to $631MJul 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $661M to $631MJul 31, 2025 to Mar 31, 2026
- RAUM · $661M to $631MJul 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 31, 2025
- HQ city · INDIANAPOLIS to Mar 31, 2025 to Jul 31, 2025
- HQ state · IN to Mar 31, 2025 to Jul 31, 2025
- Other offices · 1 to 3Mar 31, 2025 to Jul 31, 2025
- Related adviser · false to trueMar 31, 2025 to Jul 31, 2025
- Advisory employees · 6 to 7Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $623M to $661MMar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $623M to $661MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $623M to $661MMar 28, 2024 to Mar 31, 2025
- RAUM · $623M to $661MMar 28, 2024 to Mar 31, 2025
- Advisory employees · 18 to 6Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $556M to $623MMar 31, 2023 to Mar 28, 2024
- Employees · 19 to 9Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $556M to $623MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $556M to $623MMar 31, 2023 to Mar 28, 2024
- RAUM · $556M to $623MMar 31, 2023 to Mar 28, 2024
- Accounts · 9 to 5Aug 8, 2022 to Mar 31, 2023
- Pooled vehicle clients · 9 to 5Aug 8, 2022 to Mar 31, 2023
- Assets in custody · $621M to $556MAug 8, 2022 to Mar 31, 2023
- Employees · 18 to 19Aug 8, 2022 to Mar 31, 2023
- Private funds · 9 to 5Aug 8, 2022 to Mar 31, 2023
- Discretionary RAUM · $621M to $556MAug 8, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $621M to $556MAug 8, 2022 to Mar 31, 2023
- RAUM · $621M to $556MAug 8, 2022 to Mar 31, 2023
- Advisory employees · 21 to 18May 6, 2021 to Mar 31, 2022
- Assets in custody · $760M to $621MMay 6, 2021 to Mar 31, 2022
- Employees · 21 to 18May 6, 2021 to Mar 31, 2022
- Discretionary RAUM · $760M to $621MMay 6, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $760M to $621MMay 6, 2021 to Mar 31, 2022
- RAUM · $760M to $621MMay 6, 2021 to Mar 31, 2022
- Advisory employees · 17 to 21Apr 2, 2020 to Mar 31, 2021
- Assets in custody · $690M to $760MApr 2, 2020 to Mar 31, 2021
- Employees · 17 to 21Apr 2, 2020 to Mar 31, 2021
- Discretionary RAUM · $690M to $760MApr 2, 2020 to Mar 31, 2021
Signals
11 dated events
- Nmn Monika Gupta (Chief Compliance Officer) appeared on Schedule A of H••••••• K••••••• W•••••• • C••••••• I•••Mar 28, 2024 · Control person joined · fact
- Michael John Carsello (Partner) no longer on Schedule A of H••••••• K••••••• W•••••• • C••••••• I••• (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Wai-On Daniel Kim (Partner) no longer on Schedule A of H••••••• K••••••• W•••••• • C••••••• I••• (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Aaron Luke Phenicie (Partner) no longer on Schedule A of H••••••• K••••••• W•••••• • C••••••• I••• (listed 2022-08-08, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Gardner Jeffrey Wood (Partner) no longer on Schedule A of H••••••• K••••••• W•••••• • C••••••• I••• (listed 2022-03-31, absent 2022-08-08)Aug 8, 2022 · Control person left · inference
- Matthew Jeffery Bistrong (Partner) no longer on Schedule A of H••••••• K••••••• W•••••• • C••••••• I••• (listed 2021-05-06, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- John Constantine Rakkou (Cfo & Cco) no longer on Schedule A of H••••••• K••••••• W•••••• • C••••••• I••• (listed 2021-03-31, absent 2021-05-06)May 6, 2021 · Control person left · inference
- Lingelbach Caroline Young (Partner) no longer on Schedule A of H••••••• K••••••• W•••••• • C••••••• I••• (listed 2020-04-02, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Matthew Jeffery Bistrong (Partner) appeared on Schedule A of H••••••• K••••••• W•••••• • C••••••• I•••Mar 31, 2021 · Control person joined · fact
- Daniel Kim (Partner) appeared on Schedule A of H••••••• K••••••• W•••••• • C••••••• I•••Mar 31, 2021 · Control person joined · fact
- H••••••• K••••••• W•••••• • C••••••• I••• reported RAUM $651.5M, up 50% from $435.0M (2018-02-12 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- H••••••• K••••••• W•••••• • C••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/hkwincreportedpublic record, Form ADV, Sep 18, 2026
- Website
- hkwinc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-590-7401reportedpublic 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
- Asset manager (funds and pooled vehicles)deriveda 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