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
Howard Capital Management, LLC
Latest filing Jun 12, 2026
First filing on the tape Mar 15, 2012 · 61 filings
SEC status approved since Dec 15, 2008
RAUM
$8.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
54%
$4.4B individuals and HNW
Advisors
24
registered through the firm on IAPD
RAUM per advisor
$334M
derived; firm RAUM over IAPD count
Employees
45
10 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
61 filings and snapshots on the tape
RAUM$8.0B as of Jun 12, 2026
Mar 15, 2012$201M then
HNW client RAUM$1.9B as of Jun 12, 2026
Mar 28, 2018$60.2M then
State-registered IARs (5.B.3)23 as of Jun 12, 2026
Feb 20, 20134 then
Employees (5.A)45 as of Jun 12, 2026
Feb 20, 201310 then
Private funds1 as of Mar 28, 2024
Mar 22, 20211 then
RAUM +17% over the last fiscal year+21% a year over threeIARs 17 to 23offices 2 to 4
Practice profile
derived from the filing of Jun 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $334MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 439derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $548,113derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 4.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +35%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, subscriptionreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$2.5B32%
- Individuals$2.5B31%
- High-net-worth individuals$1.9B24%
- Investment companies$1.0B13%
- Corporations and businesses$32.8M0.4%
- Charitable organizations$19.1M0.2%
- Pension and profit-sharing plans$4.5M0.1%
- Individual clients
- 9,734reported
- HNW clients
- 812reported
- Pension plan clients
- 6reported
- Charitable clients
- 7reported
- Accounts
- 14,608reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.54 fund_share=0.45 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
24 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ronald Vance Howard | Huntsville, Tx | Feb 5, 2003 | 32 y | 5 |
| Byron Lee Preuss | Roswell, Ga | May 4, 2009 | 26 y | 4 |
| Nathan Simpson | Denver, Co | May 1, 2013 | 13 y | 0 |
| Margaret Thamer Mayer | Alpheratta, Ga | Mar 9, 2016 | 11 y | 2 |
| Michael John Rowe | Canton, Ga | May 10, 2017 | 27 y | 2 |
| Kramer K Shiflett | Alpharetta, Ga | Jul 12, 2018 | 10 y | 1 |
| Hayden Torsten Gerwien | Alpharetta, Ga | Jul 12, 2018 | 10 y | 1 |
| Steven P Meyer | Alpharetta, Ga | Aug 1, 2018 | 10 y | 1 |
| William Granville Stark | Alpharetta, Ga | Jan 16, 2019 | 13 y | 0 |
| Carlos Polanco-Rojas | Alpharetta, Ga | Jul 23, 2019 | 13 y | 0 |
| Zachary Alan Stout | Alpharetta, Ga | Jun 2, 2020 | 18 y | 3 |
| Christopher Michael Cannata | Alpharetta, Ga | Aug 27, 2020 | 12 y | 0 |
| Eric Robert Nyquist | Alpharetta, Ga | Oct 5, 2021 | 11 y | 0 |
| Sandler Edward Weinberg | Houston, Tx | Oct 15, 2021 | 10 y | 1 |
| Daniel Christopher Hornbaker | Trophy Club, Tx | Jan 30, 2022 | 32 y | 2 |
| Brandon Melick | Alpharetta, Ga | Feb 1, 2022 | 11 y | 0 |
| Coleton Edward Staton | Alpharetta, Ga | Dec 6, 2023 | 12 y | 0 |
| Bailey Wakefield | Huntsville, Tx | Jan 31, 2024 | 12 y | 0 |
| Kourtney Scott | Huntsville, Tx | Feb 1, 2024 | 14 y | 0 |
| Daniel Arnstein | Alpharetta, Ga | Dec 23, 2025 | 10 y | 0 |
| Matthew Thomas Daley | Alpharetta, Ga | Jan 1, 2026 | 29 y | 0 |
| Graham Lloyd Thomas | Alpharetta, Ga | Jan 29, 2026 | 11 y | 0 |
| Caden Matthew Palmer | Alpharetta, Ga | Mar 24, 2026 | 11 y | 1 |
| Brian C Boles | Alpharetta, Ga | Jun 12, 2026 | 10 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Anthony E. Sherlag to Embassy Asset Management LPMar 30, 2023 · Other
- Loyd Lamar Beacham to Badger Creek Advisors, LLCSep 19, 2022 · Other
- Samuel Wright to Elevation Point Wealth Partners, LLCOct 15, 2021 · RIA to RIA
- Patrick Robert Mcgill to Robertson Investment ManagementOct 22, 2020 · RIA to RIA
- Matthew Aaron Clark to Capital Investment Advisors, LLCOct 8, 2020 · RIA to RIA
Joined, latest
- Brian C Boles from Oneamerica Securities, Inc.Jun 12, 2026 · Affiliated broker-dealer or bank to independent RIA
- Caden Matthew Palmer from Morgan StanleyMar 24, 2026 · Wirehouse to independent RIA
- Daniel Christopher Hornbaker from Guggenheim InvestmentsJan 30, 2022 · Other
- Sandler Edward Weinberg from Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 15, 2021 · Wirehouse to independent RIA
- Loyd Lamar Beacham from Voya Investment Management Co. LLCApr 23, 2021 · Other
- Samuel Wright from Stratos Wealth Partners, LtdNov 30, 2020 · Other
- Zachary Alan Stout from Algorithmic Investment ModelsJun 2, 2020 · Other
- Patrick Robert Mcgill from Johnson Wealth Inc.May 27, 2020 · RIA to RIA
- Steven P Meyer from Edward JonesAug 1, 2018 · Affiliated broker-dealer or bank to independent RIA
- Kramer K Shiflett from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 12, 2018 · Wirehouse to independent RIA
- Hayden Torsten Gerwien from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 12, 2018 · Wirehouse to independent RIA
- Matthew Aaron Clark from Lindner Capital Advisors, Inc.Jul 10, 2018 · RIA to RIA
- Michael John Rowe from Absolute Capital Management, LLCMay 10, 2017 · Other
- Byron Lee Preuss from Onyx Wealth Advisors, Inc.May 4, 2009 · Other
- Ronald Vance Howard from Ims Securities, Inc.Feb 5, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 14, 2018 · Alpharetta, Ga
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Hcm Institutional Equityno longer reported | Hedge Fund | $897 | 3 | Oct 29, 2020 |
Owners and control persons
Schedule A and B, latest filing
- Lisa Arrington · Chief Compliance Officercontrolsince 02/2016 · owns less than 5%
- Segall Dory Black · Chief Compliance Counselcontrolsince 02/2026 · owns less than 5%
- Ian Christopher Ferguson · Presidentcontrolsince 04/2020 · owns less than 5%
- Guderian Karen Howard · Chief Operating Officercontrolsince 05/2010 · owns less than 5%
- Vance Ronald Howard · Ceocontrolsince 05/2010 · owns less than 5%
Entity owners
- Hcm Holding Co., Inc. · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Blue Duck Insurance Network, Inc.real estaten
- Gomez Capital, Inc.pooled vehicle sponsorn
Advisers that list Howard Capital Management, LLC as a related person
- 281832 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Alpharetta, Ga · principal | 23 | 5 | 0 | ||
| Huntsville, Tx | 3 | 0 | 0 | ||
| Denver, Co | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Huntsville, TX7 employees
- Houston, TX2 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 12, 2026BLACK, DORY, SEGALL (CHIEF COMPLIANCE COUNSEL) appeared on Schedule A between the filings of 2020-07-08 and 2026-06-12peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jun 12, 2026Arrington, Lisa (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2020-07-08 and 2026-06-12peers: independent wealth managers, $5B to $20B (289)
- new owner headcount expandsCombination · filing Mar 30, 2026HCM HOLDING CO., INC. joined Schedule A on the filing of 2026-06-12; advisors 17.0 to 23.0 between the annual amendments of 2025-03-26 and 2026-03-30peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Business name · HOWARD CAPITAL MANAGEMENT, INC. to HOWARD CAPITAL MANAGEMENT, LLCMar 30, 2026 to Jun 12, 2026
- HQ city · ROSWELL to ALPHARETTAMar 30, 2026 to Jun 12, 2026
- Legal name · HOWARD CAPITAL MANAGEMENT, INC. to HOWARD CAPITAL MANAGEMENT, LLCMar 30, 2026 to Jun 12, 2026
- Organization form · Corporation to Limited Liability CompanyMar 30, 2026 to Jun 12, 2026
- Accounts · 14,684 to 14,608Feb 20, 2026 to Mar 30, 2026
- Advisory employees · 15 to 10Feb 20, 2026 to Mar 30, 2026
- Corporate clients · 21 to 24Feb 20, 2026 to Mar 30, 2026
- HNW clients · 758 to 812Feb 20, 2026 to Mar 30, 2026
- Individual clients · 9,588 to 9,734Feb 20, 2026 to Mar 30, 2026
- Pension plan clients · 7 to 6Feb 20, 2026 to Mar 30, 2026
- Employees · 43 to 45Feb 20, 2026 to Mar 30, 2026
- State-registered IARs · 17 to 23Feb 20, 2026 to Mar 30, 2026
- Other offices · 3 to 4Feb 20, 2026 to Mar 30, 2026
- Discretionary RAUM · $6.9B to $8.0BFeb 20, 2026 to Mar 30, 2026
- HNW RAUM · $1.5B to $1.9BFeb 20, 2026 to Mar 30, 2026
- Individual RAUM · $2.1B to $2.5BFeb 20, 2026 to Mar 30, 2026
- Pension RAUM · $3.6M to $4.5MFeb 20, 2026 to Mar 30, 2026
- RAUM · $6.9B to $8.0BFeb 20, 2026 to Mar 30, 2026
- Other offices · 1 to 3Jun 30, 2025 to Nov 25, 2025
- Financial planning clients · unset to May 8, 2025 to Jun 30, 2025
- Other offices · 2 to 1May 8, 2025 to Jun 30, 2025
- Accounts · 14,312 to 14,684Jan 10, 2025 to Mar 26, 2025
- Advisory employees · 18 to 15Jan 10, 2025 to Mar 26, 2025
- Advisory activities · 4 to 3Jan 10, 2025 to Mar 26, 2025
- BD registered reps · 3 to 5Jan 10, 2025 to Mar 26, 2025
- Charity clients · unset to 7.0Jan 10, 2025 to Mar 26, 2025
- Corporate clients · 19 to 21Jan 10, 2025 to Mar 26, 2025
- HNW clients · 503 to 758Jan 10, 2025 to Mar 26, 2025
- Individual clients · 9,603 to 9,588Jan 10, 2025 to Mar 26, 2025
- Pension plan clients · 10 to 7Jan 10, 2025 to Mar 26, 2025
- Pooled vehicle clients · 1.0 to unsetJan 10, 2025 to Mar 26, 2025
- Employees · 42 to 43Jan 10, 2025 to Mar 26, 2025
- State-registered IARs · 16 to 17Jan 10, 2025 to Mar 26, 2025
- Discretionary RAUM · $5.2B to $6.9BJan 10, 2025 to Mar 26, 2025
- HNW RAUM · $911M to $1.5BJan 10, 2025 to Mar 26, 2025
- Individual RAUM · $1.9B to $2.1BJan 10, 2025 to Mar 26, 2025
- Pension RAUM · $7.9M to $3.6MJan 10, 2025 to Mar 26, 2025
- Pooled vehicle RAUM · 896784.0 to unsetJan 10, 2025 to Mar 26, 2025
- RAUM · $5.2B to $6.9BJan 10, 2025 to Mar 26, 2025
- Private funds · 1 to unsetMar 28, 2024 to Jan 10, 2025
Signals
10 dated events
- Howard Capital Management, Llc reported RAUM $6.9B, up 31% from $5.2B (2025-01-10 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- Anthony E. Sherlag left Howard Capital Management, Llc for Embassy Asset Management Lp (registered 2025-09-08)Mar 30, 2023 · Advisor changed firm · fact
- Loyd Lamar Beacham left Howard Capital Management, Llc for Badger Creek Advisors, Llc (registered 2023-11-15)Sep 19, 2022 · Advisor changed firm · fact
- Howard Capital Management, Llc reported RAUM $5.5B, up 116% from $2.5B (2021-03-24 to 2022-03-18)Mar 18, 2022 · RAUM change · derived
- Howard Capital Management, Llc reported 25 state-registered advisory representatives, up from 15 (2021-03-24 to 2022-03-18)Mar 18, 2022 · Advisor headcount change · derived
- Howard Capital Management, Llc reported RAUM $2.5B, up 78% from $1.4B (2020-10-29 to 2021-03-22)Mar 22, 2021 · RAUM change · derived
- Francis William Martin (President) no longer on Schedule A of Howard Capital Management, Llc (listed 2020-06-16, absent 2020-07-08)Jul 8, 2020 · Control person left · inference
- Ian Christopher Ferguson (President) appeared on Schedule A of Howard Capital Management, LlcJul 8, 2020 · Control person joined · fact
- Howard Capital Management, Llc reported RAUM $1.4B, up 35% from $1.0B (2018-11-09 to 2019-03-22)Mar 22, 2019 · RAUM change · derived
- Howard Capital Management, Llc reported RAUM $1.0B, up 59% from $637.0M (2017-08-25 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
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
- Business email
- info@howardcm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 770-642-4902reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/howard-capital-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- HOWARDCM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 770-642-4902reportedpublic record, Form ADV, Jun 12, 2026
- Contact form
- howardcm.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- howardcm.com/meet-the-teamreportedpublished 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
- $334Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026