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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Former SEC-registered adviser

H••••• K•••• I••••••••• I•••

Former SEC-registered adviserWayzata, MinnesotaCRD 332688SEC 801-130998IAPD
Latest filing Mar 4, 2025
First filing on the tape Jul 26, 2024 · 4 filings
SEC status approved since Sep 5, 2024
RAUM
$379M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$379M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$379M as of Mar 4, 2025
Jul 26, 2024$0 then
HNW client RAUM: $376M
State-registered IARs (5.B.3)1 as of Mar 4, 2025
Jul 26, 20241 then
Employees (5.A)3 as of Mar 4, 2025
Jul 26, 20243 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 4, 2025; every figure names its basis
RAUM per advisor
$379MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
32derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$17.9MderivedHNW RAUM over HNW clients
Average account
$7.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 individualsreportedItem 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)
  • 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
  • High-net-worth individuals$376M99%
  • Individuals$3.1M0.8%
Individual clients
11reported
HNW clients
21reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
52reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• A•••••• M•••••••• · Co-Chairman And Presidentcontrol
        since 08/2024 · owns 50% to 75%
      • K••••• R•••••• J•••••••• · Co-Chairmancontrol
        since 08/2024 · owns 50% to 75%
      • T••••••• T•••• M•••••• · Ceo/Ccocontrol
        since 07/2024 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 52
        Aug 30, 2024 to Mar 4, 2025
      • HNW clients · unset to 21.0
        Aug 30, 2024 to Mar 4, 2025
      • Individual clients · unset to 11.0
        Aug 30, 2024 to Mar 4, 2025
      • Discretionary RAUM · $0 to $359M
        Aug 30, 2024 to Mar 4, 2025
      • HNW RAUM · unset to 376238006.0
        Aug 30, 2024 to Mar 4, 2025
      • Individual RAUM · unset to 3103052.0
        Aug 30, 2024 to Mar 4, 2025
      • Non-discretionary RAUM · $0 to $20.2M
        Aug 30, 2024 to Mar 4, 2025
      • RAUM · $0 to $379M
        Aug 30, 2024 to Mar 4, 2025
      Signals
      4 dated events
      • H••••• K•••• I••••••••• I••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $379.3M)
        Dec 20, 2025 · Left the SEC roster · derived
      • Macdonald Andrew Hunter (Co-Chairman And President) appeared on Schedule A of H••••• K•••• I••••••••• I•••
        Aug 23, 2024 · Control person joined · fact
      • Johnstone Robert Keith (Co-Chairman) appeared on Schedule A of H••••• K•••• I••••••••• I•••
        Aug 23, 2024 · Control person joined · fact
      • H••••• K•••• I••••••••• I••• filed its initial SEC registration (Form ADV)
        Jul 26, 2024 · 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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026