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••••• W••••• M••••••••• L••
Latest filing May 14, 2026
First filing on the tape Mar 13, 2026 · 2 filings
SEC status approved since Mar 17, 2026
RAUM
$107M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$107M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$26.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$107M as of May 14, 2026
Mar 13, 2026$107M then
HNW client RAUM$76.6M as of May 14, 2026
Mar 13, 2026$76.6M then
State-registered IARs (5.B.3)3 as of May 14, 2026
Mar 13, 20263 then
Employees (5.A)3 as of May 14, 2026
Mar 13, 20263 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 14, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $26.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $184,503derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- 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$76.6M72%
- Individuals$30.0M28%
- Individual clients
- 121reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 578reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• A•••••• O••••Certified Financial Planner | Salt Lake City, Ut | Oct 1, 2021 | 15 y | 0 |
| M••••••• J•••• D••••Certified Financial Planner | Salt Lake City, Ut | Mar 25, 2022 | 11 y | 0 |
| K••• M•••••• C••••••••• | Salt Lake City, Ut | Mar 9, 2023 | 26 y | 0 |
| J•••• A•••••••• A•••••• | Loveland, Co | May 27, 2026 | 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 headcount0 left over 36 months
Left, latest
- M•••••• L••••• A••••• to F••••Feb 5, 2021 · RIA to RIA
Joined, latest
- M•••••• L••••• A••••• from A•••••• A••••••• S•••••••Dec 3, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• K•••• M•••••• · Owner And Tax Advisorcontrolsince 02/2025 · owns 75% or more
- D••••• M•••••••• J•••• · Financial Advisorcontrolsince 01/2024 · owns 10% to 25%
- O••••• C•••••• A•••••• · Chief Compliance Officer And Financial Advisorcontrolsince 10/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Salt Lake City, Ut · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
No event on the tape.
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
- advisors@hayniewealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 214-296-0900reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 210-979-0055reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 210-979-0058reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/haynie-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- hayniewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (512) 537-8241reportedpublic record, Form ADV, May 14, 2026
- Contact form
- hayniewealth.com/contactreportedpublished 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
- $26.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026