DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

H• C•••••• M•••••••••

H• C•••••• M•••••••••, LLC, CRD 339467

MONTGOMERY, NY

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Search this name across graphsid dfx:ria:a9206831-b4f6-11fa-1078-4a1d365a85ab

Data as of May 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Dec 22, 2025 to May 14, 2026
3 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=0.75 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $71.5M••• Locked
Discretionary RAUM: $71.5M
Private client RAUM: $53.5Mderived••• Locked
Private client share: 75%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $23.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• P•••• M•••••••	Chartered Financial Analyst	MONTGOMERY, NY	0	17	3	no
M•••••• J• M•••••	n/a	MONTGOMERY, NY	0	26

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••••••• M•••• A•••	CHIEF EXECUTIVE OFFICER	C	yes	11/2025	May 14, 2026	May 14, 2026
M•••••••• R•••••• P••••	CHIEF INVESTMENT OFFICER	C	yes	11/2025	May 14, 2026	May 14, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 25, 2026	$71.5M	$71.5M	4	2	0	n/a	n/a

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	0.0%	0	0	0	2	0

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	$71.5M	n/a	n/a	n/a	n/a	4	n/a	0	n/a

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O••••• I••••••••• A•••••••• I•••	2	Dec 23, 2025	Dec 21, 2025	GOSHEN, NY	Team lift out	RIA to new firm	25.0%

Relationships

Controls (3)

← L••••••••• M•••• A•••OwnerCHIEF EXECUTIVE OFFICER, ownership code C, individual
May 14, 2026 to presentfactForm ADV
← M•••••••• R•••••• P••••OwnerCHIEF INVESTMENT OFFICER, ownership code C, individual
May 14, 2026 to presentfactForm ADV
← M•••••• M••••••• J•OwnerCHIEF OPERATING OFFICER, ownership code C, individual
May 14, 2026 to presentfactForm ADV

Owns (1)

← K••••••• J•••••••• G••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

Occurred
Dec 23, 2025
Team lift-out
2 advisors left O••••• I••••••••• A•••••••• I••• (Goshen, NY) for H• C•••••• M••••••••• on the same day
Form ADVobserved 7 days ago
2 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a9206831-b4f6-11fa-1078-4a1d365a85ab
First observed: Dec 22, 2025
Last observed: May 14, 2026 4 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.