DFX Intelligence
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Latest filing Apr 9, 2026
First filing on the tape Mar 27, 2012 · 31 filings
SEC status approved since Sep 16, 2003
RAUM
$206M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$204M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$206M as of Apr 9, 2026
Mar 27, 2012$54.0M then
HNW client RAUM$165M as of Apr 9, 2026
Mar 19, 2019$25.1M then
State-registered IARs (5.B.3)2 as of Apr 9, 2026
Mar 27, 20120 then
Employees (5.A)2 as of Apr 9, 2026
Mar 28, 20133 then
Private funds: no history
RAUM +19% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 9, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $453,988derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$165M80%
- Individuals$38.7M19%
- Charitable organizations$2.1M1.0%
- Individual clients
- 66reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 454reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• M••••• P••••Certified Financial Planner | New York, Ny | Jun 12, 2021 | 19 y | 0 |
| P•••• D•••••••• M••Certified Financial Planner | New York, Ny | Jul 26, 2021 | 19 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••• P••••• D•••••••• · Secretary And Assitant Treasurercontrolsince 03/2017 · owns 25% to 50%
- P••••• G•••••• M••••• · President And Chief Compliance Officercontrolsince 03/2017 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| New York, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 9, 2026discretionary share of RAUM of 0% against a peer median of 100% (5679 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,679) · 0.0% percentile
- discretionary share shiftChange between filings · filing Apr 9, 2026discretionary share of RAUM moved from 100.0% to 0.0% between the annual amendments of 2025-03-18 and 2026-04-09peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Accounts · 437 to 454Mar 18, 2025 to Feb 20, 2026
- Charity clients · 1.0 to unsetMar 18, 2025 to Feb 20, 2026
- HNW clients · 54 to 56Mar 18, 2025 to Feb 20, 2026
- Individual clients · 64 to 66Mar 18, 2025 to Feb 20, 2026
- Employees · 3 to 2Mar 18, 2025 to Feb 20, 2026
- Financial planning clients · 51-100 to 101-250Mar 18, 2025 to Feb 20, 2026
- Discretionary RAUM · $174M to $0Mar 18, 2025 to Feb 20, 2026
- HNW RAUM · $141M to $165MMar 18, 2025 to Feb 20, 2026
- Individual RAUM · $30.5M to $38.7MMar 18, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $0 to $206MMar 18, 2025 to Feb 20, 2026
- RAUM · $174M to $206MMar 18, 2025 to Feb 20, 2026
- Accounts · 434 to 437Feb 4, 2025 to Mar 18, 2025
- HNW clients · 53 to 54Feb 4, 2025 to Mar 18, 2025
- Individual clients · 69 to 64Feb 4, 2025 to Mar 18, 2025
- Financial planning clients · 101-250 to 51-100Feb 4, 2025 to Mar 18, 2025
- Discretionary RAUM · $0 to $174MFeb 4, 2025 to Mar 18, 2025
- HNW RAUM · $136M to $141MFeb 4, 2025 to Mar 18, 2025
- Individual RAUM · $31.0M to $30.5MFeb 4, 2025 to Mar 18, 2025
- Non-discretionary RAUM · $169M to $0Feb 4, 2025 to Mar 18, 2025
- RAUM · $169M to $174MFeb 4, 2025 to Mar 18, 2025
- HQ city · unset to Mar 21, 2024 to Feb 4, 2025
- HQ state · unset to Mar 21, 2024 to Feb 4, 2025
- Accounts · 450 to 434Mar 18, 2023 to Mar 21, 2024
- HNW clients · 52 to 53Mar 18, 2023 to Mar 21, 2024
- Individual clients · 79 to 69Mar 18, 2023 to Mar 21, 2024
- HNW RAUM · $117M to $136MMar 18, 2023 to Mar 21, 2024
- Individual RAUM · $29.3M to $31.0MMar 18, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $148M to $169MMar 18, 2023 to Mar 21, 2024
- RAUM · $148M to $169MMar 18, 2023 to Mar 21, 2024
- Accounts · 439 to 450Aug 16, 2022 to Mar 18, 2023
- HNW clients · 8 to 52Aug 16, 2022 to Mar 18, 2023
- Individual clients · 116 to 79Aug 16, 2022 to Mar 18, 2023
- HNW RAUM · $41.1M to $117MAug 16, 2022 to Mar 18, 2023
- Individual RAUM · $132M to $29.3MAug 16, 2022 to Mar 18, 2023
- Non-discretionary RAUM · $175M to $148MAug 16, 2022 to Mar 18, 2023
- RAUM · $175M to $148MAug 16, 2022 to Mar 18, 2023
- Accounts · 430 to 439May 5, 2021 to Mar 29, 2022
- HNW clients · 6 to 8May 5, 2021 to Mar 29, 2022
- Individual clients · 117 to 116May 5, 2021 to Mar 29, 2022
- HNW RAUM · $27.7M to $41.1MMay 5, 2021 to Mar 29, 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 phone
- 800-991-2996reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-402-5444reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/hfh-planning-inc.reportedpublic record, Form ADV, Apr 9, 2026
- Website
- HFHP•••••••.COMreportedpublic record, Form ADV, Apr 9, 2026
- Principal office phone
- 212-402-5444reportedpublic record, Form ADV, Apr 9, 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
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026