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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
H••• W••••• A•••••••
Legal name H•• S•••• A••••••• L••
Latest filing Feb 17, 2026
First filing on the tape Nov 18, 2011 · 60 filings
SEC status approved since Jul 19, 2001
RAUM
$7.7B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
90%
$6.9B individuals and HNW
Advisors
73
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
109
73 advisory (5.B.1)
Offices
12
beyond the principal office
Private funds
0
reported on Schedule D
History
60 filings and snapshots on the tape
RAUM$7.7B as of Feb 17, 2026
Oct 24, 2012$1.4B then
HNW client RAUM$5.7B as of Feb 17, 2026
Oct 7, 2017$1.8B then
State-registered IARs (5.B.3)73 as of Feb 17, 2026
Nov 19, 201337 then
Employees (5.A)109 as of Feb 17, 2026
Nov 19, 201339 then
Private funds: no history
RAUM +18% over the last fiscal year+15% a year over threeIARs 75 to 73offices 13 to 12
Practice profile
derived from the filing of Feb 17, 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
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 101derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $361,583derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 5.6derived13 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -2.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- 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 securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$5.7B74%
- Individuals$1.2B16%
- Corporations and businesses$749M9.8%
- Individual clients
- 5,747reported
- HNW clients
- 1,597reported
- Pension plan clients
- 161reported
- Charitable clients
- 18reported
- Accounts
- 21,190reported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=19.0derived
Advisors registered through the firm
73 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• C•••••• M•••••Certified Financial Planner | Canfield, Oh | Jan 17, 2001 | 31 y | 0 |
| R•••••• D••• P•••••••••Certified Financial Planner | Erie, Pa | Jun 6, 2001 | 36 y | 0 |
| A•••••• B•••• W•••••••• | Erie, Pa | Jun 27, 2001 | 30 y | 0 |
| C••••••••• M•••••• Z•••••Certified Financial Planner | Erie, Pa | Sep 12, 2001 | 26 y | 0 |
| R•••• L••• R•••••• | Canfield, Oh | Jun 18, 2003 | 23 y | 0 |
| B••••••• L••••• T•••••Certified Financial Planner | Erie, Pa | Jul 31, 2003 | 24 y | 0 |
| S•••••• C••• S••••••Certified Financial Planner, Personal Financial Specialist | Stuart, Fl | Nov 12, 2003 | 27 y | 1 |
| D•••• D••••••Certified Financial Planner | N•••••, Fl | Feb 17, 2005 | 28 y | 1 |
| J•••• C••••••••• A••••• | Erie, Pa | Feb 23, 2005 | 24 y | 0 |
| R••• H•••• F•••••••••Certified Financial Planner | Stuart, Fl | May 4, 2005 | 23 y | 0 |
| S••••• M•••••• R•••Certified Financial Planner | Erie, Pa | Nov 17, 2005 | 23 y | 0 |
| S•••• A•••• C••••Chartered Financial Analyst | Erie, Pa | Jul 17, 2006 | 27 y | 1 |
| S••••• T••••••• S•••••••Certified Financial Planner | Stuart, Fl | Sep 18, 2006 | 20 y | 0 |
| Q••••• F•••• A•••••••••Certified Financial Planner | Erie, Pa | Sep 26, 2007 | 19 y | 0 |
| B•••• W•••••• M•••••••Certified Financial Planner | Naples, Fl | Nov 6, 2008 | 18 y | 0 |
| M•••••• J•••• C•••••••Certified Financial Planner, Personal Financial Specialist | Warrendale, Pa | Apr 28, 2010 | 20 y | 1 |
| C•••••••• A•• K•••• | Erie, Pa | Jul 23, 2010 | 20 y | 0 |
| I•••• F• B••••••• | Erie, Pa | Jul 26, 2010 | 24 y | 0 |
| T••••• J• T••••••Certified Financial Planner | Canfield, Oh | Feb 15, 2011 | 18 y | 1 |
| A••••• M•••••• | N•••••, Fl | Apr 20, 2011 | 18 y | 0 |
| M•••••• G•••••• W••••••• | Erie, Pa | Sep 22, 2011 | 15 y | 0 |
| K•••• A••• G•••••••• | Ft. Myers, Fl | Apr 10, 2012 | 15 y | 0 |
| Z•••••• M• A•••••••••Certified Financial Planner | Erie, Pa | May 10, 2013 | 13 y | 0 |
| S••••• A••• W•••••Certified Financial Planner | Erie, Pa | Oct 25, 2013 | 13 y | 0 |
| A•••••• J•••• S••••••Certified Financial Planner | Canfield, Oh | Dec 23, 2013 | 21 y | 1 |
| B•••• S•••• S••••••Chartered Financial Analyst | Warrendale, Pa | Jun 16, 2014 | 25 y | 5 |
| D•••• L••••• K•••• | Warrendale, Pa | Sep 9, 2015 | 27 y | 1 |
| L••••••• C••••••••• F••••••• | Fredonia, Ny | May 3, 2016 | 20 y | 3 |
| K•••• D••••• A•••• | Fredonia, Ny | May 3, 2016 | 16 y | 1 |
| J•••• A•••••• A••••••• | Fredonia, Ny | Jul 5, 2016 | 31 y | 2 |
| G••••• W•••••• H••• | Fredonia, Ny | Jul 8, 2016 | 31 y | 1 |
| C••••••••• P••• A•••••••••Certified Financial Planner | Erie, Pa | Oct 11, 2016 | 10 y | 0 |
| W•••••• F•••••• C•••• | Conshohocken, Pa | Oct 6, 2017 | 19 y | 1 |
| C••••••••• J•••• H••••Chartered Financial Analyst | Conshohocken, Pa | Oct 6, 2017 | 24 y | 1 |
| B•••• H••••• W•••• | Conshohocken, Pa | Oct 6, 2017 | 20 y | 2 |
| A•••••••• A•••• R••••••Certified Financial Planner | Conshohocken, Pa | Oct 6, 2017 | 26 y | 5 |
| A••••• W•••••• P••••••Chartered Financial Consultant | Conshohocken, Pa | Oct 10, 2017 | 26 y | 1 |
| C•••••• M•• O••••• | Erie, Pa | Jul 31, 2019 | 11 y | 0 |
| R•••••• D••• | Erie, Pa | Oct 15, 2019 | 31 y | 4 |
| R••• W•••••• H•••Certified Financial Planner | Naples, Fl | Jan 3, 2020 | 21 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount4 left over 36 months
Left, latest
- D••• D•••• D••••• to E••• L••Sep 5, 2025 · RIA to RIA
- B••••••• R•••••• B••••• to J••••• M••••••••• S•••• L••Feb 28, 2025 · RIA to affiliated broker-dealer or bank
- M•••••• C•••••• to V••••• O•• I••••••••• S••••••••• L••Jan 14, 2025 · RIA to a state-registered adviser
- C•••••• J••••••••• G••••••••• to C••••••••• F•••••••• N••••••Oct 2, 2023 · RIA to affiliated broker-dealer or bank
- M•••••• C•• to A••••••••• F•••••••• S•••••••• L••Jan 13, 2023 · RIA to affiliated broker-dealer or bank
- G•••••••• E•••••••• G••••• to B••••••••• P•••••••Oct 3, 2022 · RIA to RIA
- M•••••• D• G•••• to F••••••• P••••••• A•• W•••••••• A•••••••Jun 2, 2022 · RIA to affiliated broker-dealer or bank
- P•••••• J••• E•••••••• to W•••••• P•••••• W•••••Mar 14, 2022 · RIA to RIA
- M••• A•••••• M•••• to M•••• W••••• M••••••••• L••Jan 21, 2022 · RIA to RIA
- K••• A••••• K•••• to A••••••• W••••• P•••••••• L••Jan 20, 2022 · RIA to RIA
- C•••• A•••• S•••••••• to W•••••• P•••••• W•••••May 17, 2021 · RIA to RIA
- P••• J••• to S••••• I••••••••• A•••••••• L••Apr 26, 2021 · RIA to RIA
- I•• W••• to A•••••• A••••••• L••Aug 17, 2020 · RIA to a state-registered adviser
- D•••• M•••••• B•••••••• to C•••••• C••••• G••••• I•••Apr 6, 2020 · Other
- C••••••••• J••• M••••• to A•••••• P••••••• P•••••••• I•••Dec 6, 2019 · RIA to RIA
Joined, latest
- B•••••• R••••• T••••• H••••• from W•••••• F•••••••• A••••••• G•••• L••Feb 10, 2026 · RIA to RIA
- J••••• M•••••• S•••••• from R•• C•••••• M••••••• L••Aug 19, 2025 · Affiliated broker-dealer or bank to independent RIA
- J•••• R• R••••••• from N••••• G••••• A•••••••Mar 5, 2025 · RIA to RIA
- R•••• V••••••• S••••••••• from J••••• M••••••••• S•••• L••Sep 6, 2024 · Affiliated broker-dealer or bank to independent RIA
- M•••••• C•••••• from F••••••• P••••••• A•• W•••••••• A•••••••Apr 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- S•••••• B••••••• from J••••• M••••••••• S•••• L••Mar 22, 2024 · Affiliated broker-dealer or bank to independent RIA
- W•••••• M•••••• L••••• from C••••• W••••• M•••••••••May 31, 2023 · RIA to RIA
- J•••• K•••• from J•••••• A•••• M•••••••••Jul 18, 2022 · Other
- S•••• F•••• from F••••••• P••••••• A•• W•••••••• A•••••••Jul 14, 2022 · Affiliated broker-dealer or bank to independent RIA
- B•••• A••• D•••• from M•• A•••••••• A• D••••••• O• F•••••••• M••• L••Aug 18, 2021 · Other
- J••••••• L•• D• L•••••• from P••• S•••• P••••••• L••Jul 29, 2021 · Other
- K••• A••••• K•••• from B••••••••• A•••• M••••••••• L••Jul 23, 2021 · Affiliated broker-dealer or bank to independent RIA
- N••••• M•••• J••••••• from P••• S•••• P••••••• L••Jul 15, 2021 · Other
- P••• J••• from A••••• A•• P••••••• S•••••••Dec 16, 2020 · Affiliated broker-dealer or bank to independent RIA
- W•••••• J••• C•••• from M•• I•••••••• S•••••••• L••Nov 18, 2020 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from P••• S•••• P••••••• L••Jul 24, 2026 · N•••••, Fl
- 5 joined from L••••• C•••••• M••••••••• L••Dec 31, 2017 · Philadelphia, Pa · Firm absorbed
- 4 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 3, 2016 · Fredonia, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• C••••••••• M••• · Chairman, Membercontrolsince 03/2001 · owns less than 5%
- A••••••••• Q•••••• F•••• · Membercontrolsince 09/2017 · owns less than 5%
- A•••••••• J••••• A•••••• · Membercontrolsince 04/2016 · owns less than 5%
- B•••• D••• E• · Membercontrolsince 09/2009 · owns less than 5%
- C••••• W••••••• F•••••• · Membercontrolsince 09/2017 · owns less than 5%
- C•••••••• M••••••• J•••• · Membercontrolsince 09/2017 · owns less than 5%
- C••••• S••••• A•••• · Member, Chief Operating Officercontrolsince 09/2009 · owns less than 5%
- D••••••• D•••• · Membercontrolsince 09/2016 · owns less than 5%
- F••••••••• R•••• H•••• · Membercontrolsince 09/2017 · owns less than 5%
- H•••• G•••••• W•••••• · Membercontrolsince 04/2016 · owns less than 5%
- H••••• C••••••••• J•••• · Membercontrolsince 09/2020 · owns less than 5%
- M•••••••• B••••• W•••••• · Membercontrolsince 09/2018 · owns less than 5%
- M•••••• R••••••• C•••••• · Membercontrolsince 03/2006 · owns less than 5%
- P••••••••• R••••••• D••• · Membercontrolsince 03/2001 · owns less than 5%
- R••••••• A••••••••• A•••• · Membercontrolsince 09/2017 · owns less than 5%
- R•••• S•••••• M•••••• · Membercontrolsince 09/2016 · owns less than 5%
- S••••••• S••••••• C••• · Membercontrolsince 03/2006 · owns less than 5%
- S•••••• J•••••• T• · Membercontrolsince 04/2024 · owns less than 5%
- S••••••• B••••• S•••• · Chief Investment Officer, Membercontrolsince 09/2017 · owns less than 5%
- T••••••• T•••••• J• · Membercontrolsince 09/2018 · owns less than 5%
- T•••••• B•••••••• L••••• · Membercontrolsince 09/2018 · owns less than 5%
- W•••••••• M••••••• G•••••• · Chief Compliance Officercontrolsince 08/2011 · owns less than 5%
Entity owners
- H•• S•••• F•••••••• L•• · Parent Companydirect · owns 75% or more
- H•• S•••• H••••••• L•• · Ownerindirect · owns 75% or more of Hbk S•••• Financial LLC
- H•••• B••••• • K••• F•••••••• H••••••• L•• · Ownerindirect · owns 50% to 75% of H•• S•••• H••••••• L••
Related persons
Schedule D 7.A
- E•••• L••• M••••••••• L••investment advisernRAUM $147M
- H•• S•••• B•••••••• L••broker-dealern
- H•• S•••• I•••••••• L••real estaten
- H•••• B•••• • K••• L••insurancey
- P••• S•••• P••••••• L••investment adviserpooled vehicle sponsornRAUM $110M
- P••••• W••••• M••••••••• L••investment advisernRAUM $837M
- S•••• T•••• I•••••••••investment advisernRAUM $259M
Advisers that list H••• W••••• A••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Erie, Pa · principal | 23 | 0 | 0 | ||
| Conshohocken, Pa | 11 | 1 | 0 | ||
| N•••••, Fl | 10 | 0 | 0 | ||
| Warrendale, Pa | 9 | 0 | 0 | ||
| Stuart, Fl | 6 | 0 | 0 | ||
| Fredonia, Ny | 6 | 0 | 0 | ||
| Canfield, Oh | 5 | 0 | 0 | ||
| Sarasota, Fl | 3 | 0 | 0 | ||
| Ft Myers, Fl | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Erie, PA11 employees
- Conshohocken, PA9 employees
- Warrendale, PA9 employees
- N•••••, FL8 employees
- Stuart, FL8 employees
- Fredonia, NY6 employees
- Canfield, OH5 employees
- Meadville, PA5 employees
- Ft. Myers, FL3 employees
- K••• Of Prussia, PA2 employees
- Sarasota, FL2 employees
- Holmdel, NJ2 employees
What changed
consecutive filings, newest first
- Accounts · 20,275 to 21,190Jul 8, 2025 to Nov 12, 2025
- Advisory employees · 75 to 73Jul 8, 2025 to Nov 12, 2025
- BD registered reps · 21 to 19Jul 8, 2025 to Nov 12, 2025
- Corporate clients · 141 to 301Jul 8, 2025 to Nov 12, 2025
- HNW clients · 1,448 to 1,597Jul 8, 2025 to Nov 12, 2025
- Individual clients · 5,700 to 5,747Jul 8, 2025 to Nov 12, 2025
- Assets in custody · $250M to $288MJul 8, 2025 to Nov 12, 2025
- Employees · 112 to 109Jul 8, 2025 to Nov 12, 2025
- Insurance-licensed employees · 10 to 9Jul 8, 2025 to Nov 12, 2025
- State-registered IARs · 75 to 73Jul 8, 2025 to Nov 12, 2025
- Discretionary RAUM · $6.4B to $7.2BJul 8, 2025 to Nov 12, 2025
- HNW RAUM · $5.0B to $5.7BJul 8, 2025 to Nov 12, 2025
- Individual RAUM · $1.2B to $1.2BJul 8, 2025 to Nov 12, 2025
- Non-discretionary RAUM · $71.6M to $488MJul 8, 2025 to Nov 12, 2025
- RAUM · $6.5B to $7.7BJul 8, 2025 to Nov 12, 2025
- Financial planning clients · More than 500 to More than 500Jun 11, 2025 to Jul 8, 2025
- Other offices · 13 to 12Jun 11, 2025 to Jul 8, 2025
- Accounts · 17,566 to 20,275May 2, 2024 to Nov 20, 2024
- Advisory employees · 72 to 75May 2, 2024 to Nov 20, 2024
- BD registered reps · 20 to 21May 2, 2024 to Nov 20, 2024
- Charity clients · 16 to 18May 2, 2024 to Nov 20, 2024
- Corporate clients · 129 to 141May 2, 2024 to Nov 20, 2024
- HNW clients · 1,255 to 1,448May 2, 2024 to Nov 20, 2024
- Individual clients · 5,153 to 5,700May 2, 2024 to Nov 20, 2024
- Pension plan clients · 186 to 161May 2, 2024 to Nov 20, 2024
- Assets in custody · $284M to $250MMay 2, 2024 to Nov 20, 2024
- Employees · 105 to 112May 2, 2024 to Nov 20, 2024
- Insurance-licensed employees · 11 to 10May 2, 2024 to Nov 20, 2024
- State-registered IARs · 72 to 75May 2, 2024 to Nov 20, 2024
- Other offices · 12 to 13May 2, 2024 to Nov 20, 2024
- Discretionary RAUM · $5.5B to $6.4BMay 2, 2024 to Nov 20, 2024
- HNW RAUM · $4.1B to $5.0BMay 2, 2024 to Nov 20, 2024
- Individual RAUM · $1.1B to $1.2BMay 2, 2024 to Nov 20, 2024
- Non-discretionary RAUM · $84.2M to $71.6MMay 2, 2024 to Nov 20, 2024
- RAUM · $5.6B to $6.5BMay 2, 2024 to Nov 20, 2024
- Other offices · 11 to 12Nov 8, 2023 to Jan 9, 2024
- Accounts · 15,664 to 17,566Jun 9, 2023 to Nov 8, 2023
- Advisory employees · 65 to 72Jun 9, 2023 to Nov 8, 2023
- BD registered reps · 18 to 20Jun 9, 2023 to Nov 8, 2023
- Charity clients · 10 to 16Jun 9, 2023 to Nov 8, 2023
Signals
18 dated events
- 2 advisors left P••• S•••• P••••••• L•• (Naples, FL) for H••• W••••• A••••••• on the same dayJul 24, 2026 · Team lift-out · derived
- D••• D•••• D••••• left H••• W••••• A••••••• for E••• L•• (registered 2025-10-07)Sep 5, 2025 · Advisor changed firm · fact
- B••••••• R•••••• B••••• left H••• W••••• A••••••• for J••••• M••••••••• S•••• L•• (registered 2026-05-01)Feb 28, 2025 · Advisor changed firm · fact
- M•••••• C•••••• left H••• W••••• A••••••• for V••••• O•• I••••••••• S••••••••• L•• (registered 2026-01-16)Jan 14, 2025 · Advisor changed firm · fact
- Lyle Phillip Wilson (Treasurer) no longer on Schedule A of H••• W••••• A••••••• (listed 2024-11-20, absent 2024-12-03)Dec 3, 2024 · Control person left · inference
- Neal C••••••••• Sorce (Member) no longer on Schedule A of H••• W••••• A••••••• (listed 2024-05-02, absent 2024-11-20)Nov 20, 2024 · Control person left · inference
- J••••• Gregory Sorce (Member) no longer on Schedule A of H••• W••••• A••••••• (listed 2024-05-02, absent 2024-11-20)Nov 20, 2024 · Control person left · inference
- T. J••••• S••••• (Member) appeared on Schedule A of H••• W••••• A•••••••May 2, 2024 · Control person joined · fact
- C•••••• J••••••••• G••••••••• left H••• W••••• A••••••• for C••••••••• F•••••••• N•••••• (registered 2023-11-21)Oct 2, 2023 · Advisor changed firm · fact
- M•••••• C•• left H••• W••••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-02-22)Jan 13, 2023 · Advisor changed firm · fact
- G•••••••• E•••••••• G••••• left H••• W••••• A••••••• for B••••••••• P••••••• (registered 2022-10-26)Oct 3, 2022 · Advisor changed firm · fact
- M•••••• D• G•••• left H••• W••••• A••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-03-09)Jun 2, 2022 · Advisor changed firm · fact
- P•••••• J••• E•••••••• left H••• W••••• A••••••• for W•••••• P•••••• W••••• (registered 2022-03-02)Mar 14, 2022 · Advisor changed firm · fact
- M••• A•••••• M•••• left H••• W••••• A••••••• for M•••• W••••• M••••••••• L•• (registered 2023-07-07)Jan 21, 2022 · Advisor changed firm · fact
- K••• A••••• K•••• left H••• W••••• A••••••• for A••••••• W••••• P•••••••• L•• (registered 2022-03-21)Jan 20, 2022 · Advisor changed firm · fact
- H••• W••••• A••••••• reported RAUM $5.3B, up 26% from $4.2B (2021-03-12 to 2021-11-22)Nov 22, 2021 · RAUM change · derived
- J•••• C••••••••• Hines (Member) appeared on Schedule A of H••• W••••• A•••••••Nov 24, 2020 · Control person joined · fact
- H••• W••••• A••••••• reported RAUM $3.4B, up 32% from $2.6B (2018-09-26 to 2018-11-14)Nov 14, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- H••• W••••• A••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/hbks-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- level3wealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 814-836-5776reportedpublic record, Form ADV, Feb 17, 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026