DFX Intelligence

H••••• P••••••• • M••••••••• 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••••• P••••••• • M••••••••• L••

CRD 319087

SHEPHERDSTOWN, WV

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Search this name across graphsid dfx:ria:985c0558-7fbd-3d3f-f7f0-fcfc42a31451

Data as of Mar 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 8
On other graphs: 0
Observed: Feb 10, 2022 to Mar 16, 2026
15 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=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $592M••• Locked
Discretionary RAUM: $586M
Private client RAUM: $584Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $118Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A•••••••• R••••••• H•••••	Certified Financial Planner	SHEPHERDSTOWN, WV	4	33	3	no
A•••••••• R••••••• H•••••	Certified Financial Planner	SHEPHERDSTOWN, WV	3	14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• A••••••••• R•••••••	Member	C	yes	04/2023	Feb 20, 2024	Nov 11, 2024
H•••••• A••••••••• R•••••••	CCO, FOUNDING MEMBER	D	yes	02/2022	Feb 10, 2022	Nov 11, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 16, 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
0	1	-1	20.0%	0	0	0	2	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	$592M	$492M	20.3%	$307M	24.5%	8	7	0	0

Relationships

Registered with (6)

← T•••• P•••••• K•••••Advisorregistration: current employment
Jun 23, 2026 to presentfactForm ADV
← R••••••• A• T•••••Advisorregistration: current employment
Sep 25, 2025 to presentfactForm ADV
← J•••• A••••• S••••Advisorregistration: current employment
Aug 16, 2024 to presentfactForm ADV
← A•••••••• R••••••• H•••••

Dated events

Occurred
Mar 16, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 16, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 16, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 16, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:985c0558-7fbd-3d3f-f7f0-fcfc42a31451
First observed: Feb 10, 2022
Last observed: Mar 16, 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.