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•••••••• L•••
Latest filing Apr 21, 2026
First filing on the tape Mar 30, 2012 · 33 filings
SEC status approved since Jul 26, 1994
RAUM
$638M
reported, Item 5.F
Discretionary
13%
of RAUM
Private clients
99%
$630M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$160M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$638M as of Apr 21, 2026
Mar 30, 2012$123M then
HNW client RAUM$554M as of Apr 21, 2026
Mar 31, 2018$243M then
State-registered IARs (5.B.3)4 as of Apr 21, 2026
Mar 30, 20120 then
Employees (5.A)5 as of Apr 21, 2026
Mar 28, 20133 then
Private funds: no history
RAUM +18% over the last fiscal year+14% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Apr 21, 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
- $160MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $856,457derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 13%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $283M, 132 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$554M87%
- Individuals$76.1M12%
- Charitable organizations$3.5M0.5%
- Corporations and businesses$2.6M0.4%
- Pension and profit-sharing plans$1.7M0.3%
- Individual clients
- 197reported
- HNW clients
- 127reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 745reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $283M for 132 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• G••••• H••••••Certified Financial Planner | Chicago, Il | Aug 23, 1998 | 43 y | 0 |
| N••••••• M•••••• M••••• | Chicago, Il | Jul 30, 2019 | 21 y | 0 |
| A•••••••• V•••••• H••••••Certified Financial Planner | Chicago, Il | Jan 7, 2020 | 11 y | 0 |
| R••••• D•••••• D•••••• | Chicago, Il | Nov 13, 2023 | 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
- T••• M•••• B•••••• to B••••• D••••••• F•••• L••Dec 2, 2019 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• G•••••• G••••• · Trustee, T•• H•••••• D••••••••• O• T•••• U•• D•••• 1••••••••controlsince 01/2015 · owns 50% to 75%
- H••••••• J•••••• C••••••• · Chief Financial Officer/ Secretarycontrolsince 01/2020 · owns 50% to 75%
- M•••••• N•••••••• M•••••• · Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
Entity owners
- T•• H•••••• D••••••••• O• T•••• U•• D•••• 1•••••••• · Trustdirect · 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 |
|---|---|---|---|---|---|
| Chicago, Il · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Barrington, IL3 employees
What changed
consecutive filings, newest first
- Accounts · 719 to 745Mar 31, 2025 to Mar 26, 2026
- HNW clients · 114 to 127Mar 31, 2025 to Mar 26, 2026
- Individual clients · 202 to 197Mar 31, 2025 to Mar 26, 2026
- Assets in custody · $230M to $283MMar 31, 2025 to Mar 26, 2026
- Discretionary RAUM · $53.2M to $85.1MMar 31, 2025 to Mar 26, 2026
- HNW RAUM · $462M to $554MMar 31, 2025 to Mar 26, 2026
- Individual RAUM · $72.8M to $76.1MMar 31, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $488M to $553MMar 31, 2025 to Mar 26, 2026
- Pension RAUM · $1.1M to $1.7MMar 31, 2025 to Mar 26, 2026
- RAUM · $541M to $638MMar 31, 2025 to Mar 26, 2026
- Accounts · 694 to 719Mar 29, 2024 to Mar 31, 2025
- HNW clients · 105 to 114Mar 29, 2024 to Mar 31, 2025
- Individual clients · 160 to 202Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $201M to $230MMar 29, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $47.8M to $53.2MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $405M to $462MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $69.4M to $72.8MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $431M to $488MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $903,880 to $1.1MMar 29, 2024 to Mar 31, 2025
- RAUM · $479M to $541MMar 29, 2024 to Mar 31, 2025
- Accounts · 667 to 694Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 3 to 4Mar 31, 2023 to Mar 29, 2024
- HNW clients · 100 to 105Mar 31, 2023 to Mar 29, 2024
- Individual clients · 165 to 160Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $214M to $201MMar 31, 2023 to Mar 29, 2024
- Employees · 4 to 5Mar 31, 2023 to Mar 29, 2024
- State-registered IARs · 3 to 4Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $47.1M to $47.8MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $367M to $405MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $62.2M to $69.4MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $384M to $431MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $541,044 to $903,880Mar 31, 2023 to Mar 29, 2024
- RAUM · $431M to $479MMar 31, 2023 to Mar 29, 2024
- Accounts · 619 to 667Oct 31, 2022 to Mar 31, 2023
- HNW clients · 111 to 100Oct 31, 2022 to Mar 31, 2023
- Individual clients · 156 to 165Oct 31, 2022 to Mar 31, 2023
- Assets in custody · unset to 213542544.0Oct 31, 2022 to Mar 31, 2023
- Custody of client assets · false to trueOct 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $32.9M to $47.1MOct 31, 2022 to Mar 31, 2023
Signals
1 dated events
- Michael Nicholas Martin (Chief Compliance Officer) appeared on Schedule A of H•••••• A•••••••• L•••Jan 16, 2020 · 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
- 847-381-7314reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- hemsleyadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-381-7314reportedpublic record, Form ADV, Apr 21, 2026
- Contact form
- hemsleyadvisors.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- hemsleyadvisors.com/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
- $160Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026