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•• I••••••••• A••••••• I••
Latest filing Jul 2, 2026
First filing on the tape Mar 22, 2012 · 51 filings
SEC status approved since May 14, 1998
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.1B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$92.8M
derived; firm RAUM over IAPD count
Employees
13
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$1.1B as of Jul 2, 2026
Mar 22, 2012$297M then
HNW client RAUM$1.1B as of Jul 2, 2026
Mar 16, 2018$507M then
State-registered IARs (5.B.3)12 as of Jul 2, 2026
Mar 22, 20120 then
Employees (5.A)13 as of Jul 2, 2026
Mar 1, 20139 then
Private funds: no history
RAUM +15% over the last fiscal year+16% a year over threeIARs 13 to 12
Practice profile
derived from the filing of Jul 2, 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
- RAUM per advisor
- $92.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $770,144derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -15%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $467M, 184 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$1.1B95%
- Individuals$52.3M4.7%
- Pension and profit-sharing plans$1.7M0.2%
- Individual clients
- 129reported
- HNW clients
- 248reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,446reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $467M for 184 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
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• A•• S•••••••Certified Financial Planner | New Canaan, Ct | Oct 7, 2005 | 32 y | 1 |
| J••••••• H• H•••Certified Financial Planner | New Canaan, Ct | Jan 3, 2007 | 20 y | 0 |
| A•• G•••• S•••••••• | New Canaan, Ct | Nov 9, 2007 | 21 y | 0 |
| K•••• B•••••• C••••••Certified Financial Planner | New Canaan, Ct | Mar 17, 2014 | 12 y | 0 |
| A•••••• P••••• D••••••••Certified Financial Planner | New Canaan, Ct | Mar 28, 2014 | 33 y | 0 |
| A•••••••• G•••••• Z•••••••Chartered Financial Analyst | New Canaan, Ct | May 20, 2014 | 17 y | 3 |
| S•••••• R••• V•••• | New Canaan, Ct | Jun 1, 2018 | 31 y | 0 |
| S•••• S• Z••••••••• | New Canaan, Ct | Oct 1, 2021 | 14 y | 0 |
| J••••• W•••••• D•••••••• | New Canaan, Ct | Aug 17, 2022 | 29 y | 1 |
| J•••••• M•••• R••••• | New Canaan, Ct | Jun 5, 2024 | 14 y | 0 |
| T••••• L•• H•••Personal Financial Specialist | New Canaan, Ct | Jul 1, 2025 | 12 y | 0 |
| E•••••••• L••• P•••••••• | Denver, Co | Jun 22, 2026 | 14 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount1 left over 36 months
Left, latest
- B••••• J• S•••••• to T•••••• P•••• A•••••••• L••Apr 17, 2026 · RIA to RIA
Joined, latest
- J••••• W•••••• D•••••••• from F•••••• C•••••• L••Aug 17, 2022 · Other
- B••••• J• S•••••• from M••••• S••••••Jul 26, 2021 · Wirehouse to independent RIA
- A•••••••• G•••••• Z••••••• from C•••••••• G••••• M•••••• I•••May 20, 2014 · Other
- R•••• A•• S••••••• from W•••••••• F•••••••• A•••••••Oct 7, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• J••••••• K••• · Board Membercontrolsince 08/2019 · owns less than 5%
- S•••••••• R••••• A•• · Chairman And Chief Compliance Officercontrolsince 07/2006 · owns 25% to 50%
- Z•••••••• A••••••••• G•••••• · Chief Executive Officer & Presidentcontrolsince 12/2015 · owns 25% to 50%
- C••••••• K••••• B•••••• · Executive Vice President & Secretarysince 08/2017 · owns 10% to 25%
- D••••••••• A••••••• P••••• · Executive Vice Presidentsince 12/2022 · owns 10% to 25%
- Z••••••••• S••••• S• · Advisorsince 01/2026 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| New Canaan, Ct · principal | 12 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 11 to 12Apr 21, 2026 to Jul 2, 2026
- Employees · 12 to 13Apr 21, 2026 to Jul 2, 2026
- State-registered IARs · 11 to 12Apr 21, 2026 to Jul 2, 2026
- Advisory employees · 12 to 11Feb 24, 2026 to Apr 21, 2026
- Employees · 13 to 12Feb 24, 2026 to Apr 21, 2026
- State-registered IARs · 12 to 11Feb 24, 2026 to Apr 21, 2026
- Accounts · 1,411 to 1,446Nov 19, 2025 to Feb 24, 2026
- Advisory employees · 13 to 12Nov 19, 2025 to Feb 24, 2026
- HNW clients · 237 to 248Nov 19, 2025 to Feb 24, 2026
- Individual clients · 138 to 129Nov 19, 2025 to Feb 24, 2026
- Assets in custody · $369M to $467MNov 19, 2025 to Feb 24, 2026
- Employees · 14 to 13Nov 19, 2025 to Feb 24, 2026
- State-registered IARs · 13 to 12Nov 19, 2025 to Feb 24, 2026
- Discretionary RAUM · $969M to $1.1BNov 19, 2025 to Feb 24, 2026
- HNW RAUM · $911M to $1.1BNov 19, 2025 to Feb 24, 2026
- Individual RAUM · $53.9M to $52.3MNov 19, 2025 to Feb 24, 2026
- Pension RAUM · $3.7M to $1.7MNov 19, 2025 to Feb 24, 2026
- RAUM · $969M to $1.1BNov 19, 2025 to Feb 24, 2026
- Financial planning clients · 51-100 to 51-100Jun 3, 2025 to Jul 2, 2025
- Accounts · 1,390 to 1,411Mar 14, 2024 to Feb 24, 2025
- Advisory employees · 12 to 13Mar 14, 2024 to Feb 24, 2025
- HNW clients · 232 to 237Mar 14, 2024 to Feb 24, 2025
- Individual clients · 142 to 138Mar 14, 2024 to Feb 24, 2025
- Assets in custody · $263M to $369MMar 14, 2024 to Feb 24, 2025
- Employees · 13 to 14Mar 14, 2024 to Feb 24, 2025
- State-registered IARs · 12 to 13Mar 14, 2024 to Feb 24, 2025
- Discretionary RAUM · $860M to $969MMar 14, 2024 to Feb 24, 2025
- HNW RAUM · $805M to $911MMar 14, 2024 to Feb 24, 2025
- Individual RAUM · $51.9M to $53.9MMar 14, 2024 to Feb 24, 2025
- Pension RAUM · $3.1M to $3.7MMar 14, 2024 to Feb 24, 2025
- RAUM · $860M to $969MMar 14, 2024 to Feb 24, 2025
- Accounts · 1,315 to 1,390Jan 31, 2023 to Feb 26, 2024
- HNW clients · 222 to 232Jan 31, 2023 to Feb 26, 2024
- Individual clients · 139 to 142Jan 31, 2023 to Feb 26, 2024
- Assets in custody · $216M to $263MJan 31, 2023 to Feb 26, 2024
- Discretionary RAUM · $719M to $860MJan 31, 2023 to Feb 26, 2024
- HNW RAUM · $674M to $805MJan 31, 2023 to Feb 26, 2024
- Individual RAUM · $45.6M to $51.9MJan 31, 2023 to Feb 26, 2024
- Pension RAUM · unset to 3117230.0Jan 31, 2023 to Feb 26, 2024
- RAUM · $719M to $860MJan 31, 2023 to Feb 26, 2024
Signals
3 dated events
- B••••• J• S•••••• left H•• I••••••••• A••••••• I•• for T•••••• P•••• A•••••••• L•• (registered 2026-05-12)Apr 17, 2026 · Advisor changed firm · fact
- Kirk Jeffrey Sherwood (Board Member) appeared on Schedule A of H•• I••••••••• A••••••• I••Mar 13, 2021 · Control person joined · fact
- Thomas Harmon Gnuse (Chairman, Member) no longer on Schedule A of H•• I••••••••• A••••••• I•• (listed 2018-11-13, absent 2019-03-18)Mar 18, 2019 · Control person left · inference
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
- i•••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-972-8262reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/htg-investment-advisors-inc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-972-8262reportedpublic record, Form ADV, Jul 2, 2026
- Contact form
- h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- h•••••••••.comreportedpublished 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
- $92.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026