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
I••
Legal name I•• A•• I•••••••• M••••••••• I•••
Latest filing Jun 12, 2026
First filing on the tape Jun 19, 2025 · 4 filings
SEC status approved since Jun 26, 2025
RAUM
$173M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$173M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$21.7M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$173M as of Jun 12, 2026
Jun 19, 2025$110M then
HNW client RAUM$44.8M as of Jun 12, 2026
Jun 19, 2025$22.4M then
State-registered IARs (5.B.3)7 as of Jun 12, 2026
Jun 19, 20257 then
Employees (5.A)7 as of Jun 12, 2026
Jun 19, 20257 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $21.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $122,066derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 2.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminars, otherreportedItem 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)
- 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$129M74%
- High-net-worth individuals$44.8M26%
- Charitable organizations$36,8870.0%
- Individual clients
- 1,020reported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 1,421reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• G••••••• K••••• | Auburn, Ca | Aug 26, 2016 | 26 y | 0 |
| G•••••• S••••••• K••••• | Auburn, Ca | Aug 26, 2016 | 17 y | 0 |
| I•• J••••• S•••• | Asheville, Nc | Jan 28, 2020 | 41 y | 1 |
| J•••• L• S•••••• | Lake Saint Louis, Mo | Aug 26, 2022 | 14 y | 2 |
| R•••••• A• H••••• | Tucson, Az | Aug 5, 2024 | 23 y | 0 |
| N•••••• L••••••••• | Auburn, Ca | Jan 8, 2025 | 13 y | 1 |
| E••• N•••• | Auburn, Ca | Oct 6, 2025 | 11 y | 0 |
| S••••• P••••••••• | Auburn, Ca | Aug 27, 2026 | 11 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
- D•••• R••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Dec 3, 2023 · RIA to affiliated broker-dealer or bank
- K•••• G••••• H•••••••• to H••••• S••••••••Apr 12, 2021 · RIA to a state-registered adviser
- J•••• M•••••• K••• to R•••• M••••••• F•••••••• S•••••••• I•••Jan 13, 2021 · RIA to a state-registered adviser
Joined, latest
- N•••••• L••••••••• from E••••• J••••Jan 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- J•••• L• S•••••• from C••••• A•••••• N••••••• L••Aug 26, 2022 · Affiliated broker-dealer or bank to independent RIA
- I•• J••••• S•••• from P••••••••• E•••••••• P•••••••• L••Jan 28, 2020 · Other
- K•••• G••••• H•••••••• from C••••• A•••••• N••••••• L••Mar 30, 2018 · Other
- J•••• M•••••• K••• from M•• I•••••••• S•••••••• L••Feb 27, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• G••••••• S••••••• · Chief Compliance Officercontrolsince 07/2016 · owns 10% to 25%
- K•••••• P••••• G••••••• · Presidentcontrolsince 08/2001 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Auburn, Ca · principal | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,335 to 1,421Mar 11, 2026 to Jun 12, 2026
- Discretionary RAUM · $152M to $173MMar 11, 2026 to Jun 12, 2026
- HNW RAUM · $39.7M to $44.8MMar 11, 2026 to Jun 12, 2026
- Individual RAUM · $113M to $129MMar 11, 2026 to Jun 12, 2026
- RAUM · $152M to $173MMar 11, 2026 to Jun 12, 2026
- Accounts · 1,255 to 1,335Jun 19, 2025 to Feb 10, 2026
- HNW clients · 15 to 28Jun 19, 2025 to Feb 10, 2026
- Individual clients · 970 to 1,020Jun 19, 2025 to Feb 10, 2026
- Other offices · 4 to 3Jun 19, 2025 to Feb 10, 2026
- Discretionary RAUM · $110M to $152MJun 19, 2025 to Feb 10, 2026
- HNW RAUM · $22.4M to $39.7MJun 19, 2025 to Feb 10, 2026
- Individual RAUM · $87.8M to $113MJun 19, 2025 to Feb 10, 2026
- RAUM · $110M to $152MJun 19, 2025 to Feb 10, 2026
Signals
1 dated events
- D•••• R••••••• left Ifc for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2025-02-12)Dec 3, 2023 · a•••••• firm change · 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
- bekki@bekkih•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 520-293-3850reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 520-312-9797reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- bekkiharper.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 530-886-8550reportedpublic record, Form ADV, Jun 12, 2026
- Contact form
- bekkiharper.com/contact-usreportedpublished 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
- $21.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026