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.
SEC-registered adviser
Harold Davidson & Associates, Inc
Latest filing Aug 5, 2026
First filing on the tape Mar 28, 2012 · 26 filings
SEC status approved since Feb 24, 1974
RAUM
$391M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$360M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$97.6M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$391M as of Aug 5, 2026
Mar 28, 2012$213M then
HNW client RAUM$317M as of Aug 5, 2026
Mar 31, 2018$170M then
State-registered IARs (5.B.3)4 as of Aug 5, 2026
Mar 28, 20120 then
Employees (5.A)7 as of Aug 5, 2026
Mar 21, 201311 then
Private funds1 as of Mar 25, 2015
Mar 28, 20121 then
RAUM +8.9% over the last fiscal year+11% a year over threeIARs 0 to 4
Practice profile
derived from the filing of Aug 5, 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
- $97.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $923,219derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, publications, otherreportedItem 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$317M81%
- Individuals$42.9M11%
- Pension and profit-sharing plans$19.0M4.9%
- Corporations and businesses$9.6M2.5%
- Charitable organizations$1.8M0.5%
- Individual clients
- 160reported
- HNW clients
- 77reported
- Pension plan clients
- 5reported
- Charitable clients
- 2reported
- Accounts
- 423reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| Harold Alan Davidson | Los Angeles, Ca | Jan 8, 2003 | 52 y | 1 |
| Vick Khoboyan | Los Angeles, Ca | Feb 28, 2024 | 13 y | 3 |
| Stephanie Chow | Los Angeles, Ca | Jul 3, 2025 | 11 y | 1 |
| Craig Eric FarkasCertified Financial Planner | Los Angeles, Ca | Oct 16, 2025 | 27 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
- Simon Chung-Yee Liu to Rvw Wealth LLCApr 30, 2018 · RIA to RIA
- Scott Vincent Whitney to Manchester Financial IncFeb 27, 2017 · Other
Joined, latest
- Stephanie Chow from SeiaJul 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- Vick Khoboyan from F/M Investments LLCFeb 28, 2024 · Other
- Simon Chung-Yee Liu from Hcr Wealth AdvisorsAug 29, 2017 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Hda Mortgage Fund LLCno longer reported | Real Estate Fund | $1.3M | 260 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Alan Harold Davidson · Presidentcontrolsince 11/1973 · owns 75% or more
- Josephine Gina Gamboa · Chief Compliance Officersince 10/2004 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 3, 2026HNW share of RAUM moved from 60.0% to 81.0% between the annual amendments of 2025-03-28 and 2026-03-03peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 430 to 423Sep 12, 2025 to Mar 3, 2026
- Business name · HAROLD DAVIDSON & ASSOCIATES INC to HAROLD DAVIDSON & ASSOCIATES, INCSep 12, 2025 to Mar 3, 2026
- Charity clients · 3 to 2Sep 12, 2025 to Mar 3, 2026
- Corporate clients · 3 to 5Sep 12, 2025 to Mar 3, 2026
- HNW clients · 72 to 77Sep 12, 2025 to Mar 3, 2026
- Individual clients · 207 to 160Sep 12, 2025 to Mar 3, 2026
- Pension plan clients · 6 to 5Sep 12, 2025 to Mar 3, 2026
- Pooled vehicle clients · 2.0 to unsetSep 12, 2025 to Mar 3, 2026
- State-registered IARs · 0 to 4Sep 12, 2025 to Mar 3, 2026
- Legal name · HAROLD DAVIDSON & ASSOCIATES INC to HAROLD DAVIDSON & ASSOCIATES, INCSep 12, 2025 to Mar 3, 2026
- Discretionary RAUM · $358M to $391MSep 12, 2025 to Mar 3, 2026
- HNW RAUM · $215M to $317MSep 12, 2025 to Mar 3, 2026
- Individual RAUM · $124M to $42.9MSep 12, 2025 to Mar 3, 2026
- Pension RAUM · $13.5M to $19.0MSep 12, 2025 to Mar 3, 2026
- Pooled vehicle RAUM · 2143139.0 to unsetSep 12, 2025 to Mar 3, 2026
- RAUM · $358M to $391MSep 12, 2025 to Mar 3, 2026
- Financial planning clients · 1-10 to 1-10Mar 28, 2025 to Jun 17, 2025
- Accounts · 390 to 430Mar 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $316M to $358MMar 25, 2024 to Mar 28, 2025
- HNW RAUM · $189M to $215MMar 25, 2024 to Mar 28, 2025
- Individual RAUM · $108M to $124MMar 25, 2024 to Mar 28, 2025
- Pension RAUM · $11.8M to $13.5MMar 25, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $2.1M to $2.1MMar 25, 2024 to Mar 28, 2025
- RAUM · $316M to $358MMar 25, 2024 to Mar 28, 2025
- Accounts · 460 to 390Mar 27, 2023 to Mar 25, 2024
- HNW clients · 76 to 72Mar 27, 2023 to Mar 25, 2024
- Individual clients · 217 to 207Mar 27, 2023 to Mar 25, 2024
- Discretionary RAUM · $284M to $316MMar 27, 2023 to Mar 25, 2024
- HNW RAUM · $154M to $189MMar 27, 2023 to Mar 25, 2024
- Individual RAUM · $111M to $108MMar 27, 2023 to Mar 25, 2024
- Pension RAUM · $10.3M to $11.8MMar 27, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $2.0M to $2.1MMar 27, 2023 to Mar 25, 2024
- RAUM · $284M to $316MMar 27, 2023 to Mar 25, 2024
- Accounts · 440 to 460Mar 25, 2022 to Mar 27, 2023
- Individual clients · 223 to 217Mar 25, 2022 to Mar 27, 2023
- Discretionary RAUM · $353M to $284MMar 25, 2022 to Mar 27, 2023
- HNW RAUM · $195M to $154MMar 25, 2022 to Mar 27, 2023
- Individual RAUM · $140M to $111MMar 25, 2022 to Mar 27, 2023
- Pension RAUM · $12.9M to $10.3MMar 25, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $1.8M to $2.0MMar 25, 2022 to Mar 27, 2023
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
- 310-553-3901reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-553-5551reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- HDAINVEST.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 310-553-5551reportedpublic record, Form ADV, Aug 5, 2026
- Contact form
- hdainvest.com/contact-usreportedpublished 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
- $97.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Harold Davidson & Associates, Inc is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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