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•• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Nov 27, 2024 · 4 filings
SEC status approved since Jan 10, 2025
RAUM
$42.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$42.5M as of Mar 31, 2026
Jul 31, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jul 31, 20250 then
Employees (5.A)5 as of Mar 31, 2026
Jul 31, 20255 then
Private funds: 2
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $10.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 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
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $42.5M, 4 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$42.5M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $42.5M for 4 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• M••••••• A•••••• · Member, President, Partnercontrolsince 03/2024 · owns 25% to 50%
- G••••• M•••••• N•• · Chief Compliance Officercontrolsince 11/2024 · owns less than 5%
- K•••••• T••• H• · Member, Ceo, Partnercontrolsince 03/2024 · owns 25% to 50%
- L••••••• L•••••••• B•••• · Member, Partnercontrolsince 03/2024 · owns 10% to 25%
- R••• D•••••• N•• · Member, Partnercontrolsince 03/2024 · owns 10% to 25%
- S•••••• J••••• C•••••• · Member, Partnercontrolsince 03/2024 · owns 10% to 25%
Related persons
Schedule D 7.A
- H••••••• K••••••• W•••••• • C••••••• I•••investment advisernRAUM $631M
- H•• M••••••••• I•• L•••pooled vehicle sponsorn
- H•• M••••••••• V• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026advises private funds (Item 7.B): no on the filing of 2025-07-31, yes on the filing of 2026-03-31peers: asset managers, under $100M (330)
What changed
consecutive filings, newest first
- Accounts · 0 to 4Jul 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 0 to 4Jul 31, 2025 to Mar 31, 2026
- Assets in custody · $0 to $42.5MJul 31, 2025 to Mar 31, 2026
- Private funds · unset to 2Jul 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $0 to $42.5MJul 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $0 to $42.5MJul 31, 2025 to Mar 31, 2026
- RAUM · $0 to $42.5MJul 31, 2025 to Mar 31, 2026
- Advisory employees · 2 to 5Dec 11, 2024 to Jul 31, 2025
- Employees · 2 to 5Dec 11, 2024 to Jul 31, 2025
- Financial planning clients · unset to Dec 11, 2024 to Jul 31, 2025
- HQ city · INDIANAPOLIS to Dec 11, 2024 to Jul 31, 2025
- HQ state · IN to Dec 11, 2024 to Jul 31, 2025
- Other offices · 1 to 2Dec 11, 2024 to Jul 31, 2025
Signals
1 dated events
- H•• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 27, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H•• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- hkwinc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-590-7401reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda 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