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••••• C••••••••• I•••

Former SEC-registered adviserPhoenix, ArizonaCRD 115585SEC 801-60580IAPD
Latest filing Jun 21, 2021
First filing on the tape Feb 23, 2012 · 22 filings
RAUM
$440M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
95%
$420M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$440M as of Mar 28, 2021
Feb 23, 2012$174M then
HNW client RAUM$332M as of Mar 28, 2021
Mar 29, 2018$249M then
State-registered IARs (5.B.3)3 as of Mar 28, 2021
Feb 23, 20120 then
Employees (5.A)5 as of Mar 28, 2021
Feb 4, 20135 then
Private funds: no history
RAUM +13% over the last fiscal year+9.4% a year over threeIARs 3 to 3offices 0 to 1
Practice profile
derived from the filing of Jun 21, 2021; every figure names its basis
RAUM per advisor
$147MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
109derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$547,805derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+7.9%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody
$152M, 251 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$332M75%
  • Individuals$88.0M20%
  • Pension and profit-sharing plans$12.2M2.8%
  • Corporations and businesses$4.3M1.0%
  • Charitable organizations$4.2M1.0%
Individual clients
210reported
HNW clients
117reported
Pension plan clients
5reported
Charitable clients
n/areported
Accounts
804reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$152M for 251 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
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•••••• J••••• J• · Partnercontrol
      since 12/2020 · owns 25% to 50%
    • H•••••• T••••••• M•••••• · Presidentcontrol
      since 09/2001 · owns 75% or more
    • P••••• S•••••• C•••••••• · Chief Compliance Officercontrol
      since 02/2018 · owns less than 5%
    • U••••••• T•••••• S••••• · Private Wealth Manager
      since 12/2020 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 753 to 804
      Jan 8, 2021 to Mar 28, 2021
    • HNW clients · 103 to 117
      Jan 8, 2021 to Mar 28, 2021
    • Individual clients · 200 to 210
      Jan 8, 2021 to Mar 28, 2021
    • Assets in custody · $71.8M to $152M
      Jan 8, 2021 to Mar 28, 2021
    • Employees · 4 to 5
      Jan 8, 2021 to Mar 28, 2021
    • Other offices · 0 to 1
      Jan 8, 2021 to Mar 28, 2021
    • Discretionary RAUM · $381M to $428M
      Jan 8, 2021 to Mar 28, 2021
    • HNW RAUM · $288M to $332M
      Jan 8, 2021 to Mar 28, 2021
    • Individual RAUM · $86.0M to $88.0M
      Jan 8, 2021 to Mar 28, 2021
    • Non-discretionary RAUM · $8.1M to $12.2M
      Jan 8, 2021 to Mar 28, 2021
    • Pension RAUM · $8.1M to $12.2M
      Jan 8, 2021 to Mar 28, 2021
    • RAUM · $389M to $440M
      Jan 8, 2021 to Mar 28, 2021
    • Accounts · 741 to 753
      Mar 28, 2019 to Mar 24, 2020
    • Charity clients · 2.0 to unset
      Mar 28, 2019 to Mar 24, 2020
    • Corporate clients · 1.0 to unset
      Mar 28, 2019 to Mar 24, 2020
    • HNW clients · 79 to 103
      Mar 28, 2019 to Mar 24, 2020
    • Individual clients · 207 to 200
      Mar 28, 2019 to Mar 24, 2020
    • Pension plan clients · 2 to 5
      Mar 28, 2019 to Mar 24, 2020
    • Assets in custody · $84.6M to $71.8M
      Mar 28, 2019 to Mar 24, 2020
    • Other offices · 1 to 0
      Mar 28, 2019 to Mar 24, 2020
    • Discretionary RAUM · $320M to $381M
      Mar 28, 2019 to Mar 24, 2020
    • HNW RAUM · $237M to $288M
      Mar 28, 2019 to Mar 24, 2020
    • Individual RAUM · $78.3M to $86.0M
      Mar 28, 2019 to Mar 24, 2020
    • Non-discretionary RAUM · $5.9M to $8.1M
      Mar 28, 2019 to Mar 24, 2020
    • Pension RAUM · $1.4M to $8.1M
      Mar 28, 2019 to Mar 24, 2020
    • RAUM · $326M to $389M
      Mar 28, 2019 to Mar 24, 2020
    • Accounts · 682 to 741
      Mar 29, 2018 to Mar 28, 2019
    • HNW clients · 83 to 79
      Mar 29, 2018 to Mar 28, 2019
    • Individual clients · 191 to 207
      Mar 29, 2018 to Mar 28, 2019
    • Assets in custody · unset to 84578080.0
      Mar 29, 2018 to Mar 28, 2019
    • Custody of client assets · false to true
      Mar 29, 2018 to Mar 28, 2019
    • Employees · 5 to 4
      Mar 29, 2018 to Mar 28, 2019
    • Financial planning clients · 251-500 to 1-10
      Mar 29, 2018 to Mar 28, 2019
    • Discretionary RAUM · $330M to $320M
      Mar 29, 2018 to Mar 28, 2019
    • HNW RAUM · $249M to $237M
      Mar 29, 2018 to Mar 28, 2019
    • Individual RAUM · $77.6M to $78.3M
      Mar 29, 2018 to Mar 28, 2019
    • Non-discretionary RAUM · $6.0M to $5.9M
      Mar 29, 2018 to Mar 28, 2019
    • Pension RAUM · $1.1M to $1.4M
      Mar 29, 2018 to Mar 28, 2019
    • RAUM · $336M to $326M
      Mar 29, 2018 to Mar 28, 2019
    • Accounts · 551 to 682
      Mar 10, 2017 to Mar 29, 2018
    Signals
    7 dated events
    • T•••••• M•••••• H••••• left H••••• C••••••••• I••• for C••••••• P••••••• (registered 2022-01-13)
      Mar 9, 2022 · Advisor changed firm · fact
    • J•••• J• H••••• left H••••• C••••••••• I••• for C••••••• P••••••• (registered 2022-02-14)
      Jan 3, 2022 · Advisor changed firm · fact
    • T••••• S••••• U•••••• left H••••• C••••••••• I••• for C••••••• P••••••• (registered 2022-02-04)
      Jan 3, 2022 · Advisor changed firm · fact
    • T•••• J•••• M••••••• left H••••• C••••••••• I••• for C••••••• P••••••• (registered 2022-02-14)
      Jan 3, 2022 · Advisor changed firm · fact
    • H••••• C••••••••• I•••'s advisors moved to C••••••• P••••••• (Phoenix, AZ): 3 of 4 registered, on the same day
      Jan 3, 2022 · Firm absorbed (people side) · derived
    • J James H••••• (Partner) appeared on Schedule A of H••••• C••••••••• I•••
      Mar 28, 2021 · Control person joined · fact
    • Christine Shawna Perow (Chief Compliance Officer) appeared on Schedule A of H••••• C••••••••• I•••
      Mar 28, 2019 · Control person joined · fact
    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