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
M••••• H••••• I••••••••• I••
Latest filing Mar 17, 2026
First filing on the tape Mar 29, 2012 · 41 filings
SEC status approved since Dec 5, 1986
RAUM
$3.8B
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
22%
$823M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$953M
derived; firm RAUM over IAPD count
Employees
34
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$3.8B as of Mar 17, 2026
Mar 29, 2012$3.0B then
HNW client RAUM$329M as of Mar 17, 2026
Mar 28, 2018$280M then
State-registered IARs (5.B.3)2 as of Mar 17, 2026
Mar 15, 20133 then
Employees (5.A)34 as of Mar 17, 2026
Mar 15, 201334 then
Private funds: no history
RAUM +10% over the last fiscal year+6.6% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
- RAUM per advisor
- $953MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 465derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$494M34%
- Investment companies$401M28%
- High-net-worth individuals$329M23%
- Corporations and businesses$194M14%
- Pension and profit-sharing plans$13.6M0.9%
- State and municipal entities$9.0M0.6%
- Individual clients
- 1,697reported
- HNW clients
- 163reported
- Pension plan clients
- 25reported
- Charitable clients
- n/areported
- Accounts
- 2,034reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $2.8B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.22 fund_share=0.11 institutional_share=0.01 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••• G••••• M••••• | Woods••••, Ny | Nov 1, 2002 | 55 y | 0 |
| J••• M••••• P••••••• | Kingston, Ny | May 29, 2012 | 40 y | 2 |
| B•••• J••••• S••••• | Sunbury, Oh | Sep 30, 2014 | 24 y | 0 |
| S•••• M• M••••Chartered Financial Analyst | Kingston, Ny | Mar 24, 2025 | 10 y | 1 |
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
- E••• S••••• T••••• to C••••• I••••••••• A••••••• L••Mar 16, 2018 · Other
- J••••• C••••••••• M••••••• to C•••••• S••••• • C••• I•••Sep 20, 2017 · Other
- T••••• L••• W••••••••• to B•• A•••• M••••••••• C••••Mar 1, 2017 · Other
Joined, latest
- S•••• M• M•••• from D••••••••• F••• A••••••• L•Mar 24, 2025 · Other
- J••••• C••••••••• M••••••• from I••••• F•••••••• C•••••••••Aug 17, 2015 · Other
- T••••• L••• W••••••••• from N••••• A•••• M••••••••• L••Apr 8, 2014 · Other
- J••• M••••• P••••••• from A••••••• F•••••••• A•••••••• L••May 29, 2012 · Other
- E••• S••••• T••••• from M••••••• I••••••••• M••••••••• ••• L••Feb 4, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• C••••••• M•••••• · Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- H•••••••• B••••• E••••• · Chief Financial Officercontrolsince 05/2018 · owns less than 5%
- H•••••••• E••• M•••• · Director/Chief Operating Officer/Secretarycontrolsince 01/2020 · owns less than 5%
- J••••••• L•••• E•••••••• · Director/President/Ceocontrolsince 06/2016 · owns less than 5%
- J•••••••• C••••••••• M••• · Chief Marketing Officercontrolsince 06/2021 · owns less than 5%
- P•••••• G••••••• L•• · Chief I•••••Ment Officercontrolsince 11/2020 · owns less than 5%
- H•••••• H•••• · Director/Chairsince 04/1993 · owns less than 5%
- H•••••• D•••••••• F•••••• · Director Officer/Secretarysince 11/2018 · owns less than 5%
- L•••••• J•••• E••••• · Director/Portfolio Manager/Senior Research Analystsince 12/2018 · owns less than 5%
- R•••• B••••••• · Directorsince 06/2022 · owns less than 5%
Entity owners
- M••••••••• I••••••••• I••• E••••••• S•••• O•••••••• T•••• · Trustdirect · owns 75% or more
- S•••••••• T•••• · Trusteedirect · owns less than 5%
Related persons
Schedule D 7.A
- M•• F••••• L••investment advisery
Advisers that list M••••• H••••• I••••••••• I•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kingston, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Mar 17, 2026private clients per advisor of 465.0 against a peer median of 64.5 (1151 comparable advisers, 98.0th percentile, 9.8 robust deviations)peers: independent wealth managers, $1B to $5B (1,151) · 98% percentile
- very high RAUM per advisorStatic outlier · filing Mar 17, 2026RAUM per registered advisor of $952,695,375 against a peer median of $146,690,280 (1222 comparable advisers, 99.0th percentile, 8.2 robust deviations)peers: independent wealth managers, $1B to $5B (1,222) · 99% percentile
- control person changedChange between filings · filing Mar 17, 2026H•••••••• E••• M•••• (DIRECTOR/CHIEF OPERATING OFFICER/SECRETARY) left Schedule A between the filings of 2023-06-30 and 2026-03-17peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 17, 2026A•••••• C••••••• M•••••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2023-06-30 and 2026-03-17peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,083 to 2,034Oct 22, 2025 to Mar 17, 2026
- Corporate clients · 88 to 81Oct 22, 2025 to Mar 17, 2026
- HNW clients · 137 to 163Oct 22, 2025 to Mar 17, 2026
- Individual clients · 1,765 to 1,697Oct 22, 2025 to Mar 17, 2026
- Pension plan clients · 32 to 25Oct 22, 2025 to Mar 17, 2026
- State-registered IARs · 1 to 2Oct 22, 2025 to Mar 17, 2026
- Discretionary RAUM · $3.1B to $3.4BOct 22, 2025 to Mar 17, 2026
- HNW RAUM · $280M to $329MOct 22, 2025 to Mar 17, 2026
- Individual RAUM · $495M to $494MOct 22, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $350M to $433MOct 22, 2025 to Mar 17, 2026
- Pension RAUM · $13.6M to $13.6MOct 22, 2025 to Mar 17, 2026
- RAUM · $3.5B to $3.8BOct 22, 2025 to Mar 17, 2026
- Wrap assets (manager) · $2.6B to $2.8BOct 22, 2025 to Mar 17, 2026
- Financial planning clients · 0 to 0Mar 19, 2025 to Oct 22, 2025
- Accounts · 2,253 to 2,083Mar 28, 2024 to Mar 19, 2025
- Corporate clients · 101 to 88Mar 28, 2024 to Mar 19, 2025
- HNW clients · 106 to 137Mar 28, 2024 to Mar 19, 2025
- Individual clients · 1,937 to 1,765Mar 28, 2024 to Mar 19, 2025
- Pension plan clients · 40 to 32Mar 28, 2024 to Mar 19, 2025
- Discretionary RAUM · $2.9B to $3.1BMar 28, 2024 to Mar 19, 2025
- HNW RAUM · $239M to $280MMar 28, 2024 to Mar 19, 2025
- Individual RAUM · $500M to $495MMar 28, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $302M to $350MMar 28, 2024 to Mar 19, 2025
- Pension RAUM · $14.1M to $13.6MMar 28, 2024 to Mar 19, 2025
- RAUM · $3.2B to $3.5BMar 28, 2024 to Mar 19, 2025
- Wrap assets (manager) · $2.3B to $2.6BMar 28, 2024 to Mar 19, 2025
- Accounts · 2,274 to 2,253Jun 30, 2023 to Mar 18, 2024
- BD registered reps · 6 to 8Jun 30, 2023 to Mar 18, 2024
- Corporate clients · 114 to 101Jun 30, 2023 to Mar 18, 2024
- HNW clients · 96 to 106Jun 30, 2023 to Mar 18, 2024
- Individual clients · 1,962 to 1,937Jun 30, 2023 to Mar 18, 2024
- Pension plan clients · 38 to 40Jun 30, 2023 to Mar 18, 2024
- Employees · 32 to 34Jun 30, 2023 to Mar 18, 2024
- State-registered IARs · 0 to 1Jun 30, 2023 to Mar 18, 2024
- Discretionary RAUM · $2.8B to $2.9BJun 30, 2023 to Mar 18, 2024
- HNW RAUM · $212M to $239MJun 30, 2023 to Mar 18, 2024
- Individual RAUM · $479M to $500MJun 30, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $317M to $302MJun 30, 2023 to Mar 18, 2024
- Pension RAUM · $14.5M to $14.1MJun 30, 2023 to Mar 18, 2024
- RAUM · $3.1B to $3.2BJun 30, 2023 to Mar 18, 2024
Signals
8 dated events
- Ann Beth Roth (Director) appeared on Schedule A of M••••• H••••• I••••••••• I••Jun 30, 2022 · Control person joined · fact
- Chase Dana Troxell (Director/Vice President Of The Board) no longer on Schedule A of M••••• H••••• I••••••••• I•• (listed 2021-03-31, absent 2021-08-03)Aug 3, 2021 · Control person left · inference
- Gerard Luc Theeuwes (Director) no longer on Schedule A of M••••• H••••• I••••••••• I•• (listed 2021-03-31, absent 2021-08-03)Aug 3, 2021 · Control person left · inference
- Lee Gregory Powell (Chief Investment Officer) appeared on Schedule A of M••••• H••••• I••••••••• I••Aug 3, 2021 · Control person joined · fact
- M Catherine Johnston (Chief Marketing Officer) appeared on Schedule A of M••••• H••••• I••••••••• I••Aug 3, 2021 · Control person joined · fact
- M••••• H••••• I••••••••• I•• reported RAUM $2.4B, down 41% from $4.2B (2020-06-18 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Marie Eva Horowitz (Chief Operating Officer) appeared on Schedule A of M••••• H••••• I••••••••• I••Jan 10, 2020 · Control person joined · fact
- M••••• H••••• I••••••••• I•• reported RAUM $4.4B, down 26% from $6.0B (2018-11-21 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
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
- ops@mhinvest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- esg@mhinvest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- internals@mhinvest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 845-679-9166reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/M•••••-H•••••-I•••••MENTSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 845-679-9166reportedpublic record, Form ADV, Mar 17, 2026
- Team page
- mhinvest.com/peoplereportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $953Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026