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.
Former SEC-registered adviser
The Hogan-Knotts Financial Group, Inc.
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 17 filings
SEC status approved since Feb 10, 1989
RAUM
$332M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$299M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$332M as of Mar 31, 2026
Mar 30, 2012$144M then
HNW client RAUM$259M as of Mar 31, 2026
Mar 31, 2018$206M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Apr 1, 20132 then
Employees (5.A)4 as of Mar 31, 2026
Apr 1, 20134 then
Private funds: no history
RAUM +10% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $166MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $501,611derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$259M78%
- Individuals$40.3M12%
- Pension and profit-sharing plans$29.6M8.9%
- Corporations and businesses$2.6M0.8%
- Charitable organizations$237,9860.1%
- Individual clients
- 65reported
- HNW clients
- 85reported
- Pension plan clients
- 25reported
- Charitable clients
- 4reported
- Accounts
- 661reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months2 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- Robert Edward Hogan to The Mather Group, LLCJul 27, 2026 · RIA to RIA
- Timothy Andrew Knotts to The Mather Group, LLCJul 27, 2026 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for The Mather Group, LLCJul 27, 2026 · Red Bank, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Edward Robert Hogan · Presidentcontrolsince 04/1988 · owns 50% to 75%
- Andrew Timothy Knotts · Chief Compliance Officercontrolsince 07/2004 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Red Bank, Nj · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Jupiter, FL1 employees
What changed
consecutive filings, newest first
- Employees · 6 to 4Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $301M to $332MMar 26, 2025 to Mar 31, 2026
- HNW RAUM · $233M to $259MMar 26, 2025 to Mar 31, 2026
- Individual RAUM · $35.8M to $40.3MMar 26, 2025 to Mar 31, 2026
- Pension RAUM · $28.4M to $29.6MMar 26, 2025 to Mar 31, 2026
- RAUM · $301M to $332MMar 26, 2025 to Mar 31, 2026
- Accounts · 655 to 661Mar 21, 2024 to Mar 26, 2025
- HNW clients · 83 to 85Mar 21, 2024 to Mar 26, 2025
- Individual clients · 69 to 65Mar 21, 2024 to Mar 26, 2025
- Assets in custody · $92.5M to $97.0MMar 21, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Mar 21, 2024 to Mar 26, 2025
- Discretionary RAUM · $277M to $301MMar 21, 2024 to Mar 26, 2025
- HNW RAUM · $220M to $233MMar 21, 2024 to Mar 26, 2025
- Individual RAUM · $25.8M to $35.8MMar 21, 2024 to Mar 26, 2025
- Pension RAUM · $27.1M to $28.4MMar 21, 2024 to Mar 26, 2025
- RAUM · $277M to $301MMar 21, 2024 to Mar 26, 2025
- HNW clients · 82 to 83Mar 31, 2023 to Mar 21, 2024
- Individual clients · 70 to 69Mar 31, 2023 to Mar 21, 2024
- Pension plan clients · 28 to 25Mar 31, 2023 to Mar 21, 2024
- Assets in custody · $106M to $92.5MMar 31, 2023 to Mar 21, 2024
- Custody of client assets · true to falseMar 31, 2023 to Mar 21, 2024
- Discretionary RAUM · $249M to $277MMar 31, 2023 to Mar 21, 2024
- HNW RAUM · $197M to $220MMar 31, 2023 to Mar 21, 2024
- Individual RAUM · $23.8M to $25.8MMar 31, 2023 to Mar 21, 2024
- Pension RAUM · $24.4M to $27.1MMar 31, 2023 to Mar 21, 2024
- RAUM · $249M to $277MMar 31, 2023 to Mar 21, 2024
- Accounts · 641 to 655Mar 29, 2022 to Mar 31, 2023
- Charity clients · 3 to 4Mar 29, 2022 to Mar 31, 2023
- HNW clients · 81 to 82Mar 29, 2022 to Mar 31, 2023
- Individual clients · 65 to 70Mar 29, 2022 to Mar 31, 2023
- Pension plan clients · 29 to 28Mar 29, 2022 to Mar 31, 2023
- Assets in custody · $127M to $106MMar 29, 2022 to Mar 31, 2023
- Other offices · 0 to 1Mar 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $304M to $249MMar 29, 2022 to Mar 31, 2023
- HNW RAUM · $245M to $197MMar 29, 2022 to Mar 31, 2023
- Individual RAUM · $25.1M to $23.8MMar 29, 2022 to Mar 31, 2023
- Pension RAUM · $30.9M to $24.4MMar 29, 2022 to Mar 31, 2023
- RAUM · $304M to $249MMar 29, 2022 to Mar 31, 2023
- Accounts · 655 to 641May 6, 2021 to Mar 29, 2022
- Charity clients · 2 to 3May 6, 2021 to Mar 29, 2022
Signals
4 dated events
- The Hogan-Knotts Financial Group, Inc. no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $331.6M)Aug 3, 2026 · Left the SEC roster · derived
- Timothy Andrew Knotts left The Hogan-Knotts Financial Group, Inc. for The Mather Group, Llc (registered 2026-02-17)Jul 27, 2026 · Advisor changed firm · fact
- Robert Edward Hogan left The Hogan-Knotts Financial Group, Inc. for The Mather Group, Llc (registered 2026-02-26)Jul 27, 2026 · Advisor changed firm · fact
- 2 advisors left The Hogan-Knotts Financial Group, Inc. (Red Bank, NJ) for The Mather Group, LLC on the same dayJul 27, 2026 · Team lift-out · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026