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.
SEC-registered adviser
Houlihan Financial Resource Group, Ltd.
Latest filing Mar 24, 2026
First filing on the tape Feb 23, 2012 · 22 filings
SEC status approved since May 22, 2002
RAUM
$357M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$357M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$357M as of Mar 24, 2026
Feb 23, 2012$139M then
HNW client RAUM$325M as of Mar 24, 2026
Mar 30, 2018$218M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Feb 23, 20120 then
Employees (5.A)4 as of Mar 24, 2026
Mar 25, 20135 then
Private funds: no history
RAUM +10% over the last fiscal year+7.5% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $633,314derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$325M91%
- Individuals$32.4M9.1%
- Individual clients
- 78reported
- HNW clients
- 93reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 564reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ryan P Houlihan | Reston, Va | Apr 16, 2002 | 26 y | 0 |
| Patricia Powell HoulihanCertified Financial Planner | Ashburn, Va | May 29, 2002 | 41 y | 0 |
| Carlton Lee Fitch | Ashburn, Va | Jan 16, 2009 | 20 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
- Joni Roberta Alt to Hopwood Financial Services, Inc.Feb 1, 2010 · Other
- Mary Louise Moore to Armstrong, Fleming & Moore, Inc.Dec 12, 2002 · Other
Joined, latest
- Joni Roberta Alt from West Financial Services IncJan 14, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Powell Patricia Houlihan · Presidentcontrolsince 01/2000 · owns 75% or more
- P Ryan Houlihan · Chief Compliance Officer/Principalcontrolsince 05/2010 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Ashburn, Va · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 562 to 564Mar 26, 2025 to Mar 24, 2026
- HNW clients · 103 to 93Mar 26, 2025 to Mar 24, 2026
- Individual clients · 82 to 78Mar 26, 2025 to Mar 24, 2026
- Discretionary RAUM · $324M to $357MMar 26, 2025 to Mar 24, 2026
- HNW RAUM · $291M to $325MMar 26, 2025 to Mar 24, 2026
- Individual RAUM · $33.4M to $32.4MMar 26, 2025 to Mar 24, 2026
- RAUM · $324M to $357MMar 26, 2025 to Mar 24, 2026
- Accounts · 570 to 562Apr 15, 2024 to Mar 26, 2025
- HNW clients · 191 to 103Apr 15, 2024 to Mar 26, 2025
- Individual clients · unset to 82.0Apr 15, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Apr 15, 2024 to Mar 26, 2025
- Discretionary RAUM · $322M to $324MApr 15, 2024 to Mar 26, 2025
- HNW RAUM · $322M to $291MApr 15, 2024 to Mar 26, 2025
- Individual RAUM · unset to 33375332.0Apr 15, 2024 to Mar 26, 2025
- RAUM · $322M to $324MApr 15, 2024 to Mar 26, 2025
- Accounts · 546 to 570Mar 24, 2023 to Mar 28, 2024
- HNW clients · 95 to 191Mar 24, 2023 to Mar 28, 2024
- Individual clients · 90.0 to unsetMar 24, 2023 to Mar 28, 2024
- Discretionary RAUM · $287M to $322MMar 24, 2023 to Mar 28, 2024
- HNW RAUM · $250M to $322MMar 24, 2023 to Mar 28, 2024
- Individual RAUM · 37220284.0 to unsetMar 24, 2023 to Mar 28, 2024
- RAUM · $287M to $322MMar 24, 2023 to Mar 28, 2024
- Accounts · 548 to 546Mar 24, 2022 to Mar 24, 2023
- HNW clients · 91 to 95Mar 24, 2022 to Mar 24, 2023
- Individual clients · 95 to 90Mar 24, 2022 to Mar 24, 2023
- Discretionary RAUM · $313M to $287MMar 24, 2022 to Mar 24, 2023
- HNW RAUM · $276M to $250MMar 24, 2022 to Mar 24, 2023
- Individual RAUM · $37.4M to $37.2MMar 24, 2022 to Mar 24, 2023
- RAUM · $313M to $287MMar 24, 2022 to Mar 24, 2023
- Accounts · 524 to 548Mar 8, 2021 to Mar 23, 2022
- HNW clients · 95 to 91Mar 8, 2021 to Mar 23, 2022
- Individual clients · 85 to 95Mar 8, 2021 to Mar 23, 2022
- Assets in custody · 45119428.0 to unsetMar 8, 2021 to Mar 23, 2022
- Custody of client assets · true to falseMar 8, 2021 to Mar 23, 2022
- Discretionary RAUM · $283M to $313MMar 8, 2021 to Mar 23, 2022
- HNW RAUM · $252M to $276MMar 8, 2021 to Mar 23, 2022
- Individual RAUM · $31.8M to $37.4MMar 8, 2021 to Mar 23, 2022
- RAUM · $283M to $313MMar 8, 2021 to Mar 23, 2022
- Accounts · 513 to 524Jun 24, 2020 to Mar 8, 2021
- HNW clients · 89 to 95Jun 24, 2020 to Mar 8, 2021
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
- Firm profile
- LINKEDIN.COM/COMPANY/HOULIHAN-FINANCIAL-RESOURCE-GROUP-LTDreportedpublic record, Form ADV, Sep 17, 2026
- Website
- HOULIHANFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 703-796-0800reportedpublic record, Form ADV, Mar 24, 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
- $119Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026