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.
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SEC-registered adviser
H•• F•••••••• G••••
Legal name H••••• W••••••• • A••••••••• I•••
Latest filing Mar 23, 2026
First filing on the tape Mar 26, 2012 · 25 filings
SEC status approved since Jul 20, 2018
RAUM
$295M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
90%
$267M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$98.4M
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
25 filings and snapshots on the tape
RAUM$295M as of Mar 23, 2026
Mar 26, 2012$49.1M then
HNW client RAUM$229M as of Mar 23, 2026
Mar 25, 2019$93.8M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Mar 26, 20120 then
Employees (5.A)4 as of Mar 23, 2026
Mar 25, 20193 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 3 to 3
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
- 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
- $98.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $511,809derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 9.2%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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$229M78%
- Individuals$37.6M13%
- Charitable organizations$26.6M9.0%
- Corporations and businesses$1.5M0.5%
- Pension and profit-sharing plans$490,2850.2%
- Individual clients
- 105reported
- HNW clients
- 62reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 577reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.09 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 |
|---|---|---|---|---|
| P••••• E• H••••Certified Financial Planner | Ellicott City, Md | Sep 7, 1999 | 26 y | 0 |
| J••••• R• G•••Certified Financial Planner, Chartered Financial Analyst | Ellicott City, Md | Sep 28, 2017 | 11 y | 1 |
| D••••• S•••••• P••••••Certified Financial Planner | Ellicott City, Md | Nov 28, 2023 | 11 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
- C•••••••• M••••••• B•••••• to R•• C•••••• M••••••• L••Sep 18, 2017 · Other
Joined, latest
- D••••• S•••••• P•••••• from S•••Nov 28, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••••• R• G••• from P•• W••••• M•••••••••Sep 28, 2017 · Other
- C•••••••• M••••••• B•••••• from W•• P•••••••• L••Dec 11, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• P•••••• E• · President, Chief Executive Officer, Chief Compliance Officercontrolsince 01/2010 · owns 75% or more
- G•••• J•••••• R• · Financial Advisorsince 01/2022 · 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 |
|---|---|---|---|---|---|
| Ellicott City, Md · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 527 to 577Apr 16, 2025 to Mar 23, 2026
- Corporate clients · 3 to 4Apr 16, 2025 to Mar 23, 2026
- HNW clients · 53 to 62Apr 16, 2025 to Mar 23, 2026
- Individual clients · 113 to 105Apr 16, 2025 to Mar 23, 2026
- Pension plan clients · 0 to 1Apr 16, 2025 to Mar 23, 2026
- Discretionary RAUM · $231M to $267MApr 16, 2025 to Mar 23, 2026
- HNW RAUM · $200M to $229MApr 16, 2025 to Mar 23, 2026
- Individual RAUM · $32.3M to $37.6MApr 16, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $25.3M to $28.2MApr 16, 2025 to Mar 23, 2026
- Pension RAUM · $0 to $490,285Apr 16, 2025 to Mar 23, 2026
- RAUM · $256M to $295MApr 16, 2025 to Mar 23, 2026
- Accounts · 492 to 527Feb 5, 2025 to Apr 16, 2025
- HNW clients · 45 to 53Feb 5, 2025 to Apr 16, 2025
- Individual clients · 101 to 113Feb 5, 2025 to Apr 16, 2025
- Financial planning clients · 1-10 to 1-10Feb 5, 2025 to Apr 16, 2025
- Discretionary RAUM · $219M to $231MFeb 5, 2025 to Apr 16, 2025
- HNW RAUM · $165M to $200MFeb 5, 2025 to Apr 16, 2025
- Individual RAUM · $32.4M to $32.3MFeb 5, 2025 to Apr 16, 2025
- Non-discretionary RAUM · $0 to $25.3MFeb 5, 2025 to Apr 16, 2025
- RAUM · $219M to $256MFeb 5, 2025 to Apr 16, 2025
- Accounts · 445 to 492Nov 29, 2023 to Mar 27, 2024
- Corporate clients · 1 to 3Nov 29, 2023 to Mar 27, 2024
- HNW clients · 50 to 45Nov 29, 2023 to Mar 27, 2024
- Individual clients · 85 to 101Nov 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $186M to $219MNov 29, 2023 to Mar 27, 2024
- HNW RAUM · $144M to $165MNov 29, 2023 to Mar 27, 2024
- Individual RAUM · $23.4M to $32.4MNov 29, 2023 to Mar 27, 2024
- RAUM · $186M to $219MNov 29, 2023 to Mar 27, 2024
- Advisory employees · 2 to 3Mar 29, 2023 to Nov 27, 2023
- Employees · 3 to 4Mar 29, 2023 to Nov 27, 2023
- State-registered IARs · 2 to 3Mar 29, 2023 to Nov 27, 2023
- Accounts · 428 to 445Mar 30, 2022 to Mar 28, 2023
- HNW clients · 46 to 50Mar 30, 2022 to Mar 28, 2023
- Individual clients · 78 to 85Mar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $223M to $186MMar 30, 2022 to Mar 28, 2023
- HNW RAUM · $174M to $144MMar 30, 2022 to Mar 28, 2023
- Individual RAUM · $25.9M to $23.4MMar 30, 2022 to Mar 28, 2023
- RAUM · $223M to $186MMar 30, 2022 to Mar 28, 2023
- Accounts · 380 to 428Jan 31, 2022 to Mar 29, 2022
- Advisory activities · 5 to 6Jan 31, 2022 to Mar 29, 2022
Signals
1 dated events
- H•• F•••••••• G•••• filed its initial SEC registration (Form ADV)Jun 14, 2018 · 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
- Business email
- info@hwafinancialgroup.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 410-696-4025reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 410-696-4031reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- hwafinancialgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 410.696.4025reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- hwafinancialgroup.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- hwafinancialgroup.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $98.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026