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••••••••• C••••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Mar 23, 2012 · 32 filings
SEC status approved since Feb 19, 1988
RAUM
$549M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$523M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$549M as of Mar 9, 2026
Mar 23, 2012$247M then
HNW client RAUM$335M as of Mar 9, 2026
Mar 31, 2018$142M then
State-registered IARs (5.B.3)5 as of Mar 9, 2026
Mar 23, 20120 then
Employees (5.A)12 as of Mar 9, 2026
Mar 25, 20139 then
Private funds: no history
RAUM +12% over the last fiscal year+11% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 9, 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
- 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
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 254derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $286,706derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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$335M61%
- Individuals$188M34%
- Charitable organizations$23.3M4.2%
- Corporations and businesses$1.9M0.3%
- Pension and profit-sharing plans$1.3M0.2%
- Individual clients
- 768reported
- HNW clients
- 247reported
- Pension plan clients
- 1reported
- Charitable clients
- 14reported
- Accounts
- 1,915reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| M•••••• J•••• M••••Chartered Financial Consultant | Hunt Valley, Md | Sep 15, 2008 | 25 y | 2 |
| D•••• R•••••• B•••• | Hunt Valley, Md | Apr 7, 2016 | 24 y | 1 |
| D•••• M•••• Z•••••• | Hunt Valley, Md | Jun 17, 2016 | 35 y | 0 |
| M••• C•••••••• P•••••• | Hunt Valley, Md | Oct 3, 2017 | 18 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- B••••••• D•••• L•••••• to M••••• G••••• A••••••• I•••Aug 20, 2026 · RIA to RIA
- F•••• C•••• C•••••••• to C••••••••• F•••••••• N••••••Jul 28, 2014 · Other
- D•••• P•••• to O•••• F•• I•••Jul 18, 2011 · Other
- M•••••• B•••• F••• to C••••••••• F•••••••• N••••••Oct 1, 2002 · Other
Joined, latest
- M••• C•••••••• P•••••• from E•••• S••••••••• L••Oct 3, 2017 · Other
- D•••• R•••••• B•••• from A••••••••• F•••••••• S•••••••• L••Apr 7, 2016 · Other
- D•••• P•••• from S•••••••• A••••••• L••Mar 15, 2011 · Other
- M•••••• J•••• M•••• from E•••• S••••••••• L••Sep 15, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• T•••• L••••• · Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- M••••• M••••••• J•••• · Managing Membercontrolsince 01/2017 · owns 75% or more
- B••••• D••••• R•••••• · Membersince 01/2022 · owns less than 5%
- P••••••• M•••• C•••••••• · Membersince 01/2022 · owns less than 5%
- Z••••••• D••••• M•••• · Member/Director Of Fixed Incomesince 04/2016 · owns 5% to 10%
Related persons
Schedule D 7.A
- H•••••• I•••••••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hunt Valley, Md · principal | 4 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 9, 2026accounts (Item 5.F.2.f) moved from 1,046.0 to 1,915.0 (+83.0%) between the annual amendments of 2025-02-24 and 2026-03-09; the peer median change was +6.0% (1256 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 1,046 to 1,915Sep 16, 2025 to Mar 9, 2026
- Advisory employees · 4 to 5Sep 16, 2025 to Mar 9, 2026
- Charity clients · 13 to 14Sep 16, 2025 to Mar 9, 2026
- HNW clients · 260 to 247Sep 16, 2025 to Mar 9, 2026
- Individual clients · 765 to 768Sep 16, 2025 to Mar 9, 2026
- Pension plan clients · 3 to 1Sep 16, 2025 to Mar 9, 2026
- State-registered IARs · 4 to 5Sep 16, 2025 to Mar 9, 2026
- Discretionary RAUM · $492M to $549MSep 16, 2025 to Mar 9, 2026
- HNW RAUM · $307M to $335MSep 16, 2025 to Mar 9, 2026
- Individual RAUM · $156M to $188MSep 16, 2025 to Mar 9, 2026
- Pension RAUM · $3.6M to $1.3MSep 16, 2025 to Mar 9, 2026
- RAUM · $492M to $549MSep 16, 2025 to Mar 9, 2026
- Accounts · 1,795 to 1,046Oct 2, 2024 to Feb 24, 2025
- Advisory employees · 9 to 4Oct 2, 2024 to Feb 24, 2025
- HNW clients · 220 to 260Oct 2, 2024 to Feb 24, 2025
- Individual clients · 775 to 765Oct 2, 2024 to Feb 24, 2025
- Employees · 10 to 12Oct 2, 2024 to Feb 24, 2025
- Financial planning clients · 1-10 to 1-10Oct 2, 2024 to Feb 24, 2025
- Discretionary RAUM · $448M to $492MOct 2, 2024 to Feb 24, 2025
- HNW RAUM · $259M to $307MOct 2, 2024 to Feb 24, 2025
- Individual RAUM · $159M to $156MOct 2, 2024 to Feb 24, 2025
- Pension RAUM · $3.2M to $3.6MOct 2, 2024 to Feb 24, 2025
- RAUM · $448M to $492MOct 2, 2024 to Feb 24, 2025
- Accounts · 1,669 to 1,795Feb 17, 2023 to Mar 11, 2024
- Charity clients · 12 to 13Feb 17, 2023 to Mar 11, 2024
- Corporate clients · unset to 5.0Feb 17, 2023 to Mar 11, 2024
- HNW clients · 188 to 220Feb 17, 2023 to Mar 11, 2024
- Individual clients · 750 to 775Feb 17, 2023 to Mar 11, 2024
- Pension plan clients · 10 to 3Feb 17, 2023 to Mar 11, 2024
- Financial planning clients · 0 to 1-10Feb 17, 2023 to Mar 11, 2024
- Discretionary RAUM · $403M to $448MFeb 17, 2023 to Mar 11, 2024
- HNW RAUM · $206M to $259MFeb 17, 2023 to Mar 11, 2024
- Individual RAUM · $162M to $159MFeb 17, 2023 to Mar 11, 2024
- Pension RAUM · $3.5M to $3.2MFeb 17, 2023 to Mar 11, 2024
- RAUM · $403M to $448MFeb 17, 2023 to Mar 11, 2024
- Accounts · 1,629 to 1,669Mar 10, 2022 to Feb 17, 2023
- HNW clients · 191 to 188Mar 10, 2022 to Feb 17, 2023
- Individual clients · 726 to 750Mar 10, 2022 to Feb 17, 2023
- Pension plan clients · unset to 10.0Mar 10, 2022 to Feb 17, 2023
- Financial planning clients · 1-10 to 0Mar 10, 2022 to Feb 17, 2023
Signals
2 dated events
- B••••••• D•••• L•••••• left H•••••• I••••••••• C••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2026-07-14)Aug 20, 2026 · Advisor changed firm · fact
- Louise Tina Gallo (Chief Compliance Officer) appeared on Schedule A of H•••••• I••••••••• C••••••••• L••Oct 2, 2024 · Control person joined · 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 email
- info@harvestinvestment.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ericka@harvestinvestment.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- kcole@harvestinvestment.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- kthomas@harvestinvestment.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- rjames@harvestinvestment.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- tgallo@harvestinvestment.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- britter@harvestinvestment.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 410-371-0121reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 410-561-9040reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/harvest-investment-consultants-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••••INVESTMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 410-561-9040reportedpublic record, Form ADV, Mar 9, 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