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••••• C•••••• M••••••••• I••
Latest filing Mar 10, 2026
First filing on the tape Mar 2, 2012 · 19 filings
SEC status approved since May 28, 1996
RAUM
$579M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$535M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$193M
derived; firm RAUM over IAPD count
Employees
5
3 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$579M as of Mar 10, 2026
Mar 2, 2012$250M then
HNW client RAUM$510M as of Mar 10, 2026
Feb 21, 2018$315M then
State-registered IARs (5.B.3)3 as of Mar 10, 2026
Mar 6, 20133 then
Employees (5.A)5 as of Mar 10, 2026
Mar 6, 20135 then
Private funds: no history
RAUM +11% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $193MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $3.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- -0.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$510M88%
- Charitable organizations$33.1M5.7%
- Individuals$25.4M4.4%
- Corporations and businesses$10.7M1.8%
- Pension and profit-sharing plans$548,4280.1%
- Individual clients
- 62reported
- HNW clients
- 100reported
- Pension plan clients
- 2reported
- Charitable clients
- 6reported
- Accounts
- 172reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• D••• H•••••Chartered Financial Analyst | Palm Beach, Fl | Aug 25, 2006 | 30 y | 0 |
| A•••••••• T••••••• H••••• | Palm Beach, Fl | Nov 4, 2025 | 19 y | 0 |
| S••••• H••••• B•••••••• | Palm Beach, Fl | Nov 19, 2025 | 19 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
- J••••• D•••• F•••••• to A••• F•••••• A•• C••••••• I•••Nov 2, 2005 · Other
- L•••• N••••• A•• to A••• F•••••• A•• C••••••• I•••Nov 2, 2005 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• S•••••• H••••• · Executive Vice President/Ccocontrolsince 09/2011 · owns 25% to 50%
- H•••••• A••••••••• T••••••• · President And Ceocontrolsince 01/2016 · owns 25% to 50%
- H•••••• R•••••• D••• · Chairmancontrolsince 01/2016 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Palm Beach, Fl · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 173 to 172Mar 25, 2025 to Mar 10, 2026
- HNW clients · 94 to 100Mar 25, 2025 to Mar 10, 2026
- Individual clients · 69 to 62Mar 25, 2025 to Mar 10, 2026
- Discretionary RAUM · $523M to $579MMar 25, 2025 to Mar 10, 2026
- HNW RAUM · $453M to $510MMar 25, 2025 to Mar 10, 2026
- Individual RAUM · $28.8M to $25.4MMar 25, 2025 to Mar 10, 2026
- Pension RAUM · $431,823 to $548,428Mar 25, 2025 to Mar 10, 2026
- RAUM · $523M to $579MMar 25, 2025 to Mar 10, 2026
- Accounts · 175 to 173Mar 4, 2024 to Mar 25, 2025
- Charity clients · 7 to 6Mar 4, 2024 to Mar 25, 2025
- Corporate clients · 3 to 2Mar 4, 2024 to Mar 25, 2025
- HNW clients · 84 to 94Mar 4, 2024 to Mar 25, 2025
- Individual clients · 80 to 69Mar 4, 2024 to Mar 25, 2025
- Pension plan clients · 1 to 2Mar 4, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 4, 2024 to Mar 25, 2025
- Discretionary RAUM · $426M to $523MMar 4, 2024 to Mar 25, 2025
- HNW RAUM · $351M to $453MMar 4, 2024 to Mar 25, 2025
- Individual RAUM · $36.3M to $28.8MMar 4, 2024 to Mar 25, 2025
- Pension RAUM · $232,376 to $431,823Mar 4, 2024 to Mar 25, 2025
- RAUM · $426M to $523MMar 4, 2024 to Mar 25, 2025
- Accounts · 177 to 175Mar 2, 2023 to Mar 4, 2024
- HNW clients · 79 to 84Mar 2, 2023 to Mar 4, 2024
- Individual clients · 87 to 80Mar 2, 2023 to Mar 4, 2024
- Discretionary RAUM · $369M to $426MMar 2, 2023 to Mar 4, 2024
- HNW RAUM · $293M to $351MMar 2, 2023 to Mar 4, 2024
- Individual RAUM · $40.5M to $36.3MMar 2, 2023 to Mar 4, 2024
- Pension RAUM · $179,664 to $232,376Mar 2, 2023 to Mar 4, 2024
- RAUM · $369M to $426MMar 2, 2023 to Mar 4, 2024
- Accounts · 182 to 177Mar 8, 2022 to Mar 2, 2023
- Corporate clients · 4 to 3Mar 8, 2022 to Mar 2, 2023
- HNW clients · 85 to 79Mar 8, 2022 to Mar 2, 2023
- Individual clients · 85 to 87Mar 8, 2022 to Mar 2, 2023
- Financial planning clients · unset to 0Mar 8, 2022 to Mar 2, 2023
- Discretionary RAUM · $453M to $369MMar 8, 2022 to Mar 2, 2023
- HNW RAUM · $371M to $293MMar 8, 2022 to Mar 2, 2023
- Individual RAUM · $43.2M to $40.5MMar 8, 2022 to Mar 2, 2023
- Pension RAUM · $128,342 to $179,664Mar 8, 2022 to Mar 2, 2023
- RAUM · $453M to $369MMar 8, 2022 to Mar 2, 2023
- Accounts · 163 to 182Mar 15, 2021 to Mar 8, 2022
- HNW clients · 79 to 85Mar 15, 2021 to Mar 8, 2022
Signals
No event on the tape.
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
- Website
- H•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 561-804-9181reportedpublic record, Form ADV, Mar 10, 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
- $193Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026