DFX Intelligence
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H••••••• A••• N• I••••••••• M•••••••••
Independent wealth manager, reporting $188M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $188M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- -17%
- Private clients
- 100% of RAUM, $188M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $227MRAUM now $188M
- Contact points 4
Every filed figure, and the identifiersCRD 109454 · SEC 801-118227 · 11 filingsShowHide
CRD 109454SEC 801-118227Legal name H•••••• A••• N•••••First filing on the tape Feb 13, 2020, latest Sep 14, 2026SEC status approved since Mar 16, 2020IAPD
RAUM
$188M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$188M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$188M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$183M as of Jan 21, 2026
Jan 8, 2021$160M then
HNW client RAUM$170M as of Jan 21, 2026
Jan 8, 2021$148M then
State-registered IARs (5.B.3)1 as of Jan 21, 2026
Jan 8, 20211 then
Employees (5.A)1 as of Jan 21, 2026
Jan 8, 20211 then
Private funds: no history
RAUM -17% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $188MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$174M92%
- Individuals$14.1M7.5%
- Individual clients
- 35reported
- HNW clients
- 40reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 129reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• N••••• H•••••• | Wellesley, Ma | Aug 30, 2002 | 38 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••••••• A•••• N••••• · Owner/Investment Advisor Representative/Chief Compliance Officercontrolsince 07/1994 · 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 · 137 to 129Jan 21, 2026 to Sep 14, 2026
- HNW clients · 45 to 40Jan 21, 2026 to Sep 14, 2026
- Financial planning clients · to unsetJan 21, 2026 to Sep 14, 2026
- HQ city · to unsetJan 21, 2026 to Sep 14, 2026
- HQ state · to unsetJan 21, 2026 to Sep 14, 2026
- Discretionary RAUM · $183M to $188MJan 21, 2026 to Sep 14, 2026
- HNW RAUM · $170M to $174MJan 21, 2026 to Sep 14, 2026
- Individual RAUM · $12.9M to $14.1MJan 21, 2026 to Sep 14, 2026
- RAUM · $183M to $188MJan 21, 2026 to Sep 14, 2026
- Related adviser · false to unsetJan 21, 2026 to Sep 14, 2026
- Related bank · false to unsetJan 21, 2026 to Sep 14, 2026
- Related broker-dealer · false to unsetJan 21, 2026 to Sep 14, 2026
- Related insurance company · false to unsetJan 21, 2026 to Sep 14, 2026
- Succession · false to unsetJan 21, 2026 to Sep 14, 2026
- Accounts · 145 to 137Jan 24, 2025 to Jan 21, 2026
- HNW clients · 53 to 45Jan 24, 2025 to Jan 21, 2026
- Discretionary RAUM · $227M to $183MJan 24, 2025 to Jan 21, 2026
- HNW RAUM · $212M to $170MJan 24, 2025 to Jan 21, 2026
- Individual RAUM · $15.0M to $12.9MJan 24, 2025 to Jan 21, 2026
- RAUM · $227M to $183MJan 24, 2025 to Jan 21, 2026
- HNW clients · 43 to 53Jan 12, 2024 to Jan 24, 2025
- Individual clients · 37 to 35Jan 12, 2024 to Jan 24, 2025
- Financial planning clients · unset to Jan 12, 2024 to Jan 24, 2025
- HQ city · unset to Jan 12, 2024 to Jan 24, 2025
- HQ state · unset to Jan 12, 2024 to Jan 24, 2025
- Discretionary RAUM · $184M to $227MJan 12, 2024 to Jan 24, 2025
- HNW RAUM · $172M to $212MJan 12, 2024 to Jan 24, 2025
- Individual RAUM · $11.7M to $15.0MJan 12, 2024 to Jan 24, 2025
- RAUM · $184M to $227MJan 12, 2024 to Jan 24, 2025
- Accounts · 134 to 145Jan 31, 2023 to Jan 12, 2024
- HNW clients · 42 to 43Jan 31, 2023 to Jan 12, 2024
- Individual clients · 42 to 37Jan 31, 2023 to Jan 12, 2024
- Discretionary RAUM · $137M to $184MJan 31, 2023 to Jan 12, 2024
- HNW RAUM · $124M to $172MJan 31, 2023 to Jan 12, 2024
- Individual RAUM · $13.0M to $11.7MJan 31, 2023 to Jan 12, 2024
- RAUM · $137M to $184MJan 31, 2023 to Jan 12, 2024
- Accounts · 142 to 134Aug 1, 2022 to Jan 31, 2023
- HNW clients · 51 to 42Aug 1, 2022 to Jan 31, 2023
- Individual clients · 48 to 42Aug 1, 2022 to Jan 31, 2023
- Discretionary RAUM · $164M to $137MAug 1, 2022 to Jan 31, 2023
Signals
1 dated events
- ••• LockedFeb 13, 2020 · First SEC registration · 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Sep 14, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Sep 14, 2026
- Contact form
- ••• Lockedreportedpublished 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
- $188Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026