DFX Intelligence

H•••••••• F•••••••• G•••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

H•••••••• F•••••••• G•••• L••

CRD 333013

VIRGINIA BEACH, VA

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Search this name across graphsid dfx:ria:1173a457-6491-d078-749a-818c37efa076

Data as of Sep 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Oct 25, 2024 to Sep 16, 2026
9 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.78 fund_share=0.0 institutional_share=0.13 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $136M••• Locked
Discretionary RAUM: $124M
Private client RAUM: $106Mderived••• Locked
Private client share: 78%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $45.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••••••• L••• D••••	n/a	Virginia Beach, VA	1	20	6	no
R••••••• B••••••• H••••••••• I••	Certified Financial Planner\|Chartered Financial Consultant	VIRGINIA BEACH, VA	1	20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• S••••••••• L•••	EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	Na	yes	10/2019	Oct 25, 2024	Dec 16, 2024
H••••••••• R•••••••• B•••••••	CHIEF EXECUTIVE OFFICER AND OWNER	E	yes	03/2017	Oct 25, 2024	Dec 16, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	33.3%	0	0	0	4	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$136M	$97.0M	40.6%	n/a	n/a	5	3	2	2

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	2	Mar 26, 2025	Nov 26, 2024	VIRGINIA BEACH, VA	Team lift out	Ibd to RIA	0.0%

Relationships

Registered with (4)

← T•••• L•• L•••••••Advisorregistration: current employment
Jan 29, 2026 to presentfactForm ADV
← S•••••••• L••• D••••Advisorregistration: current employment
Nov 26, 2024 to presentfactForm ADV
← R••••••• B••••••• H••••••••• I••Advisorregistration: current employment
Nov 26, 2024 to presentfactForm ADV
← NAOMI T BROCK

Dated events

Occurred
Jan 8, 2026
Advisor changed firm
Naomi T Brock left H•••••••• F•••••••• G•••• L•• for Focus Partners Wealth, Llc (registered 2026-03-30)
Form ADVobserved 7 days ago
Occurred
Mar 26, 2025
Team lift-out
2 advisors left L•• F•••••••• L•• (Virginia Beach, VA) for H•••••••• F•••••••• G•••• L•• on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Oct 25, 2024
First Form ADV filing
H•••••••• F•••••••• G•••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1173a457-6491-d078-749a-818c37efa076
First observed: Oct 25, 2024
Last observed: Sep 16, 2026 6 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.