DFX Intelligence

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E•••••• H••••• • A••••••••• L••

Independent wealth managerSEC-registered· Plano, Texaswebsite

Independent wealth manager, based in Plano, Texas, reporting $138M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-02-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $138M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: -0.9%
Private clients: 100%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-02-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 226519 · SEC 801-96245 · 19 filingsShow

CRD 226519SEC 801-96245First filing on the tape Apr 29, 2015, latest Feb 9, 2026SEC status approved since May 11, 2015IAPD

RAUM

$138M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$138M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$68.8M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM +3.1% a year over three years · the tape starts Apr 29, 2015

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$138M as of Feb 9, 2026

Feb 1, 2016$110M then

HNW client RAUM$83.4M as of Feb 9, 2026

Feb 6, 2018$41.6M then

State-registered IARs (5.B.3)2 as of Feb 9, 2026

Feb 1, 20163 then

Employees (5.A)2 as of Feb 9, 2026

Feb 1, 20164 then

Private funds: no history

RAUM -0.9% over the last fiscal year+3.1% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Feb 9, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $68.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 121derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $245,855derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%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: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -0.9%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.3%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $106M, 240 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

61% high-net-worth individuals, 39% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$83.4M61%
Individuals$54.3M39%

Individual clients: 192reported
HNW clients: 49reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 560reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: $106M for 240 clientsreported
Compensation: % of AUM, hourlyreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
K•••• D••••• H•••••	Plano, Tx	May 11, 2015	23 y	2
J•••• N••••••• B•••••••••Certified Financial Planner	Plano, Tx	Sep 2, 2015	11 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H•••••• K••••• D••••• · Managing Partner, Ccocontrol
since 04/2015 · owns 75% or more
B••••••••• J••••• N••••••• · Advisor/Manager/Partner
since 04/2020 · 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
Plano, Tx · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 554 to 560
Jan 23, 2025 to Feb 9, 2026
Individual clients · 189 to 192
Jan 23, 2025 to Feb 9, 2026
Assets in custody · $108M to $106M
Jan 23, 2025 to Feb 9, 2026
Employees · 3 to 2
Jan 23, 2025 to Feb 9, 2026
Discretionary RAUM · $139M to $138M
Jan 23, 2025 to Feb 9, 2026

Full history · 80 changes

HNW RAUM · $85.9M to $83.4M
Jan 23, 2025 to Feb 9, 2026
Individual RAUM · $53.0M to $54.3M
Jan 23, 2025 to Feb 9, 2026
RAUM · $139M to $138M
Jan 23, 2025 to Feb 9, 2026
Accounts · 522 to 554
May 15, 2024 to Jan 23, 2025
HNW clients · 54 to 49
May 15, 2024 to Jan 23, 2025
Individual clients · 182 to 189
May 15, 2024 to Jan 23, 2025
Assets in custody · $101M to $108M
May 15, 2024 to Jan 23, 2025
Insurance-licensed employees · 2 to 0
May 15, 2024 to Jan 23, 2025
Financial planning clients · 51-100 to 51-100
May 15, 2024 to Jan 23, 2025
Discretionary RAUM · $131M to $139M
May 15, 2024 to Jan 23, 2025
HNW RAUM · $83.9M to $85.9M
May 15, 2024 to Jan 23, 2025
Individual RAUM · $47.5M to $53.0M
May 15, 2024 to Jan 23, 2025
RAUM · $131M to $139M
May 15, 2024 to Jan 23, 2025
Accounts · 556 to 522
Aug 31, 2023 to Feb 1, 2024
HNW clients · 36 to 54
Aug 31, 2023 to Feb 1, 2024
Individual clients · 209 to 182
Aug 31, 2023 to Feb 1, 2024
Assets in custody · $94.8M to $101M
Aug 31, 2023 to Feb 1, 2024
Discretionary RAUM · $126M to $131M
Aug 31, 2023 to Feb 1, 2024
HNW RAUM · $63.1M to $83.9M
Aug 31, 2023 to Feb 1, 2024
Individual RAUM · $62.4M to $47.5M
Aug 31, 2023 to Feb 1, 2024
RAUM · $126M to $131M
Aug 31, 2023 to Feb 1, 2024
Accounts · 554 to 556
Feb 7, 2022 to Feb 7, 2023
HNW clients · 42 to 36
Feb 7, 2022 to Feb 7, 2023
Individual clients · 201 to 209
Feb 7, 2022 to Feb 7, 2023
Assets in custody · $99.6M to $94.8M
Feb 7, 2022 to Feb 7, 2023
Discretionary RAUM · $137M to $126M
Feb 7, 2022 to Feb 7, 2023
HNW RAUM · $76.2M to $63.1M
Feb 7, 2022 to Feb 7, 2023
Individual RAUM · $61.1M to $62.4M
Feb 7, 2022 to Feb 7, 2023
RAUM · $137M to $126M
Feb 7, 2022 to Feb 7, 2023
Accounts · 559 to 554
Mar 2, 2021 to Feb 7, 2022
Individual clients · 194 to 201
Mar 2, 2021 to Feb 7, 2022
Assets in custody · $87.6M to $99.6M
Mar 2, 2021 to Feb 7, 2022
Discretionary RAUM · $128M to $137M
Mar 2, 2021 to Feb 7, 2022
HNW RAUM · $73.2M to $76.2M
Mar 2, 2021 to Feb 7, 2022
Individual RAUM · $55.2M to $61.1M
Mar 2, 2021 to Feb 7, 2022
RAUM · $128M to $137M
Mar 2, 2021 to Feb 7, 2022
Accounts · 537 to 559
Apr 28, 2020 to Mar 2, 2021
Individual clients · 202 to 194
Apr 28, 2020 to Mar 2, 2021
Assets in custody · $80.7M to $87.6M
Apr 28, 2020 to Mar 2, 2021
Discretionary RAUM · $118M to $128M
Apr 28, 2020 to Mar 2, 2021
HNW RAUM · $68.0M to $73.2M
Apr 28, 2020 to Mar 2, 2021
Individual RAUM · $50.5M to $55.2M
Apr 28, 2020 to Mar 2, 2021
RAUM · $118M to $128M
Apr 28, 2020 to Mar 2, 2021
Accounts · 530 to 537
Feb 13, 2019 to Feb 13, 2020
HNW clients · 25 to 42
Feb 13, 2019 to Feb 13, 2020
Individual clients · 284 to 202
Feb 13, 2019 to Feb 13, 2020
Assets in custody · $60.5M to $80.7M
Feb 13, 2019 to Feb 13, 2020
Discretionary RAUM · $110M to $118M
Feb 13, 2019 to Feb 13, 2020
HNW RAUM · $43.8M to $68.0M
Feb 13, 2019 to Feb 13, 2020
Individual RAUM · $65.7M to $50.5M
Feb 13, 2019 to Feb 13, 2020
RAUM · $110M to $118M
Feb 13, 2019 to Feb 13, 2020
Accounts · 520 to 530
Jun 15, 2018 to Feb 13, 2019
Advisory employees · 3 to 2
Jun 15, 2018 to Feb 13, 2019
HNW clients · 30 to 25
Jun 15, 2018 to Feb 13, 2019
Individual clients · 279 to 284
Jun 15, 2018 to Feb 13, 2019
Assets in custody · $34.4M to $60.5M
Jun 15, 2018 to Feb 13, 2019
Employees · 4 to 3
Jun 15, 2018 to Feb 13, 2019
Financial planning clients · 0 to 51-100
Jun 15, 2018 to Feb 13, 2019
State-registered IARs · 3 to 2
Jun 15, 2018 to Feb 13, 2019
Discretionary RAUM · $118M to $110M
Jun 15, 2018 to Feb 13, 2019
HNW RAUM · $41.6M to $43.8M
Jun 15, 2018 to Feb 13, 2019
Individual RAUM · $76.2M to $65.7M
Jun 15, 2018 to Feb 13, 2019
RAUM · $118M to $110M
Jun 15, 2018 to Feb 13, 2019
Accounts · 512 to 520
Jan 18, 2017 to Feb 6, 2018
HNW clients · unset to 30.0
Jan 18, 2017 to Feb 6, 2018
Individual clients · unset to 279.0
Jan 18, 2017 to Feb 6, 2018
Assets in custody · unset to 34391551.0
Jan 18, 2017 to Feb 6, 2018
Custody of client assets · false to true
Jan 18, 2017 to Feb 6, 2018
Insurance-licensed employees · 0 to 2
Jan 18, 2017 to Feb 6, 2018
Other offices · unset to 0.0
Jan 18, 2017 to Feb 6, 2018
Discretionary RAUM · $103M to $118M
Jan 18, 2017 to Feb 6, 2018
HNW RAUM · unset to 41625388.0
Jan 18, 2017 to Feb 6, 2018
Individual RAUM · unset to 76220933.0
Jan 18, 2017 to Feb 6, 2018
Non-discretionary RAUM · $4.8M to $0
Jan 18, 2017 to Feb 6, 2018
RAUM · $108M to $118M
Jan 18, 2017 to Feb 6, 2018

Signals

1 dated events

••• Locked
Apr 29, 2015 · 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: ••• Lockedreportedpublic record, Form ADV, Feb 9, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 9, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $68.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026