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••••••••• C••••••• I•••
Latest filing Mar 6, 2026
First filing on the tape Mar 30, 2012 · 38 filings
SEC status approved since Apr 17, 1997
RAUM
$412M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$377M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$412M as of Mar 6, 2026
Mar 30, 2012$159M then
HNW client RAUM$289M as of Mar 6, 2026
Mar 26, 2018$188M then
State-registered IARs (5.B.3)3 as of Mar 6, 2026
Mar 30, 20120 then
Employees (5.A)9 as of Mar 6, 2026
Apr 1, 20136 then
Private funds: no history
RAUM +12% over the last fiscal year+7.2% a year over threeIARs 3 to 3offices 3 to 2
Practice profile
derived from the filing of Mar 6, 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
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 173derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $367,543derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $90.9M, 67 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$289M70%
- Individuals$88.0M21%
- Charitable organizations$19.4M4.7%
- Pension and profit-sharing plans$15.0M3.6%
- Corporations and businesses$59,1960.0%
- Individual clients
- 398reported
- HNW clients
- 121reported
- Pension plan clients
- 14reported
- Charitable clients
- 10reported
- Accounts
- 1,120reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $90.9M for 67 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 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••••• F•••• H••• | Barrington, Ri | May 7, 1997 | 40 y | 0 |
| S•••••• M•••••• C•••• | Barrington, Ri | Nov 12, 2013 | 13 y | 0 |
| J••• P••• T•••••••Certified Financial Planner | Cumberland, Ri | Jun 15, 2015 | 11 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• R•••••• F•••• · Chairman; Director; Chief Compliance Officercontrolsince 02/1997 · owns 75% or more
Related persons
Schedule D 7.A
- J••• P• T•••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Barrington, Ri · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Cumberland, RI1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 6, 2026hourly charges (Item 5.E.2): no on the filing of 2025-11-05, yes on the filing of 2026-03-06peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,067 to 1,120Nov 5, 2025 to Mar 6, 2026
- Advisory activities · 3 to 4Nov 5, 2025 to Mar 6, 2026
- Charity clients · 9 to 10Nov 5, 2025 to Mar 6, 2026
- HNW clients · 114 to 121Nov 5, 2025 to Mar 6, 2026
- Individual clients · 385 to 398Nov 5, 2025 to Mar 6, 2026
- Pension plan clients · 6 to 14Nov 5, 2025 to Mar 6, 2026
- Assets in custody · $78.3M to $90.9MNov 5, 2025 to Mar 6, 2026
- Financial planning clients · 11-25 to 26-50Nov 5, 2025 to Mar 6, 2026
- Other offices · 3 to 2Nov 5, 2025 to Mar 6, 2026
- Discretionary RAUM · $367M to $410MNov 5, 2025 to Mar 6, 2026
- HNW RAUM · $258M to $289MNov 5, 2025 to Mar 6, 2026
- Individual RAUM · $83.3M to $88.0MNov 5, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $2.2M to $1.8MNov 5, 2025 to Mar 6, 2026
- Pension RAUM · $9.6M to $15.0MNov 5, 2025 to Mar 6, 2026
- RAUM · $369M to $412MNov 5, 2025 to Mar 6, 2026
- Financial planning clients · 11-25 to 11-25Feb 18, 2025 to Jul 22, 2025
- Accounts · 493 to 1,067Nov 6, 2024 to Feb 18, 2025
- HNW clients · 107 to 114Nov 6, 2024 to Feb 18, 2025
- Individual clients · 370 to 385Nov 6, 2024 to Feb 18, 2025
- Assets in custody · $56.1M to $78.3MNov 6, 2024 to Feb 18, 2025
- Employees · 8 to 9Nov 6, 2024 to Feb 18, 2025
- Discretionary RAUM · $341M to $367MNov 6, 2024 to Feb 18, 2025
- HNW RAUM · $240M to $258MNov 6, 2024 to Feb 18, 2025
- Individual RAUM · $77.4M to $83.3MNov 6, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $1.8M to $2.2MNov 6, 2024 to Feb 18, 2025
- Pension RAUM · $8.2M to $9.6MNov 6, 2024 to Feb 18, 2025
- RAUM · $343M to $369MNov 6, 2024 to Feb 18, 2025
- Accounts · 998 to 493Dec 4, 2023 to Mar 4, 2024
- HNW clients · 95 to 107Dec 4, 2023 to Mar 4, 2024
- Individual clients · 378 to 370Dec 4, 2023 to Mar 4, 2024
- Pension plan clients · 5 to 6Dec 4, 2023 to Mar 4, 2024
- Assets in custody · $0 to $56.1MDec 4, 2023 to Mar 4, 2024
- Custody of client assets · false to trueDec 4, 2023 to Mar 4, 2024
- Financial planning clients · 1-10 to 11-25Dec 4, 2023 to Mar 4, 2024
- Discretionary RAUM · $333M to $341MDec 4, 2023 to Mar 4, 2024
- HNW RAUM · $226M to $240MDec 4, 2023 to Mar 4, 2024
- Individual RAUM · $85.8M to $77.4MDec 4, 2023 to Mar 4, 2024
- Non-discretionary RAUM · $1.3M to $1.8MDec 4, 2023 to Mar 4, 2024
- Pension RAUM · $6.5M to $8.2MDec 4, 2023 to Mar 4, 2024
- RAUM · $335M to $343MDec 4, 2023 to Mar 4, 2024
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
- Business phone
- 401-245-0049reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- hallcapitalmgmt.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (401) 245-0049reportedpublic record, Form ADV, Mar 6, 2026
- Contact form
- hallcapitalmgmt.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- hallcapitalmgmt.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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026