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
O•••••••• A••••••• L••
Latest filing Feb 4, 2026
First filing on the tape Feb 20, 2023 · 22 filings
SEC status approved since Mar 23, 2023
RAUM
$191M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$183M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$47.8M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$191M as of Feb 4, 2026
Jan 17, 2024$136M then
HNW client RAUM$55.3M as of Feb 4, 2026
Jan 17, 2024$87.3M then
State-registered IARs (5.B.3)4 as of Feb 4, 2026
Jan 17, 20243 then
Employees (5.A)5 as of Feb 4, 2026
Jan 17, 20244 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Feb 4, 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
- $47.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $325,294derivedHNW RAUM over HNW clients
- Average account
- $250,065derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.6%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- 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$128M67%
- High-net-worth individuals$55.3M29%
- Pension and profit-sharing plans$8.1M4.2%
- Individual clients
- 70reported
- HNW clients
- 170reported
- Pension plan clients
- 13reported
- Charitable clients
- n/areported
- Accounts
- 765reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• R••••• K••••Certified Financial Planner, Chartered Financial Analyst | Mount Pleasant, Sc | Apr 1, 2014 | 12 y | 0 |
| P•••••• J••••• G•••Certified Financial Planner | Mount Pleasant, Sc | Jan 4, 2018 | 13 y | 0 |
| N••••••• G••• S••••••• | Mount Pleasant, Sc | May 1, 2024 | 26 y | 0 |
| T•••• R•••• S••••••• | Mount Pleasant, Sc | Dec 19, 2024 | 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 headcount1 left over 36 months
Left, latest
- R••• C•••••••• to F••••••• F••••••••• L••Nov 1, 2023 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• J•••••• R••••• · Chief Compliance Officer/Managing Membercontrolsince 01/2014 · owns 75% or more
- G•••• P••••••• J••••• · Owner/Investment Advisor Representativesince 01/2021 · owns 10% to 25%
- K••••• R•••••• E•••• · Ownersince 06/2018 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Mount Pleasant, Sc · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 4, 2026HNW share of RAUM moved from 63.0% to 29.0% between the annual amendments of 2025-02-05 and 2026-02-04peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 743 to 765Aug 29, 2025 to Feb 4, 2026
- HNW clients · 58 to 170Aug 29, 2025 to Feb 4, 2026
- Individual clients · 168 to 70Aug 29, 2025 to Feb 4, 2026
- Pension plan clients · 11 to 13Aug 29, 2025 to Feb 4, 2026
- Discretionary RAUM · $184M to $191MAug 29, 2025 to Feb 4, 2026
- HNW RAUM · $113M to $55.3MAug 29, 2025 to Feb 4, 2026
- Individual RAUM · $64.8M to $128MAug 29, 2025 to Feb 4, 2026
- Pension RAUM · $6.1M to $8.1MAug 29, 2025 to Feb 4, 2026
- RAUM · $184M to $191MAug 29, 2025 to Feb 4, 2026
- Accounts · 703 to 743Feb 5, 2025 to Aug 29, 2025
- HNW clients · 57 to 58Feb 5, 2025 to Aug 29, 2025
- Individual clients · 164 to 168Feb 5, 2025 to Aug 29, 2025
- Insurance-licensed employees · 0 to 1Feb 5, 2025 to Aug 29, 2025
- Discretionary RAUM · $160M to $184MFeb 5, 2025 to Aug 29, 2025
- HNW RAUM · $101M to $113MFeb 5, 2025 to Aug 29, 2025
- Individual RAUM · $52.7M to $64.8MFeb 5, 2025 to Aug 29, 2025
- Pension RAUM · $5.7M to $6.1MFeb 5, 2025 to Aug 29, 2025
- RAUM · $160M to $184MFeb 5, 2025 to Aug 29, 2025
- Accounts · 603 to 703Dec 19, 2024 to Feb 5, 2025
- HNW clients · 51 to 57Dec 19, 2024 to Feb 5, 2025
- Individual clients · 151 to 164Dec 19, 2024 to Feb 5, 2025
- Financial planning clients · 51-100 to 51-100Dec 19, 2024 to Feb 5, 2025
- Discretionary RAUM · $136M to $160MDec 19, 2024 to Feb 5, 2025
- HNW RAUM · $87.3M to $101MDec 19, 2024 to Feb 5, 2025
- Individual RAUM · $44.2M to $52.7MDec 19, 2024 to Feb 5, 2025
- Pension RAUM · $4.9M to $5.7MDec 19, 2024 to Feb 5, 2025
- RAUM · $136M to $160MDec 19, 2024 to Feb 5, 2025
- Other offices · 1 to 0May 1, 2024 to Dec 19, 2024
- Advisory employees · 3 to 4Jan 17, 2024 to May 1, 2024
- Employees · 4 to 5Jan 17, 2024 to May 1, 2024
- State-registered IARs · 3 to 4Jan 17, 2024 to May 1, 2024
- Accounts · 595 to 603Dec 11, 2023 to Jan 17, 2024
- HNW clients · 50 to 51Dec 11, 2023 to Jan 17, 2024
- Individual clients · 149 to 151Dec 11, 2023 to Jan 17, 2024
- Pension plan clients · 10 to 11Dec 11, 2023 to Jan 17, 2024
- Discretionary RAUM · $128M to $136MDec 11, 2023 to Jan 17, 2024
- HNW RAUM · $82.4M to $87.3MDec 11, 2023 to Jan 17, 2024
- Individual RAUM · $41.1M to $44.2MDec 11, 2023 to Jan 17, 2024
- Pension RAUM · $4.1M to $4.9MDec 11, 2023 to Jan 17, 2024
- RAUM · $128M to $136MDec 11, 2023 to Jan 17, 2024
Signals
2 dated events
- R••• C•••••••• left O•••••••• A••••••• L•• for F••••••• F••••••••• L•• (registered 2023-11-20)Nov 1, 2023 · Advisor changed firm · fact
- O•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Feb 20, 2023 · 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 email
- info@hockeywealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 854-444-0445reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- hockeywealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 843-830-6568reportedpublic record, Form ADV, Feb 4, 2026
- Contact form
- hockeywealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- hockeywealth.com/our-teamreportedpublished 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
- $47.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026