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••••••••• I•••
Legal name H••••••••• I••••••••• I•••••••••
Latest filing Sep 24, 2025
First filing on the tape Feb 1, 2012 · 22 filings
SEC status approved since Nov 24, 1982
RAUM
$355M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$292M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$118M
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
22 filings and snapshots on the tape
RAUM$355M as of Sep 24, 2025
Aug 13, 2012$155M then
HNW client RAUM$279M as of Sep 24, 2025
Aug 23, 2018$184M then
State-registered IARs (5.B.3)3 as of Sep 24, 2025
Aug 16, 20133 then
Employees (5.A)5 as of Sep 24, 2025
Aug 16, 20134 then
Private funds: no history
RAUM +12% over the last fiscal year+2.5% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Sep 24, 2025; every figure names its basis
Archetypes, each a printed rule
- 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
- $118MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $8.0M, 32 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$279M79%
- Charitable organizations$53.5M15%
- Individuals$13.6M3.8%
- Corporations and businesses$9.2M2.6%
- Individual clients
- 22reported
- HNW clients
- 80reported
- Pension plan clients
- 0reported
- Charitable clients
- 15reported
- Accounts
- 219reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.0M for 32 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• C•••••• H••••••••• | Napa, Ca | Apr 8, 1988 | 45 y | 0 |
| J•••••• E••• F•••• | Napa, Ca | Oct 8, 2015 | 18 y | 0 |
| R•••••• A••• W••••Chartered Financial Analyst | Napa, Ca | Jan 2, 2026 | 22 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
- M••• F•••••• H••• to D••••• C••••••• I•••Aug 13, 2015 · Other
- E• D••• W••••• to S••••••••• A•••• M••••••••• L••Apr 3, 2013 · Other
Joined, latest
- E• D••• W••••• from U•• F•••••••• S••••••• I•••Oct 28, 2011 · Other
- M••• F•••••• H••• from F•••••••• W••• G••••Aug 6, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• D••••• L••• · Vice Presidentcontrolsince 07/1987 · owns 50% to 75%
- H••••••••• J•••• C•••••• · President / Ceocontrolsince 07/1987 · owns 50% to 75%
- F••••• J••••••• E••• · Chief Compliance Officersince 09/2018 · owns less than 5%
Related persons
Schedule D 7.A
- J••• F••••investment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Napa, Ca · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 225 to 219Sep 25, 2024 to Sep 24, 2025
- Charity clients · 14 to 15Sep 25, 2024 to Sep 24, 2025
- HNW clients · 83 to 80Sep 25, 2024 to Sep 24, 2025
- Individual clients · 21 to 22Sep 25, 2024 to Sep 24, 2025
- Assets in custody · $5.9M to $8.0MSep 25, 2024 to Sep 24, 2025
- Financial planning clients · 1-10 to 1-10Sep 25, 2024 to Sep 24, 2025
- Discretionary RAUM · $338M to $355MSep 25, 2024 to Sep 24, 2025
- HNW RAUM · $261M to $279MSep 25, 2024 to Sep 24, 2025
- Individual RAUM · $10.1M to $13.6MSep 25, 2024 to Sep 24, 2025
- Non-discretionary RAUM · $594,539 to $623,374Sep 25, 2024 to Sep 24, 2025
- RAUM · $338M to $355MSep 25, 2024 to Sep 24, 2025
- Accounts · 229 to 225Sep 27, 2023 to Sep 25, 2024
- Charity clients · 17 to 14Sep 27, 2023 to Sep 25, 2024
- HNW clients · 84 to 83Sep 27, 2023 to Sep 25, 2024
- Individual clients · 22 to 21Sep 27, 2023 to Sep 25, 2024
- Assets in custody · $6.2M to $5.9MSep 27, 2023 to Sep 25, 2024
- Discretionary RAUM · $316M to $338MSep 27, 2023 to Sep 25, 2024
- HNW RAUM · $242M to $261MSep 27, 2023 to Sep 25, 2024
- Individual RAUM · $10.0M to $10.1MSep 27, 2023 to Sep 25, 2024
- Non-discretionary RAUM · $569,711 to $594,539Sep 27, 2023 to Sep 25, 2024
- RAUM · $317M to $338MSep 27, 2023 to Sep 25, 2024
- Accounts · 225 to 229Sep 21, 2022 to Sep 27, 2023
- Charity clients · 16 to 17Sep 21, 2022 to Sep 27, 2023
- HNW clients · 87 to 84Sep 21, 2022 to Sep 27, 2023
- Individual clients · 21 to 22Sep 21, 2022 to Sep 27, 2023
- Assets in custody · $4.6M to $6.2MSep 21, 2022 to Sep 27, 2023
- Discretionary RAUM · $297M to $316MSep 21, 2022 to Sep 27, 2023
- HNW RAUM · $232M to $242MSep 21, 2022 to Sep 27, 2023
- Individual RAUM · $10.2M to $10.0MSep 21, 2022 to Sep 27, 2023
- Non-discretionary RAUM · $917,700 to $569,711Sep 21, 2022 to Sep 27, 2023
- RAUM · $298M to $317MSep 21, 2022 to Sep 27, 2023
- Accounts · 214 to 225Oct 28, 2021 to Sep 21, 2022
- Charity clients · 15 to 16Oct 28, 2021 to Sep 21, 2022
- HNW clients · 84 to 87Oct 28, 2021 to Sep 21, 2022
- Individual clients · 19 to 21Oct 28, 2021 to Sep 21, 2022
- Assets in custody · $4.7M to $4.6MOct 28, 2021 to Sep 21, 2022
- Discretionary RAUM · $328M to $297MOct 28, 2021 to Sep 21, 2022
- HNW RAUM · $258M to $232MOct 28, 2021 to Sep 21, 2022
- Individual RAUM · $9.8M to $10.2MOct 28, 2021 to Sep 21, 2022
- Non-discretionary RAUM · $1.1M to $917,700Oct 28, 2021 to Sep 21, 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 email
- info@harringtoninvestments.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 707-252-6166reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/harrington-investmentsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 707-252-6166reportedpublic record, Form ADV, Sep 24, 2025
- Team page
- harringtoninvestments.com/investing/management-stylereportedpublished by the firm, firm site, Sep 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
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026