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•••••• A•••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Apr 15, 2020 · 22 filings
SEC status approved since May 15, 2020
RAUM
$463M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
80%
$369M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$66.1M
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$463M as of Mar 23, 2026
Mar 22, 2021$111M then
HNW client RAUM$315M as of Mar 23, 2026
Mar 22, 2021$76.9M then
State-registered IARs (5.B.3)8 as of Mar 23, 2026
Mar 22, 20215 then
Employees (5.A)10 as of Mar 23, 2026
Mar 22, 20217 then
Private funds: 1
RAUM +18% over the last fiscal year+14% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Mar 23, 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
- RAUM per advisor
- $66.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $768,295derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $97.4M, 60 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$315M68%
- Charitable organizations$77.6M17%
- Individuals$53.9M12%
- Corporations and businesses$16.2M3.5%
- Individual clients
- 133reported
- HNW clients
- 133reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 602reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $97.4M for 60 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• E••••• R••••••••• | Scottsd•••, Az | Aug 22, 2003 | 43 y | 1 |
| D••• J••••• B•••••••• | Tampa, Fl | Apr 13, 2018 | 42 y | 5 |
| H•••••• L•••• | Scottsd•••, Az | Jun 14, 2018 | 10 y | 0 |
| K•••••• K• J••••• | Scottsd•••, Az | Jan 10, 2020 | 14 y | 3 |
| M•••••• S•••• A••••• | Tampa, Fl | Jan 21, 2022 | 20 y | 0 |
| S••••• J••••••• H••••• | Auburn, Al | Oct 13, 2023 | 40 y | 3 |
| M••• J••••••• E••••••• | Cave Creek, Az | Aug 4, 2025 | 23 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
- H•••••• H• L••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 17, 2019 · RIA to wirehouse
- M••• R••••• C••••••• to C••••••• A•••• M••••••••• L••Sep 20, 2006 · RIA to a state-registered adviser
Joined, latest
- S••••• J••••••• H••••• from M••••• S••••••Oct 13, 2023 · Wirehouse to independent RIA
- K•••••• K• J••••• from H••••• R••••Jan 10, 2020 · RIA to RIA
- H•••••• H• L••••• from R•••••• J•••• • A••••••••• I•••Mar 19, 2019 · Affiliated broker-dealer or bank to independent RIA
- D••• J••••• B•••••••• from H••••• R••••Apr 13, 2018 · RIA to RIA
- M••• R••••• C••••••• from Q•• F•••••••• L••Feb 8, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from H••••• R••••Jun 4, 2018 · Charlotte, Nc
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• L••no longer reported | Venture Capital Fund | $1.0M | 15 | Mar 1, 2022 |
Owners and control persons
Schedule A and B, latest filing
- R••••••••• A•••• E••••• · Managing Director And Chief Compliance Officercontrolsince 05/2001 · 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 |
|---|---|---|---|---|---|
| Scottsd•••, Az · principal | 7 | 0 | 0 | ||
| Tampa, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Tampa, FL3 employees
- Mckinney, TX1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 23, 2026commissions (Item 5.E.5): yes on the filing of 2025-04-17, no on the filing of 2026-03-23peers: independent wealth managers, $100M to $500M (5,676)
- custody status changedChange between filings · filing Mar 23, 2026custody of client assets (Item 9.A): no on the filing of 2025-04-17, yes on the filing of 2026-03-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 528 to 602Apr 17, 2025 to Mar 23, 2026
- Advisory employees · 8 to 9Apr 17, 2025 to Mar 23, 2026
- Advisory activities · 4 to 5Apr 17, 2025 to Mar 23, 2026
- Corporate clients · 6 to 7Apr 17, 2025 to Mar 23, 2026
- HNW clients · 123 to 133Apr 17, 2025 to Mar 23, 2026
- Individual clients · 129 to 133Apr 17, 2025 to Mar 23, 2026
- Commission compensation · true to falseApr 17, 2025 to Mar 23, 2026
- Assets in custody · unset to 97372055.0Apr 17, 2025 to Mar 23, 2026
- Custody of client assets · false to trueApr 17, 2025 to Mar 23, 2026
- Employees · 9 to 10Apr 17, 2025 to Mar 23, 2026
- State-registered IARs · 7 to 8Apr 17, 2025 to Mar 23, 2026
- Discretionary RAUM · $372M to $417MApr 17, 2025 to Mar 23, 2026
- HNW RAUM · $261M to $315MApr 17, 2025 to Mar 23, 2026
- Individual RAUM · $42.9M to $53.9MApr 17, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $21.4M to $45.9MApr 17, 2025 to Mar 23, 2026
- RAUM · $394M to $463MApr 17, 2025 to Mar 23, 2026
- Accounts · 481 to 528Mar 12, 2024 to Apr 17, 2025
- Charity clients · 0 to 2Mar 12, 2024 to Apr 17, 2025
- Corporate clients · 7 to 6Mar 12, 2024 to Apr 17, 2025
- HNW clients · 118 to 123Mar 12, 2024 to Apr 17, 2025
- Individual clients · 110 to 129Mar 12, 2024 to Apr 17, 2025
- Assets in custody · 32292041.0 to unsetMar 12, 2024 to Apr 17, 2025
- Custody of client assets · true to falseMar 12, 2024 to Apr 17, 2025
- Financial planning clients · 1-10 to 1-10Mar 12, 2024 to Apr 17, 2025
- Discretionary RAUM · $356M to $372MMar 12, 2024 to Apr 17, 2025
- HNW RAUM · $200M to $261MMar 12, 2024 to Apr 17, 2025
- Individual RAUM · $32.1M to $42.9MMar 12, 2024 to Apr 17, 2025
- Non-discretionary RAUM · $0 to $21.4MMar 12, 2024 to Apr 17, 2025
- RAUM · $356M to $394MMar 12, 2024 to Apr 17, 2025
- Accounts · 458 to 481Jan 17, 2024 to Mar 12, 2024
- HNW clients · 113 to 118Jan 17, 2024 to Mar 12, 2024
- Individual clients · 103 to 110Jan 17, 2024 to Mar 12, 2024
- Commission compensation · false to trueJan 17, 2024 to Mar 12, 2024
- Assets in custody · $14.5M to $32.3MJan 17, 2024 to Mar 12, 2024
- Other offices · 3 to 4Jan 17, 2024 to Mar 12, 2024
- Discretionary RAUM · $298M to $356MJan 17, 2024 to Mar 12, 2024
- HNW RAUM · $165M to $200MJan 17, 2024 to Mar 12, 2024
- Individual RAUM · $29.6M to $32.1MJan 17, 2024 to Mar 12, 2024
- Non-discretionary RAUM · $15.6M to $0Jan 17, 2024 to Mar 12, 2024
- RAUM · $314M to $356MJan 17, 2024 to Mar 12, 2024
Signals
2 dated events
- H•••••• A•••• M••••••••• L•• reported RAUM $313.9M, up 169% from $116.7M (2022-03-01 to 2023-03-01)Mar 1, 2023 · RAUM change · derived
- H•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 15, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H•••••• A•••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 480-942-7701reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- harmonynonprofit.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-314-5967reportedpublic record, Form ADV, Mar 23, 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
- $66.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026