DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

H••••• W••••• M••••••••• I•••

CRD 288925

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Search this name across graphsid dfx:ria:d014898c-1d34-d66e-d010-52237382c2a9

Data as of Mar 9, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 2
On other graphs: 0
Observed: Mar 18, 2021 to Mar 9, 2022
2 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: $29.1M••• Locked
Discretionary RAUM: $29.1M
Private client RAUM: $29.1Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• P•••••• R••••••	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	03/2012	Mar 18, 2021	Mar 9, 2022

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 9, 2022	$29.1M	$29.1M	1	1	0	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$29.1M	n/a	n/a	n/a	n/a	1	n/a	0	n/a

Relationships

Controls (1)

← H•••••• P•••••• R••••••OwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 18, 2021 to presentfactForm ADV

Registered with (1)

← P••••• R•••••• H•••••Advisorregistration: previous registration
Aug 30, 2021 to Mar 21, 2023factForm ADV

Dated events

Occurred
Mar 21, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 18, 2021
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d014898c-1d34-d66e-d010-52237382c2a9
First observed: Mar 18, 2021
Last observed: Mar 9, 2022 55 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.