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

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

H•• W••••• M•••••••••

H••••• FINANCIAL, INC., CRD 121275

SHEPHERDSTOWN, WV

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Search this name across graphsid dfx:ria:a5337370-c0bc-6090-3c20-2df2a0111e0a

Data as of Mar 8, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Feb 17, 2012 to Mar 8, 2016
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $375MItem 5.F on the latest filing (2016-03-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $303M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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•••••• A••••••••• R•••••••	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	07/2002	Feb 17, 2012	Mar 8, 2016
C••••••• J••••• M••••	Secretary	B	no	01/2007	Feb 17, 2012

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Mclean	Va	United States	n/a	no
Winchester	Va	United States	n/a	no

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

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
2015	$375M	$361M	4.1%	$268M	11.9%	9	8	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
U••••• C•••••• F•••••••• A•••••••	3	Apr 1, 2016	Apr 5, 2016	SHEPHERDSTOWN, WV	Firm absorbed	Other	60.0%

Relationships

Controls (1)

← H•••••• A••••••••• R•••••••OwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 17, 2012 to presentfactForm ADV

Owns (1)

← C••••••• J••••• M••••OwnerSECRETARY, ownership code B, individual
Feb 17, 2012 to presentfactForm ADV

Registered with (5)

← J•••• M•••• C••••••Advisorregistration: previous registration
Jan 15, 2004 to Apr 29, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5337370-c0bc-6090-3c20-2df2a0111e0a
First observed: Feb 17, 2012
Last observed: Mar 8, 2016 128 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.