DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

H•••••• A•••••••

H•••••• W•••••• BANK, CRD 111983

NEW ORLEANS, LA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5020c012-bbaa-04e9-673f-394c77777896

Data as of May 12, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to May 12, 2021
17 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $541M••• Locked
Discretionary RAUM: $541M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 58
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• W•••••• C•••••••••	HOLDING COMPANY	E	yes	04/1984	Mar 27, 2020	May 12, 2021
L•••••••• D••••• J•••	CHIEF INVESTMENT OFFICER	Na	yes	08/2016	Mar 31, 2017	May 12, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H•••••• W•••••• I••••••••• S••••••• I•••	n/a	Independent wealth	$306M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Gulfport	Ms	United States	6	yes
BATON ROUGE	La	United States	2	no
Mandeville	La	United States	2	no
Bradenton	FL	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$541M	$698M	-22.6%	$1.3B	-25.3%	58	58	4	4

Relationships

Affiliated with (1)

→ H•••••• W•••••• I••••••••• S••••••• I•••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (4)

← M•••••• M••••• S•••••OwnerCHIEF WEALTH MANAGEMENT OFFICER, ownership code NA, individual
Aug 4, 2015 to presentfactForm ADV
← R•••••• J•••• M••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2016 to presentfactForm ADV
← L•••••••• D••••• J•••Owner

Dated events

Occurred
Mar 27, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-485M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5020c012-bbaa-04e9-673f-394c77777896
First observed: Mar 30, 2012
Last observed: May 12, 2021 65 months 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.