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•• W••••• M•••••••••
Legal name H••••••• F•••••••• M••••••••• I••
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 19 filings
SEC status approved since Feb 6, 1989
RAUM
$700M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
70%
$493M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$99.9M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$700M as of Mar 27, 2026
Mar 29, 2012$731M then
HNW client RAUM$298M as of Mar 27, 2026
Mar 29, 2018$311M then
State-registered IARs (5.B.3)7 as of Mar 27, 2026
Mar 13, 20136 then
Employees (5.A)10 as of Mar 27, 2026
Mar 13, 201310 then
Private funds: no history
RAUM -1.9% over the last fiscal year-0.8% a year over threeIARs 5 to 7
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $99.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.6MderivedHNW RAUM over HNW clients
- Average account
- $3.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $124M, 62 clientsreportedItem 9.A
- 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$298M43%
- Individuals$195M28%
- Banks and thrifts$193M28%
- Pension and profit-sharing plans$7.4M1.1%
- Charitable organizations$5.2M0.7%
- Corporations and businesses$1.0M0.1%
- Individual clients
- 145reported
- HNW clients
- 31reported
- Pension plan clients
- 2reported
- Charitable clients
- 4reported
- Accounts
- 185reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $124M for 62 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.7 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• D•••• Q••••• | Hartford, Ct | Mar 27, 1989 | 40 y | 0 |
| E••• B•••• A••••••• | Hartford, Ct | Oct 9, 1996 | 30 y | 0 |
| K•••• C•••••• Q••••• | West Hartford, Ct | Aug 20, 2013 | 16 y | 0 |
| J•••• R••• R•••••••Certified Financial Planner, Chartered Financial Analyst | West Hartford, Ct | Jan 27, 2020 | 15 y | 4 |
| C••••••••• S••• P•••••Chartered Financial Analyst | West Hartford, Ct | Dec 21, 2021 | 12 y | 0 |
| J••••• D••••• G•••••• | West Hartford, Ct | May 12, 2025 | 11 y | 0 |
| J•• E• N••••••• | West Hartford, Ct | Jul 29, 2025 | 17 y | 0 |
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
- C••••••••• J•• D•••• to M•• F•••••••• S•••••••• I•••Jan 8, 2013 · Other
Joined, latest
- J•••• R••• R••••••• from G•••• P•••••• W•••••Jan 27, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• A••• E•••••• · Chief Compliance Officer, Treasurercontrolsince 09/2004 · owns less than 5%
- Q•••••• K••••• C•••••• · Presidentcontrolsince 10/2020 · owns less than 5%
- Q•••••• R•••••• D•••• · Ownercontrolsince 10/1988 · 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 |
|---|---|---|---|---|---|
| West Hartford, Ct · principal | 5 | 0 | 0 | ||
| Hartford, Ct | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 186 to 185Mar 27, 2025 to Mar 27, 2026
- Advisory employees · 5 to 6Mar 27, 2025 to Mar 27, 2026
- Charity clients · 3 to 4Mar 27, 2025 to Mar 27, 2026
- HNW clients · 29 to 31Mar 27, 2025 to Mar 27, 2026
- Individual clients · 148 to 145Mar 27, 2025 to Mar 27, 2026
- Assets in custody · $146M to $124MMar 27, 2025 to Mar 27, 2026
- State-registered IARs · 5 to 7Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $711M to $698MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $265M to $298MMar 27, 2025 to Mar 27, 2026
- Individual RAUM · $181M to $195MMar 27, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $2.3M to $2.0MMar 27, 2025 to Mar 27, 2026
- Pension RAUM · $6.8M to $7.4MMar 27, 2025 to Mar 27, 2026
- RAUM · $713M to $700MMar 27, 2025 to Mar 27, 2026
- Assets in custody · $95.7M to $146MJan 26, 2025 to Mar 27, 2025
- Financial planning clients · 51-100 to 51-100Jan 26, 2025 to Mar 27, 2025
- Advisory employees · 6 to 5Mar 26, 2024 to Jan 26, 2025
- HNW clients · 23 to 29Mar 26, 2024 to Jan 26, 2025
- Individual clients · 154 to 148Mar 26, 2024 to Jan 26, 2025
- HQ city · HARTFORD to WEST HARTFORDMar 26, 2024 to Jan 26, 2025
- State-registered IARs · 6 to 5Mar 26, 2024 to Jan 26, 2025
- Discretionary RAUM · $683M to $711MMar 26, 2024 to Jan 26, 2025
- HNW RAUM · $213M to $265MMar 26, 2024 to Jan 26, 2025
- Individual RAUM · $202M to $181MMar 26, 2024 to Jan 26, 2025
- Non-discretionary RAUM · $2.4M to $2.3MMar 26, 2024 to Jan 26, 2025
- Pension RAUM · $6.4M to $6.8MMar 26, 2024 to Jan 26, 2025
- RAUM · $685M to $713MMar 26, 2024 to Jan 26, 2025
- Accounts · 197 to 186Mar 24, 2023 to Mar 26, 2024
- Charity clients · 12 to 3Mar 24, 2023 to Mar 26, 2024
- Corporate clients · unset to 1.0Mar 24, 2023 to Mar 26, 2024
- HNW clients · 18 to 23Mar 24, 2023 to Mar 26, 2024
- Individual clients · 160 to 154Mar 24, 2023 to Mar 26, 2024
- Assets in custody · $50.0M to $95.7MMar 24, 2023 to Mar 26, 2024
- Discretionary RAUM · $712M to $683MMar 24, 2023 to Mar 26, 2024
- HNW RAUM · $164M to $213MMar 24, 2023 to Mar 26, 2024
- Individual RAUM · $212M to $202MMar 24, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $4.1M to $2.4MMar 24, 2023 to Mar 26, 2024
- Pension RAUM · $7.6M to $6.4MMar 24, 2023 to Mar 26, 2024
- RAUM · $716M to $685MMar 24, 2023 to Mar 26, 2024
- Accounts · 195 to 197Aug 2, 2022 to Mar 24, 2023
- Advisory employees · 7 to 6Aug 2, 2022 to Mar 24, 2023
Signals
1 dated events
- Charles Kevin Quiros (Vice President) appeared on Schedule A of H•• W••••• M•••••••••Mar 24, 2021 · Control person joined · 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 phone
- 800-288-2418reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 860-241-0028reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••S://WWW.HFMONLINE.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-241-0028reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- hfmonline.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- hfmonline.com/about/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $99.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026