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•••• F••••••••

Former SEC-registered adviserMilwaukee, WisconsinCRD 111600SEC 801-60612IAPD
Legal name H•••• F•••••••• M••••••••• L••
Latest filing Apr 6, 2020
First filing on the tape Apr 2, 2012 · 14 filings
RAUM
$297M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$297M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$297M as of Apr 6, 2020
Apr 2, 2012$178M then
HNW client RAUM$290M as of Apr 6, 2020
Mar 23, 2018$244M then
State-registered IARs (5.B.3)1 as of Apr 6, 2020
Apr 2, 20120 then
Employees (5.A)1 as of Apr 6, 2020
Mar 21, 20137 then
Private funds: no history
RAUM +23% over the last fiscal year+8.9% a year over threeIARs 4 to 1
Practice profile
derived from the filing of Apr 6, 2020; every figure names its basis
RAUM per advisor
$297MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
111derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$540,489derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
-75%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$87.4M, 59 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$290M98%
  • Individuals$7.3M2.4%
Individual clients
24reported
HNW clients
87reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
550reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$87.4M for 59 clientsreported
Compensation
% of AUM, fixedreported
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
Left, latest
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
    • H••••• P••••• H•••••••• · Managing Member, Chief Compliance Officercontrol
      since 09/1992 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 531 to 550
      Mar 25, 2019 to Apr 6, 2020
    • Advisory employees · 4 to 1
      Mar 25, 2019 to Apr 6, 2020
    • HNW clients · 76 to 87
      Mar 25, 2019 to Apr 6, 2020
    • Individual clients · 29 to 24
      Mar 25, 2019 to Apr 6, 2020
    • Assets in custody · $50.5M to $87.4M
      Mar 25, 2019 to Apr 6, 2020
    • Employees · 7 to 1
      Mar 25, 2019 to Apr 6, 2020
    • State-registered IARs · 4 to 1
      Mar 25, 2019 to Apr 6, 2020
    • Discretionary RAUM · $220M to $275M
      Mar 25, 2019 to Apr 6, 2020
    • HNW RAUM · $227M to $290M
      Mar 25, 2019 to Apr 6, 2020
    • Individual RAUM · $15.2M to $7.3M
      Mar 25, 2019 to Apr 6, 2020
    • Non-discretionary RAUM · $22.5M to $22.2M
      Mar 25, 2019 to Apr 6, 2020
    • RAUM · $242M to $297M
      Mar 25, 2019 to Apr 6, 2020
    • Accounts · 496 to 531
      Mar 23, 2018 to Mar 25, 2019
    • HNW clients · 84 to 76
      Mar 23, 2018 to Mar 25, 2019
    • Individual clients · 20 to 29
      Mar 23, 2018 to Mar 25, 2019
    • Assets in custody · unset to 50496983.0
      Mar 23, 2018 to Mar 25, 2019
    • Custody of client assets · false to true
      Mar 23, 2018 to Mar 25, 2019
    • Discretionary RAUM · $225M to $220M
      Mar 23, 2018 to Mar 25, 2019
    • HNW RAUM · $244M to $227M
      Mar 23, 2018 to Mar 25, 2019
    • Individual RAUM · $11.2M to $15.2M
      Mar 23, 2018 to Mar 25, 2019
    • Non-discretionary RAUM · $29.6M to $22.5M
      Mar 23, 2018 to Mar 25, 2019
    • RAUM · $255M to $242M
      Mar 23, 2018 to Mar 25, 2019
    • Accounts · 538 to 496
      Apr 13, 2017 to Mar 23, 2018
    • Advisory employees · 3 to 4
      Apr 13, 2017 to Mar 23, 2018
    • HNW clients · unset to 84.0
      Apr 13, 2017 to Mar 23, 2018
    • Individual clients · unset to 20.0
      Apr 13, 2017 to Mar 23, 2018
    • Financial planning clients · 51-100 to 101-250
      Apr 13, 2017 to Mar 23, 2018
    • Other offices · unset to 0.0
      Apr 13, 2017 to Mar 23, 2018
    • Discretionary RAUM · $203M to $225M
      Apr 13, 2017 to Mar 23, 2018
    • HNW RAUM · unset to 243709722.0
      Apr 13, 2017 to Mar 23, 2018
    • Individual RAUM · unset to 11208640.0
      Apr 13, 2017 to Mar 23, 2018
    • Non-discretionary RAUM · $27.4M to $29.6M
      Apr 13, 2017 to Mar 23, 2018
    • RAUM · $230M to $255M
      Apr 13, 2017 to Mar 23, 2018
    • Business name · P••••••••• to H•••• F••••••••
      Apr 13, 2017 to Apr 13, 2017
    • Accounts · 532 to 538
      Mar 30, 2016 to Mar 20, 2017
    • Advisory activities · 2 to 3
      Mar 30, 2016 to Mar 20, 2017
    • State-registered IARs · 3 to 4
      Mar 30, 2016 to Mar 20, 2017
    • Discretionary RAUM · $185M to $203M
      Mar 30, 2016 to Mar 20, 2017
    • Non-discretionary RAUM · $35.5M to $27.4M
      Mar 30, 2016 to Mar 20, 2017
    • RAUM · $220M to $230M
      Mar 30, 2016 to Mar 20, 2017
    Signals
    1 dated events
    • Robert Clint Wondra (Chief Operations Officer / Member) no longer on Schedule A of H•••• F•••••••• (listed 2019-03-25, absent 2020-04-06)
      Apr 6, 2020 · 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.
    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