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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Former SEC-registered adviser

H••••••• • C•••• W••••• M•••••••••

Former SEC-registered adviserDanville, CaliforniaCRD 110722SEC 801-31115IAPD
Legal name H••••••• • C••••• I•••
Latest filing Mar 30, 2022
First filing on the tape Dec 14, 2011 · 23 filings
RAUM
$493M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$493M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$493M as of Mar 30, 2022
Mar 8, 2012$264M then
HNW client RAUM$246M as of Mar 30, 2022
Mar 30, 2018$208M then
State-registered IARs (5.B.3)5 as of Mar 30, 2022
Mar 8, 20120 then
Employees (5.A)10 as of Mar 30, 2022
Mar 21, 20138 then
Private funds: no history
RAUM +26% over the last fiscal year+13% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 30, 2022; every figure names its basis
RAUM per advisor
$98.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
118derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$342,214derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.4%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
Financial planning clients
591reportedItem 5.H
Custody
$433M, 432 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$247M50%
  • High-net-worth individuals$246M50%
Individual clients
530reported
HNW clients
61reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1,440reported
Financial planning clients
591reported
Wrap fee programs
noreported
Custody of client assets
$433M for 432 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••• J••••• M•••••• · Chief Compliance Officercontrol
      since 03/2022 · owns less than 5%
    • H•••••••• D••••• P••• · Chief Executive Officercontrol
      since 03/1986 · owns less than 5%
    • C••••• J••••• M•••••• · Trusteecontrol
      since 10/2010 · owns F of C•••• F••••• T••••
    • C••••• K•••••••• M•••• · Trusteecontrol
      since 10/2006 · owns F of C•••• F••••• T••••
    • H•••••••• B•••••• J•• · Trusteecontrol
      since 03/1986 · owns F of H••••••• F••••• T••••
    • H•••••••• D••••• P••• · Trusteecontrol
      since 03/1986 · owns F of H••••••• F••••• T••••
    Entity owners
    • C•••• F••••• T•••• · Direct Owner
      direct · owns 50% to 75%
    • H••••••• F••••• T•••• · Direct Owner
      direct · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • D•••• P• H•••••••
      real estatey
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,426 to 1,440
      Sep 1, 2021 to Mar 30, 2022
    • Advisory employees · 5 to 6
      Sep 1, 2021 to Mar 30, 2022
    • HNW clients · 135 to 61
      Sep 1, 2021 to Mar 30, 2022
    • Individual clients · 448 to 530
      Sep 1, 2021 to Mar 30, 2022
    • Assets in custody · $351M to $433M
      Sep 1, 2021 to Mar 30, 2022
    • Employees · 9 to 10
      Sep 1, 2021 to Mar 30, 2022
    • State-registered IARs · 4 to 5
      Sep 1, 2021 to Mar 30, 2022
    • Discretionary RAUM · $388M to $491M
      Sep 1, 2021 to Mar 30, 2022
    • HNW RAUM · $259M to $246M
      Sep 1, 2021 to Mar 30, 2022
    • Individual RAUM · $131M to $247M
      Sep 1, 2021 to Mar 30, 2022
    • Non-discretionary RAUM · $2.3M to $2.2M
      Sep 1, 2021 to Mar 30, 2022
    • RAUM · $390M to $493M
      Sep 1, 2021 to Mar 30, 2022
    • Accounts · 1,417 to 1,426
      Jun 30, 2020 to Mar 31, 2021
    • HNW clients · 80 to 135
      Jun 30, 2020 to Mar 31, 2021
    • Individual clients · 474 to 448
      Jun 30, 2020 to Mar 31, 2021
    • Assets in custody · $256M to $351M
      Jun 30, 2020 to Mar 31, 2021
    • Discretionary RAUM · $292M to $388M
      Jun 30, 2020 to Mar 31, 2021
    • HNW RAUM · $146M to $259M
      Jun 30, 2020 to Mar 31, 2021
    • Individual RAUM · $147M to $131M
      Jun 30, 2020 to Mar 31, 2021
    • Non-discretionary RAUM · $1.9M to $2.3M
      Jun 30, 2020 to Mar 31, 2021
    • RAUM · $294M to $390M
      Jun 30, 2020 to Mar 31, 2021
    • Accounts · 1,358 to 1,417
      Mar 29, 2019 to Mar 31, 2020
    • HNW clients · 107 to 80
      Mar 29, 2019 to Mar 31, 2020
    • Individual clients · 436 to 474
      Mar 29, 2019 to Mar 31, 2020
    • Assets in custody · $264M to $256M
      Mar 29, 2019 to Mar 31, 2020
    • Employees · 8 to 9
      Mar 29, 2019 to Mar 31, 2020
    • Discretionary RAUM · $336M to $292M
      Mar 29, 2019 to Mar 31, 2020
    • HNW RAUM · $197M to $146M
      Mar 29, 2019 to Mar 31, 2020
    • Individual RAUM · $141M to $147M
      Mar 29, 2019 to Mar 31, 2020
    • Non-discretionary RAUM · $2.1M to $1.9M
      Mar 29, 2019 to Mar 31, 2020
    • RAUM · $338M to $294M
      Mar 29, 2019 to Mar 31, 2020
    • Accounts · 1,363 to 1,358
      Mar 30, 2018 to Mar 29, 2019
    • HNW clients · 112 to 107
      Mar 30, 2018 to Mar 29, 2019
    • Individual clients · 426 to 436
      Mar 30, 2018 to Mar 29, 2019
    • Assets in custody · $288M to $264M
      Mar 30, 2018 to Mar 29, 2019
    • Discretionary RAUM · $350M to $336M
      Mar 30, 2018 to Mar 29, 2019
    • HNW RAUM · $208M to $197M
      Mar 30, 2018 to Mar 29, 2019
    • Individual RAUM · $145M to $141M
      Mar 30, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $2.2M to $2.1M
      Mar 30, 2018 to Mar 29, 2019
    • RAUM · $353M to $338M
      Mar 30, 2018 to Mar 29, 2019
    Signals
    5 dated events
    • J•••• M•••••• C•••• left H••••••• • C•••• W••••• M••••••••• for E•••••• F•••••••• E•••••• (registered 2022-09-26)
      Oct 14, 2022 · Advisor changed firm · fact
    • J••• B•••• L••• left H••••••• • C•••• W••••• M••••••••• for E•••••• F•••••••• E•••••• (registered 2022-09-26)
      Oct 14, 2022 · Advisor changed firm · fact
    • T••••• C••••••••• M••••• left H••••••• • C•••• W••••• M••••••••• for E•••••• F•••••••• E•••••• (registered 2022-09-26)
      Oct 14, 2022 · Advisor changed firm · fact
    • H••••••• • C•••• W••••• M•••••••••'s advisors moved to E•••••• F•••••••• E•••••• (Danville, CA): 3 of 3 registered, on the same day
      Oct 14, 2022 · Firm absorbed (people side) · derived
    • H••••••• • C•••• W••••• M••••••••• reported RAUM $492.8M, up 26% from $390.4M (2021-09-01 to 2022-03-30)
      Mar 30, 2022 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026