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.
Former SEC-registered adviser
Hbc Financial Services, Pllc
Latest filing Mar 1, 2024
First filing on the tape Jan 12, 2012 · 20 filings
SEC status approved since Feb 3, 2005
RAUM
$447M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
96%
$429M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$447M as of Mar 1, 2024
Jan 12, 2012$126M then
HNW client RAUM$398M as of Mar 1, 2024
Feb 8, 2018$246M then
State-registered IARs (5.B.3)4 as of Mar 1, 2024
Jan 12, 20120 then
Employees (5.A)5 as of Mar 1, 2024
Jan 22, 20136 then
Private funds: no history
RAUM +8.2% over the last fiscal year+4.0% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 1, 2024; every figure names its basis
- RAUM per advisor
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $663,250derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%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 consultingreportedItem 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$398M89%
- Individuals$31.1M7.0%
- Pension and profit-sharing plans$10.6M2.4%
- Charitable organizations$4.0M0.9%
- Corporations and businesses$3.5M0.8%
- Individual clients
- 122reported
- HNW clients
- 144reported
- Pension plan clients
- 3reported
- Charitable clients
- 4reported
- Accounts
- 674reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
- James B. Claypool to Coldstream Wealth ManagementJan 31, 2025 · RIA to RIA
- James Dayton Guard to Coldstream Wealth ManagementJan 31, 2025 · RIA to RIA
- Erika Swick Allen to Coldstream Wealth ManagementJan 31, 2025 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Coldstream Wealth ManagementJan 31, 2025 · Seattle, Wa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B. James Claypool · Membercontrolsince 01/2005 · owns 25% to 50%
- Dayton James Guard · Member And Chief Compliance Officercontrolsince 12/2014 · owns 25% to 50%
- Lee Janon Niess · Membercontrolsince 01/2021 · owns 25% to 50%
Related persons
Schedule D 7.A
- Harrison Berkman Claypool & Guard, Pllcinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 708 to 674Feb 3, 2023 to Mar 1, 2024
- Charity clients · 6 to 4Feb 3, 2023 to Mar 1, 2024
- HNW clients · 122 to 144Feb 3, 2023 to Mar 1, 2024
- Individual clients · 136 to 122Feb 3, 2023 to Mar 1, 2024
- Discretionary RAUM · $397M to $433MFeb 3, 2023 to Mar 1, 2024
- HNW RAUM · $338M to $398MFeb 3, 2023 to Mar 1, 2024
- Individual RAUM · $58.7M to $31.1MFeb 3, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $16.5M to $14.0MFeb 3, 2023 to Mar 1, 2024
- Pension RAUM · $9.0M to $10.6MFeb 3, 2023 to Mar 1, 2024
- RAUM · $413M to $447MFeb 3, 2023 to Mar 1, 2024
- Accounts · 679 to 708Feb 2, 2022 to Feb 3, 2023
- Charity clients · 4 to 6Feb 2, 2022 to Feb 3, 2023
- Corporate clients · 13 to 12Feb 2, 2022 to Feb 3, 2023
- HNW clients · 137 to 122Feb 2, 2022 to Feb 3, 2023
- Individual clients · 105 to 136Feb 2, 2022 to Feb 3, 2023
- Discretionary RAUM · $448M to $397MFeb 2, 2022 to Feb 3, 2023
- HNW RAUM · $423M to $338MFeb 2, 2022 to Feb 3, 2023
- Individual RAUM · $28.1M to $58.7MFeb 2, 2022 to Feb 3, 2023
- Non-discretionary RAUM · $19.4M to $16.5MFeb 2, 2022 to Feb 3, 2023
- Pension RAUM · $10.1M to $9.0MFeb 2, 2022 to Feb 3, 2023
- RAUM · $468M to $413MFeb 2, 2022 to Feb 3, 2023
- Accounts · 655 to 679Mar 1, 2021 to Feb 2, 2022
- HNW clients · 120 to 137Mar 1, 2021 to Feb 2, 2022
- Individual clients · 113 to 105Mar 1, 2021 to Feb 2, 2022
- Financial planning clients · 11-25 to 1-10Mar 1, 2021 to Feb 2, 2022
- Discretionary RAUM · $360M to $448MMar 1, 2021 to Feb 2, 2022
- HNW RAUM · $354M to $423MMar 1, 2021 to Feb 2, 2022
- Individual RAUM · $29.0M to $28.1MMar 1, 2021 to Feb 2, 2022
- Non-discretionary RAUM · $37.7M to $19.4MMar 1, 2021 to Feb 2, 2022
- Pension RAUM · $8.8M to $10.1MMar 1, 2021 to Feb 2, 2022
- RAUM · $398M to $468MMar 1, 2021 to Feb 2, 2022
- Accounts · 636 to 655Jun 26, 2020 to Mar 1, 2021
- Advisory employees · 3 to 4Jun 26, 2020 to Mar 1, 2021
- HNW clients · 100 to 120Jun 26, 2020 to Mar 1, 2021
- Individual clients · 132 to 113Jun 26, 2020 to Mar 1, 2021
- State-registered IARs · 3 to 4Jun 26, 2020 to Mar 1, 2021
- Discretionary RAUM · $331M to $360MJun 26, 2020 to Mar 1, 2021
- HNW RAUM · $312M to $354MJun 26, 2020 to Mar 1, 2021
- Individual RAUM · $39.3M to $29.0MJun 26, 2020 to Mar 1, 2021
- Non-discretionary RAUM · $32.5M to $37.7MJun 26, 2020 to Mar 1, 2021
Signals
6 dated events
- Hbc Financial Services, Pllc no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $447.0M)Feb 3, 2025 · Left the SEC roster · derived
- Erika Swick Allen left Hbc Financial Services, Pllc for Coldstream Wealth Management (registered 2025-01-21)Jan 31, 2025 · Advisor changed firm · fact
- Hbc Financial Services, Pllc's advisors moved to Coldstream Wealth Management (Seattle, WA): 3 of 3 registered, on the same dayJan 31, 2025 · Firm absorbed (people side) · derived
- James Dayton Guard left Hbc Financial Services, Pllc for Coldstream Wealth Management (registered 2025-01-21)Jan 31, 2025 · Advisor changed firm · fact
- James B. Claypool left Hbc Financial Services, Pllc for Coldstream Wealth Management (registered 2025-01-21)Jan 31, 2025 · Advisor changed firm · fact
- Lee Janon Niess (Member) appeared on Schedule A of Hbc Financial Services, PllcMar 1, 2021 · 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