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••••• I•••••••••

Asset manager (funds and pooled vehicles)Louisville, KentuckyCRD 341803SEC 801-136566websiteIAPD
Legal name H••••• I••••••••• I•••
Latest filing Jul 1, 2026
First filing on the tape Jun 18, 2026 · 2 filings
SEC status 120-day approval since Jun 22, 2026
RAUM
$57.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$28.9M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$57.7M as of Jul 1, 2026
Jun 18, 2026$57.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jul 1, 2026
Jun 18, 20262 then
Employees (5.A)4 as of Jul 1, 2026
Jun 18, 20264 then
Private funds9 as of Jul 1, 2026
Jun 18, 20269 then
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
RAUM per advisor
$28.9MderivedRAUM 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
$6.4MderivedRAUM 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
2.0derived1 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$57.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••• W•••••• H•••••Chartered Financial AnalystLouisville, KyJun 26, 202612 y2
M•••••• N••• C•••••••Chartered Financial AnalystLouisville, KyJun 26, 202614 y1
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• C•••• W•••••• · Managing Member And Chief Executive Officercontrol
        since 01/2022 · owns 75% or more
      • H•••••• N•••••• S•••••• · Chief Compliance Officercontrol
        since 05/2026 · 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
      OfficeAdvisorsJoinedLeftTeams outForming
      Louisville, Ky · principal220
      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
      1 dated events
      • 2 advisors left P•••••• C••••• S•••••••• L•• (Louisville, KY) for H••••• I••••••••• on the same day
        Jun 26, 2026 · Team lift-out · derived
      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
      502-365-1440reportedpublished by the firm, firm site, Sep 17, 2026
      Firm profile
      linkedin.com/company/hafele-investmentsreportedpublic record, Form ADV, Sep 18, 2026
      Website
      hafeleinvestments.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      502 365 1440reportedpublic record, Form ADV, Jul 1, 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
      $28.9Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026