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•••••••••
Legal name H••••••• A••••••••• I•••
Latest filing Feb 26, 2026
First filing on the tape Mar 9, 2012 · 19 filings
SEC status approved since May 4, 1983
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$120M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 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$120M as of Feb 26, 2026
Mar 9, 2012$120M then
HNW client RAUM$85.2M as of Feb 26, 2026
Mar 23, 2018$52.0M then
State-registered IARs (5.B.3)1 as of Feb 26, 2026
Mar 18, 20131 then
Employees (5.A)2 as of Feb 26, 2026
Mar 18, 20133 then
Private funds: no history
RAUM +9.5% over the last fiscal year+2.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 26, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 153derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $876,761derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 5.G
- Custody
- $84.9M, 137 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$85.2M71%
- Individuals$34.7M29%
- Charitable organizations$241,2640.2%
- Individual clients
- 116reported
- HNW clients
- 37reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 137reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $84.9M for 137 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- P••• J••••• N•••• to D••••••• P••••••• L•••••Nov 22, 2013 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- U••••• M••••••• A•••••• · President/Chief Compliance Officercontrolsince 08/1990 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 147 to 137Mar 20, 2025 to Feb 26, 2026
- HNW clients · 29 to 37Mar 20, 2025 to Feb 26, 2026
- Assets in custody · $79.7M to $84.9MMar 20, 2025 to Feb 26, 2026
- Discretionary RAUM · $110M to $120MMar 20, 2025 to Feb 26, 2026
- HNW RAUM · $70.6M to $85.2MMar 20, 2025 to Feb 26, 2026
- Individual RAUM · $38.8M to $34.7MMar 20, 2025 to Feb 26, 2026
- RAUM · $110M to $120MMar 20, 2025 to Feb 26, 2026
- Accounts · 163 to 147Mar 27, 2024 to Mar 20, 2025
- HNW clients · 30 to 29Mar 27, 2024 to Mar 20, 2025
- Individual clients · 131 to 116Mar 27, 2024 to Mar 20, 2025
- Assets in custody · $82.6M to $79.7MMar 27, 2024 to Mar 20, 2025
- Financial planning clients · 26-50 to 11-25Mar 27, 2024 to Mar 20, 2025
- Discretionary RAUM · $112M to $110MMar 27, 2024 to Mar 20, 2025
- HNW RAUM · $71.2M to $70.6MMar 27, 2024 to Mar 20, 2025
- Individual RAUM · $39.8M to $38.8MMar 27, 2024 to Mar 20, 2025
- RAUM · $112M to $110MMar 27, 2024 to Mar 20, 2025
- Accounts · 170 to 163Mar 21, 2023 to Mar 27, 2024
- Advisory employees · 2 to 1Mar 21, 2023 to Mar 27, 2024
- HNW clients · 34 to 30Mar 21, 2023 to Mar 27, 2024
- Individual clients · 160 to 131Mar 21, 2023 to Mar 27, 2024
- Employees · 4 to 2Mar 21, 2023 to Mar 27, 2024
- State-registered IARs · 2 to 1Mar 21, 2023 to Mar 27, 2024
- Discretionary RAUM · $110M to $112MMar 21, 2023 to Mar 27, 2024
- HNW RAUM · $63.5M to $71.2MMar 21, 2023 to Mar 27, 2024
- Individual RAUM · $45.9M to $39.8MMar 21, 2023 to Mar 27, 2024
- RAUM · $110M to $112MMar 21, 2023 to Mar 27, 2024
- Accounts · 180 to 170Jul 19, 2022 to Mar 21, 2023
- Charity clients · 4 to 2Jul 19, 2022 to Mar 21, 2023
- HNW clients · 20 to 34Jul 19, 2022 to Mar 21, 2023
- Assets in custody · $88.7M to $82.6MJul 19, 2022 to Mar 21, 2023
- Discretionary RAUM · $129M to $110MJul 19, 2022 to Mar 21, 2023
- HNW RAUM · $77.1M to $63.5MJul 19, 2022 to Mar 21, 2023
- Individual RAUM · $50.2M to $45.9MJul 19, 2022 to Mar 21, 2023
- RAUM · $129M to $110MJul 19, 2022 to Mar 21, 2023
- Assets in custody · unset to 88705495.0Mar 30, 2022 to Jul 7, 2022
- Custody of client assets · false to trueMar 30, 2022 to Jul 7, 2022
- Accounts · 191 to 180Jul 9, 2021 to Mar 30, 2022
- HNW clients · 29 to 20Jul 9, 2021 to Mar 30, 2022
- Individual clients · 158 to 160Jul 9, 2021 to Mar 30, 2022
- Discretionary RAUM · $125M to $129MJul 9, 2021 to Mar 30, 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
- Business email
- h••@h•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- m•••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- w•••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 630-325-2977reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 630-325-7100reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-325-7180reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••ASSOCIATES.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 630-325-7100reportedpublic record, Form ADV, Feb 26, 2026
- Contact form
- h•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026