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••••• F•••••••• G••••• I•••
Latest filing May 27, 2026
First filing on the tape Nov 1, 2024 · 9 filings
SEC status approved since Dec 4, 2024
RAUM
$334M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$332M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$334M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$334M as of May 27, 2026
Jan 14, 2025$6.8M then
HNW client RAUM$285M as of May 27, 2026
Jan 14, 2025$6.8M then
State-registered IARs (5.B.3)1 as of May 27, 2026
Jan 14, 20251 then
Employees (5.A)1 as of May 27, 2026
Jan 14, 20251 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of May 27, 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
- $334MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 217derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $450,065derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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$285M85%
- Individuals$47.3M14%
- Pension and profit-sharing plans$2.1M0.6%
- Individual clients
- 100reported
- HNW clients
- 117reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 743reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• M•••• H•••••Certified Financial Planner | Atascadero, Ca | Dec 6, 2024 | 21 y | 6 |
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
- K•••••• M•••• H••••• from F•••••••• F•••• L••Dec 6, 2024 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• K••••••• M•••• · President/Ccocontrolsince 11/2012 · owns 75% or more
Related persons
Schedule D 7.A
- F•••••••• F•••• L••investment advisernRAUM $800M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 715 to 743Apr 30, 2026 to May 27, 2026
- HNW clients · 91 to 117Apr 30, 2026 to May 27, 2026
- Individual clients · 126 to 100Apr 30, 2026 to May 27, 2026
- Pension plan clients · 1 to 3Apr 30, 2026 to May 27, 2026
- Discretionary RAUM · $321M to $332MApr 30, 2026 to May 27, 2026
- HNW RAUM · $275M to $285MApr 30, 2026 to May 27, 2026
- Individual RAUM · $43.7M to $47.3MApr 30, 2026 to May 27, 2026
- Non-discretionary RAUM · $0 to $2.1MApr 30, 2026 to May 27, 2026
- Pension RAUM · $1.6M to $2.1MApr 30, 2026 to May 27, 2026
- RAUM · $321M to $334MApr 30, 2026 to May 27, 2026
- Accounts · 720 to 715Feb 5, 2025 to Jan 29, 2026
- HNW clients · 61 to 91Feb 5, 2025 to Jan 29, 2026
- Individual clients · 158 to 126Feb 5, 2025 to Jan 29, 2026
- Pension plan clients · unset to 1.0Feb 5, 2025 to Jan 29, 2026
- Financial planning clients · 0 to 11-25Feb 5, 2025 to Jan 29, 2026
- Discretionary RAUM · $286M to $321MFeb 5, 2025 to Jan 29, 2026
- HNW RAUM · $220M to $275MFeb 5, 2025 to Jan 29, 2026
- Individual RAUM · $65.5M to $43.7MFeb 5, 2025 to Jan 29, 2026
- Pension RAUM · unset to 1604260.0Feb 5, 2025 to Jan 29, 2026
- RAUM · $286M to $321MFeb 5, 2025 to Jan 29, 2026
- Accounts · 11 to 720Jan 14, 2025 to Feb 5, 2025
- HNW clients · 5 to 61Jan 14, 2025 to Feb 5, 2025
- Individual clients · unset to 158.0Jan 14, 2025 to Feb 5, 2025
- Financial planning clients · 0 to 0Jan 14, 2025 to Feb 5, 2025
- Discretionary RAUM · $6.8M to $286MJan 14, 2025 to Feb 5, 2025
- HNW RAUM · $6.8M to $220MJan 14, 2025 to Feb 5, 2025
- Individual RAUM · unset to 65519969.0Jan 14, 2025 to Feb 5, 2025
- RAUM · $6.8M to $286MJan 14, 2025 to Feb 5, 2025
- Related adviser · true to falseJan 14, 2025 to Feb 5, 2025
- Accounts · 0 to 11Dec 13, 2024 to Jan 14, 2025
- HNW clients · unset to 5.0Dec 13, 2024 to Jan 14, 2025
- HQ city · unset to Dec 13, 2024 to Jan 14, 2025
- HQ state · unset to Dec 13, 2024 to Jan 14, 2025
- Discretionary RAUM · $0 to $6.8MDec 13, 2024 to Jan 14, 2025
- HNW RAUM · unset to 6776047.0Dec 13, 2024 to Jan 14, 2025
- RAUM · $0 to $6.8MDec 13, 2024 to Jan 14, 2025
- Financial planning clients · unset to 0Nov 1, 2024 to Nov 8, 2024
- Related adviser · false to trueNov 1, 2024 to Nov 8, 2024
Signals
1 dated events
- H••••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)Nov 1, 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.
How to reach
public business contact points only, each with its source
- Website
- hewellfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (530) 400-4851reportedpublic record, Form ADV, May 27, 2026
- Contact form
- hewellfinancial.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
- $334Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026