DFX Intelligence

Data Factory

G••••• H••• A•••• M••••••••• L••: 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 adviserindependent wealth managerSEC registeredRAUM 1b 10b

G••••• H••• A•••• M••••••••• L••

CRD 143970

NEW CANAAN, CT

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:80ba00eb-0cb1-3a9b-1207-fd800be08243

Data as of Mar 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Dec 1, 2011 to Mar 17, 2026
33 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=0.61 fund_share=0.07 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.2BItem 5.F on the latest filing (2026-03-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.2B
Private client RAUM: $755MderivedItem 5.D individuals plus high net worth individuals
Private client share: 61%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••••• O••••••	n/a	NEW CANAAN, CT	19	42	1	no
J•••• V••••••••• H•••••••••	n/a	New Canaan, CT	19	29

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••••• J••••• V•••••••••	CHIEF EXECUTIVE OFFICER/MANAGING MEMBER	E	yes	10/2009	Mar 17, 2026	Mar 17, 2026
H••••••••• J•••• B••••••	CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER	Na	yes	10/2009	Mar 17, 2026

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.2B	$783M	58.9%	$623M	25.9%	10	10	0	0

Relationships

Registered with (5)

← B••••• C•••••••• L•••••Advisorregistration: current employment
Mar 29, 2024 to presentfactForm ADV
← J•••• F••••Advisorregistration: current employment
Oct 5, 2021 to presentfactForm ADV
← G•••••• J••• S•••••Advisorregistration: current employment
Sep 5, 2013 to presentfactForm ADV
← J••••••• O••••••

Dated events

Occurred
Mar 17, 2026
Regulatory AUM changed
G••••• H••• A•••• M••••••••• L•• reported RAUM $1.2B, up 59% from $782.9M (2025-02-05 to 2026-03-17)
Form ADVobserved 6 days ago
$461M
Occurred
Feb 14, 2022
Regulatory AUM changed
G••••• H••• A•••• M••••••••• L•• reported RAUM $597.1M, up 42% from $419.2M (2021-08-09 to 2022-02-14)
Form ADVobserved 6 days ago
$178M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:80ba00eb-0cb1-3a9b-1207-fd800be08243
First observed: Dec 1, 2011
Last observed: Mar 17, 2026 6 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.

2025	Mar 17, 2026	$1.2B	$1.2B	10	5	0	n/a	n/a
2024	Feb 5, 2025	$783M	$783M	10	5	0	n/a	n/a
2023	Feb 6, 2024	$705M	$705M	10	5	0	n/a	n/a
2022	Feb 14, 2023	$623M	$623M	10	5	0	n/a	n/a
2021	Feb 14, 2022	$597M	$597M	9	4	0	n/a	n/a
2020	Feb 24, 2021	$419M	$419M	8	4	0	n/a	n/a
2019	Feb 4, 2020	$389M	$389M	8	4	0	n/a	n/a
2018	Feb 6, 2019	$312M	$312M	7	5	0	n/a	n/a
2017	Feb 27, 2018	$326M	$326M	6	4	0	n/a	n/a
2016	Jan 25, 2017	$306M	$306M	7	4	n/a	n/a	n/a
2015	Jan 29, 2016	$288M	$288M	8	5	n/a	n/a	n/a
2014	Feb 6, 2015	$280M	$280M	7	4	n/a	n/a	n/a
2013	Feb 21, 2014	$250M	$250M	6	4	n/a	n/a	n/a
2012	Jan 24, 2013	$195M	$190M	5	3	n/a	n/a	n/a
2011	Feb 7, 2012	$173M	$171M	n/a	n/a	n/a	n/a	n/a