DFX Intelligence
RIA Intelligence
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SEC-registered adviser
H•••••• P•••• W••••• A•••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Oct 5, 2022 · 12 filings
SEC status approved since Nov 4, 2022
RAUM
$263M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$263M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$263M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$263M as of Mar 25, 2026
Mar 3, 2023$214M then
HNW client RAUM$204M as of Mar 25, 2026
Mar 3, 2023$67.8M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 3, 20232 then
Employees (5.A)2 as of Mar 25, 2026
Mar 3, 20232 then
Private funds: no history
RAUM +4.7% over the last fiscal year+7.1% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 25, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $263MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 272derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $424,537derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.2%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $63.5M, 619 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
- High-net-worth individuals$204M77%
- Individuals$59.6M23%
- Individual clients
- 206reported
- HNW clients
- 66reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 620reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $63.5M for 619 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• K••••••• R••••• · Vice Presidentcontrolsince 09/2022 · owns 50% to 75%
- P••••• M••••• P• · President And Ccocontrolsince 09/2022 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 25, 2026discretionary share of RAUM moved from 84.0% to 100.0% between the annual amendments of 2025-03-25 and 2026-03-25peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 646 to 620Aug 1, 2025 to Mar 25, 2026
- Advisory employees · 3 to 1Aug 1, 2025 to Mar 25, 2026
- Advisory activities · 3 to 4Aug 1, 2025 to Mar 25, 2026
- HNW clients · 54 to 66Aug 1, 2025 to Mar 25, 2026
- Individual clients · 227 to 206Aug 1, 2025 to Mar 25, 2026
- Assets in custody · $4.6M to $63.5MAug 1, 2025 to Mar 25, 2026
- Employees · 3 to 2Aug 1, 2025 to Mar 25, 2026
- Insurance-licensed employees · 1 to 0Aug 1, 2025 to Mar 25, 2026
- State-registered IARs · 2 to 1Aug 1, 2025 to Mar 25, 2026
- Discretionary RAUM · $210M to $263MAug 1, 2025 to Mar 25, 2026
- HNW RAUM · $186M to $204MAug 1, 2025 to Mar 25, 2026
- Individual RAUM · $65.4M to $59.6MAug 1, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $41.1M to $181,220Aug 1, 2025 to Mar 25, 2026
- RAUM · $251M to $263MAug 1, 2025 to Mar 25, 2026
- Financial planning clients · 1-10 to 1-10Jun 24, 2025 to Jul 30, 2025
- Commission compensation · false to trueMar 25, 2025 to Jun 24, 2025
- Accounts · 704 to 646May 2, 2024 to Mar 25, 2025
- Advisory employees · 2 to 3May 2, 2024 to Mar 25, 2025
- Business name · H••••••••• A••••••• to H•••••• P•••• W••••• A•••••••• I•••May 2, 2024 to Mar 25, 2025
- Corporate clients · 1.0 to unsetMay 2, 2024 to Mar 25, 2025
- HNW clients · 56 to 54May 2, 2024 to Mar 25, 2025
- Individual clients · 226 to 227May 2, 2024 to Mar 25, 2025
- Assets in custody · unset to 4615810.0May 2, 2024 to Mar 25, 2025
- Custody of client assets · false to trueMay 2, 2024 to Mar 25, 2025
- Employees · 2 to 3May 2, 2024 to Mar 25, 2025
- Legal name · H••••••••• A•••••••, INC. to H•••••• P•••• W••••• A•••••••• I•••May 2, 2024 to Mar 25, 2025
- Discretionary RAUM · $202M to $210MMay 2, 2024 to Mar 25, 2025
- HNW RAUM · $171M to $186MMay 2, 2024 to Mar 25, 2025
- Individual RAUM · $70.7M to $65.4MMay 2, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $42.0M to $41.1MMay 2, 2024 to Mar 25, 2025
- RAUM · $244M to $251MMay 2, 2024 to Mar 25, 2025
- Accounts · 766 to 704Sep 6, 2023 to Mar 27, 2024
- Corporate clients · 2 to 1Sep 6, 2023 to Mar 27, 2024
- HNW clients · 237 to 56Sep 6, 2023 to Mar 27, 2024
- Individual clients · 54 to 226Sep 6, 2023 to Mar 27, 2024
- Financial planning clients · 0 to 1-10Sep 6, 2023 to Mar 27, 2024
- Discretionary RAUM · $201M to $202MSep 6, 2023 to Mar 27, 2024
- HNW RAUM · $67.8M to $171MSep 6, 2023 to Mar 27, 2024
- Individual RAUM · $143M to $70.7MSep 6, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $13.4M to $42.0MSep 6, 2023 to Mar 27, 2024
Signals
1 dated events
- H••••••••• A••••••• filed its initial SEC registration (Form ADV)Oct 5, 2022 · 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 phone
- 888-391-7378reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 888-391-7378reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- h•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $263Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026