DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
H••••• A•• C••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Feb 21, 2024 · 5 filings
SEC status approved since Mar 22, 2024
RAUM
$137M
reported, Item 5.F
Discretionary
2.3%
of RAUM
Private clients
100%
$137M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$45.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$137M as of Mar 27, 2026
Mar 27, 2025$123M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 27, 20251 then
Employees (5.A)3 as of Mar 27, 2026
Mar 27, 20253 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 1 to 1offices 0 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $45.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $323,970derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 2.3%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$137M100%
- Individual clients
- 280reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 423reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• B•••••• H••••• | Baton Rouge, La | Aug 16, 2006 | 22 y | 0 |
| C••••••••• M•••••• D•••••Certified Financial Planner | Baton Rouge, La | Apr 27, 2012 | 25 y | 0 |
| T••• S•••••• G•••••••• | Baton Rouge, La | Sep 3, 2020 | 19 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- W•••••• S••••• M•••••• to I••••••• F•••••••• S••••••• A•••••••Jun 16, 2014 · RIA to RIA
- A••••• L••••• D••••• to L•• F•••••••• L••Aug 29, 2008 · Other
Joined, latest
- T••• S•••••• G•••••••• from L•• F•••••••• L••Sep 3, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• C••••••••• M•••••• · Vp Operations/Cco/Finopcontrolsince 01/2009 · owns less than 5%
- H•••••• M•••••• B•••••• · Presidentcontrolsince 06/2019 · owns less than 5%
- H•••••• M•••••• B•••••• · Shareholdersince 03/1997 · owns 75% or more of R• L• H••••• • A••••••••• I•••
Entity owners
- R• L• H••••• • A••••••••• I••• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Baton Rouge, La · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 427 to 423Nov 20, 2025 to Mar 27, 2026
- Individual clients · 278 to 280Nov 20, 2025 to Mar 27, 2026
- Other offices · 0 to 2Nov 20, 2025 to Mar 27, 2026
- Discretionary RAUM · $6.0M to $3.2MNov 20, 2025 to Mar 27, 2026
- Individual RAUM · $123M to $137MNov 20, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $117M to $134MNov 20, 2025 to Mar 27, 2026
- RAUM · $123M to $137MNov 20, 2025 to Mar 27, 2026
- Accounts · 440 to 427Feb 23, 2024 to Mar 27, 2025
- Individual clients · 280 to 278Feb 23, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Feb 23, 2024 to Mar 27, 2025
- Discretionary RAUM · $8.3M to $6.0MFeb 23, 2024 to Mar 27, 2025
- Individual RAUM · $102M to $123MFeb 23, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $93.5M to $117MFeb 23, 2024 to Mar 27, 2025
- RAUM · $102M to $123MFeb 23, 2024 to Mar 27, 2025
Signals
1 dated events
- H••••• A•• C••••••• I••• filed its initial SEC registration (Form ADV)Feb 21, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- k••••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 225-603-1544reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 225-767-7228reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 318-401-0914reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••ANDCOMPANY.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 225-767-7228reportedpublic record, Form ADV, Mar 27, 2026
- Team page
- h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $45.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026