DFX Intelligence
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SEC-registered adviser
H•••••• • C•• I•••
Legal name H•••••• • C• I••
Latest filing Jun 15, 2026
First filing on the tape Feb 17, 2012 · 27 filings
SEC status approved since Dec 16, 1977
RAUM
$438M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$391M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$219M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$438M as of Jun 15, 2026
Jun 4, 2012$183M then
HNW client RAUM$320M as of Jun 15, 2026
Jun 11, 2018$195M then
State-registered IARs (5.B.3)2 as of Jun 15, 2026
Jun 4, 20120 then
Employees (5.A)5 as of Jun 15, 2026
May 17, 20134 then
Private funds: no history
RAUM +9.4% over the last fiscal year+3.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 15, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $219MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 140derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $628,659derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $207M, 136 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$320M73%
- Individuals$71.3M16%
- Charitable organizations$35.4M8.1%
- Corporations and businesses$8.7M2.0%
- Pension and profit-sharing plans$3.2M0.7%
- Individual clients
- 169reported
- HNW clients
- 111reported
- Pension plan clients
- n/areported
- Charitable clients
- 13reported
- Accounts
- 697reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $207M for 136 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• M••••• S••••Chartered Financial Analyst | Zanesville, Oh | Aug 9, 1999 | 42 y | 0 |
| M•••••• A•••• S•••• | Zanesville, Oh | Aug 15, 2007 | 19 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
- T••••• P•••••• L••• to A•••••• C•••••• M••••••••• L••May 31, 2007 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• R•••••• M••••• · Presidentcontrolsince 06/2019 · owns 75% or more
- S••••• M••••••• A•••• · Chief Compliance Officercontrolsince 07/2019 · owns less than 5%
- S••••• R•••••• L•••• · Beneficial Owner, Officersince 06/2019 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Zanesville, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 721 to 697Jun 16, 2025 to Jun 15, 2026
- Charity clients · 15 to 13Jun 16, 2025 to Jun 15, 2026
- HNW clients · 115 to 111Jun 16, 2025 to Jun 15, 2026
- Individual clients · 166 to 169Jun 16, 2025 to Jun 15, 2026
- Assets in custody · $196M to $207MJun 16, 2025 to Jun 15, 2026
- Discretionary RAUM · $445M to $438MJun 16, 2025 to Jun 15, 2026
- HNW RAUM · $301M to $320MJun 16, 2025 to Jun 15, 2026
- Individual RAUM · $64.2M to $71.3MJun 16, 2025 to Jun 15, 2026
- Pension RAUM · $3.5M to $3.2MJun 16, 2025 to Jun 15, 2026
- RAUM · $445M to $438MJun 16, 2025 to Jun 15, 2026
- Accounts · 712 to 721May 31, 2024 to Jun 16, 2025
- HNW clients · 133 to 115May 31, 2024 to Jun 16, 2025
- Individual clients · 145 to 166May 31, 2024 to Jun 16, 2025
- Assets in custody · $169M to $196MMay 31, 2024 to Jun 16, 2025
- Financial planning clients · unset to May 31, 2024 to Jun 16, 2025
- Discretionary RAUM · $442M to $445MMay 31, 2024 to Jun 16, 2025
- HNW RAUM · $315M to $301MMay 31, 2024 to Jun 16, 2025
- Individual RAUM · $46.1M to $64.2MMay 31, 2024 to Jun 16, 2025
- Pension RAUM · $3.8M to $3.5MMay 31, 2024 to Jun 16, 2025
- RAUM · $442M to $445MMay 31, 2024 to Jun 16, 2025
- Accounts · 706 to 712Oct 2, 2023 to May 31, 2024
- Charity clients · 18 to 15Oct 2, 2023 to May 31, 2024
- Corporate clients · 8 to 9Oct 2, 2023 to May 31, 2024
- HNW clients · 131 to 133Oct 2, 2023 to May 31, 2024
- Individual clients · 152 to 145Oct 2, 2023 to May 31, 2024
- Assets in custody · $140M to $169MOct 2, 2023 to May 31, 2024
- Discretionary RAUM · $401M to $442MOct 2, 2023 to May 31, 2024
- HNW RAUM · $277M to $315MOct 2, 2023 to May 31, 2024
- Individual RAUM · $45.5M to $46.1MOct 2, 2023 to May 31, 2024
- Pension RAUM · $3.5M to $3.8MOct 2, 2023 to May 31, 2024
- RAUM · $401M to $442MOct 2, 2023 to May 31, 2024
- Accounts · 686 to 706Jun 21, 2022 to May 1, 2023
- Corporate clients · 7 to 8Jun 21, 2022 to May 1, 2023
- HNW clients · 129 to 131Jun 21, 2022 to May 1, 2023
- Individual clients · 148 to 152Jun 21, 2022 to May 1, 2023
- Assets in custody · $155M to $140MJun 21, 2022 to May 1, 2023
- Employees · 4 to 5Jun 21, 2022 to May 1, 2023
- Discretionary RAUM · $431M to $401MJun 21, 2022 to May 1, 2023
- HNW RAUM · $301M to $277MJun 21, 2022 to May 1, 2023
- Individual RAUM · $45.8M to $45.5MJun 21, 2022 to May 1, 2023
Signals
4 dated events
- ••• LockedJun 14, 2021 · RAUM change · derived
- ••• LockedJul 18, 2019 · Control person joined · fact
- ••• LockedJul 18, 2019 · Control person joined · fact
- ••• LockedJul 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
- Website
- H••••••CO.COMreportedpublic record, Form ADV, Jun 15, 2026
- Principal office phone
- 740-452-4523reportedpublic record, Form ADV, Jun 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
- $219Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026