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••••••••• F•••••••• C••••••••• I••
Legal name H••••••••• F•••••••• C••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 19 filings
SEC status approved since May 25, 2000
RAUM
$185M
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
97%
$179M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$46.3M
derived; firm RAUM over IAPD count
Employees
5
3 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$185M as of Mar 31, 2026
Mar 30, 2012$91.2M then
HNW client RAUM$158M as of Mar 31, 2026
Mar 29, 2018$80.5M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)5 as of Mar 31, 2026
Mar 28, 20134 then
Private funds: no history
RAUM +23% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 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
- $46.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $548,961derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$158M85%
- Individuals$21.0M11%
- Pension and profit-sharing plans$6.0M3.2%
- Individual clients
- 89reported
- HNW clients
- 68reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 337reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• Z•• W••••• | Princeton, Nj | Feb 19, 2019 | 13 y | 0 |
| D••••• L•• W•••••Certified Financial Planner | Princeton, Nj | Aug 15, 2023 | 16 y | 0 |
| D•••• W•••••Certified Financial Planner | Princeton, Nj | Jan 1, 2026 | 26 y | 0 |
| B•••••• J••• C•••••••• | Princeton, Nj | Jan 1, 2026 | 26 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
- W•••••• D•••• · President And Chief Compliance Officercontrolsince 02/2000 · owns 75% or more
Related persons
Schedule D 7.A
- D•••• W•••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Princeton, Nj · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 347 to 337Mar 28, 2025 to Mar 31, 2026
- HNW clients · 59 to 68Mar 28, 2025 to Mar 31, 2026
- Individual clients · 100 to 89Mar 28, 2025 to Mar 31, 2026
- Insurance-licensed employees · 1 to 0Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $91.0M to $122MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $119M to $158MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $18.0M to $21.0MMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $59.0M to $63.0MMar 28, 2025 to Mar 31, 2026
- Pension RAUM · $5.0M to $6.0MMar 28, 2025 to Mar 31, 2026
- RAUM · $150M to $185MMar 28, 2025 to Mar 31, 2026
- Accounts · 369 to 347Mar 27, 2024 to Mar 28, 2025
- HNW clients · 53 to 59Mar 27, 2024 to Mar 28, 2025
- Insurance-licensed employees · 0 to 1Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 1-10Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $83.0M to $91.0MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $112M to $119MMar 27, 2024 to Mar 28, 2025
- Individual RAUM · $19.0M to $18.0MMar 27, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $53.0M to $59.0MMar 27, 2024 to Mar 28, 2025
- Pension RAUM · $5.2M to $5.0MMar 27, 2024 to Mar 28, 2025
- RAUM · $136M to $150MMar 27, 2024 to Mar 28, 2025
- HNW clients · 50 to 53Mar 31, 2023 to Mar 27, 2024
- Individual clients · 75 to 100Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $72.0M to $83.0MMar 31, 2023 to Mar 27, 2024
- HNW RAUM · $111M to $112MMar 31, 2023 to Mar 27, 2024
- Individual RAUM · $14.9M to $19.0MMar 31, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $58.1M to $53.0MMar 31, 2023 to Mar 27, 2024
- Pension RAUM · $4.5M to $5.2MMar 31, 2023 to Mar 27, 2024
- RAUM · $130M to $136MMar 31, 2023 to Mar 27, 2024
- Accounts · 170 to 369Nov 14, 2022 to Mar 31, 2023
- HNW clients · 53 to 50Nov 14, 2022 to Mar 31, 2023
- Individual clients · 117 to 75Nov 14, 2022 to Mar 31, 2023
- Discretionary RAUM · $64.1M to $72.0MNov 14, 2022 to Mar 31, 2023
- HNW RAUM · $114M to $111MNov 14, 2022 to Mar 31, 2023
- Individual RAUM · $16.8M to $14.9MNov 14, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $71.4M to $58.1MNov 14, 2022 to Mar 31, 2023
- Pension RAUM · $4.6M to $4.5MNov 14, 2022 to Mar 31, 2023
- RAUM · $135M to $130MNov 14, 2022 to Mar 31, 2023
- Accounts · 342 to 170Mar 30, 2021 to Mar 31, 2022
- Advisory employees · 2 to 3Mar 30, 2021 to Mar 31, 2022
- HNW clients · 105 to 53Mar 30, 2021 to Mar 31, 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 phone
- 609-921-0180reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (609) 921-0180reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $46.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026