DFX Intelligence
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SEC-registered adviser
H•• I••••••••• A•••••••• I•••
Latest filing May 27, 2026
First filing on the tape Aug 23, 2017 · 16 filings
SEC status approved since Sep 26, 2017
RAUM
$493M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$484M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$247M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$493M as of May 27, 2026
Jan 23, 2018$356M then
HNW client RAUM$382M as of May 27, 2026
Jan 23, 2018$311M then
State-registered IARs (5.B.3)2 as of May 27, 2026
Jan 23, 20181 then
Employees (5.A)2 as of May 27, 2026
Jan 23, 20182 then
Private funds: no history
RAUM +2.0% over the last fiscal year+6.0% a year over threeIARs 1 to 2
Practice profile
derived from the filing of May 27, 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
- RAUM per advisor
- $247MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $837,158derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$382M77%
- Individuals$102M21%
- Pension and profit-sharing plans$9.2M1.9%
- Individual clients
- 91reported
- HNW clients
- 127reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 589reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| S•••••• L••••••• H•••Certified Financial Planner | Newark, De | Jan 1, 1990 | 55 y | 1 |
| M•••••• P••• P••••••• | Glassboro, Nj | Sep 8, 2017 | 37 y | 3 |
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
- J•••• F•••••• G••••••• from M•• I•••••••• S•••••••• L••Mar 11, 2015 · Other
- M•••••• P••• P••••••• from M•• I•••••••• S•••••••• L••May 14, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• S••••••• L••••••• · President And Chief Compliance Officercontrolsince 04/1986 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Newark, De | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2Feb 26, 2026 to May 27, 2026
- Employees · 1 to 2Feb 26, 2026 to May 27, 2026
- State-registered IARs · 1 to 2Feb 26, 2026 to May 27, 2026
- Accounts · 676 to 589Feb 14, 2025 to Feb 26, 2026
- HNW clients · 56 to 127Feb 14, 2025 to Feb 26, 2026
- Individual clients · 155 to 91Feb 14, 2025 to Feb 26, 2026
- Discretionary RAUM · $484M to $493MFeb 14, 2025 to Feb 26, 2026
- HNW RAUM · $442M to $382MFeb 14, 2025 to Feb 26, 2026
- Individual RAUM · $32.9M to $102MFeb 14, 2025 to Feb 26, 2026
- Pension RAUM · $8.5M to $9.2MFeb 14, 2025 to Feb 26, 2026
- RAUM · $484M to $493MFeb 14, 2025 to Feb 26, 2026
- Accounts · 692 to 676Jan 24, 2024 to Feb 14, 2025
- HNW clients · 81 to 56Jan 24, 2024 to Feb 14, 2025
- Individual clients · 135 to 155Jan 24, 2024 to Feb 14, 2025
- Financial planning clients · 251-500 to 101-250Jan 24, 2024 to Feb 14, 2025
- HQ city · unset to Jan 24, 2024 to Feb 14, 2025
- HQ state · unset to Jan 24, 2024 to Feb 14, 2025
- Discretionary RAUM · $467M to $484MJan 24, 2024 to Feb 14, 2025
- HNW RAUM · $345M to $442MJan 24, 2024 to Feb 14, 2025
- Individual RAUM · $114M to $32.9MJan 24, 2024 to Feb 14, 2025
- Pension RAUM · $7.4M to $8.5MJan 24, 2024 to Feb 14, 2025
- RAUM · $467M to $484MJan 24, 2024 to Feb 14, 2025
- Accounts · 701 to 692Jan 24, 2023 to Jan 24, 2024
- Individual clients · 175 to 135Jan 24, 2023 to Jan 24, 2024
- Discretionary RAUM · $414M to $467MJan 24, 2023 to Jan 24, 2024
- HNW RAUM · $282M to $345MJan 24, 2023 to Jan 24, 2024
- Individual RAUM · $125M to $114MJan 24, 2023 to Jan 24, 2024
- Pension RAUM · $7.0M to $7.4MJan 24, 2023 to Jan 24, 2024
- RAUM · $414M to $467MJan 24, 2023 to Jan 24, 2024
- Accounts · 686 to 701Jul 7, 2022 to Jan 24, 2023
- HNW clients · 89 to 81Jul 7, 2022 to Jan 24, 2023
- Individual clients · 161 to 175Jul 7, 2022 to Jan 24, 2023
- Pension plan clients · unset to 2.0Jul 7, 2022 to Jan 24, 2023
- Discretionary RAUM · $480M to $414MJul 7, 2022 to Jan 24, 2023
- HNW RAUM · $310M to $282MJul 7, 2022 to Jan 24, 2023
- Individual RAUM · $163M to $125MJul 7, 2022 to Jan 24, 2023
- Pension RAUM · $6.8M to $7.0MJul 7, 2022 to Jan 24, 2023
- RAUM · $480M to $414MJul 7, 2022 to Jan 24, 2023
- Accounts · 614 to 686Feb 8, 2021 to Feb 7, 2022
- HNW clients · 85 to 89Feb 8, 2021 to Feb 7, 2022
Signals
2 dated events
- H•• I••••••••• A•••••••• I••• reported RAUM $356.0M, up 208% from $115.6M (2017-10-12 to 2018-01-23)Jan 23, 2018 · RAUM change · derived
- H•• I••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Aug 23, 2017 · First SEC registration · fact
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
- Website
- HFMINVESTMENTADVISORS.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 302-234-9777reportedpublic record, Form ADV, May 27, 2026
- Contact form
- hfminvestmentadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 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
- $247Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026