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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Former SEC-registered adviser

H•• W••••• M•••••••••

Former SEC-registered adviserShepherdstown, West VirginiaCRD 121275SEC 801-62954IAPD
Legal name H••••• F••••••••• I•••
Latest filing Mar 8, 2016
First filing on the tape Feb 17, 2012 · 9 filings
RAUM
$375M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$375M as of Mar 8, 2016
Feb 17, 2012$249M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 8, 2016
Feb 17, 20120 then
Employees (5.A)9 as of Mar 8, 2016
Mar 1, 20137 then
Private funds: no history
RAUM +4.1% over the last fiscal year+12% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Mar 8, 2016; every figure names its basis
RAUM per advisor
$46.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$295,557derivedRAUM over accounts (5.F.2.f)
Discretionary
81%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
2.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+4.1%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,270reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••••• A••••••••• R••••••• · President, Chief Compliance Officercontrol
      since 07/2002 · owns 75% or more
    • C••••••• J••••• M•••• · Secretary
      since 01/2007 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Mclean, VA
    • Winchester, VA
    What changed
    consecutive filings, newest first
    • Accounts · 1,223 to 1,270
      Mar 3, 2015 to Mar 8, 2016
    • Advisory employees · 7 to 8
      Mar 3, 2015 to Mar 8, 2016
    • Employees · 8 to 9
      Mar 3, 2015 to Mar 8, 2016
    • State-registered IARs · 7 to 8
      Mar 3, 2015 to Mar 8, 2016
    • Discretionary RAUM · $288M to $303M
      Mar 3, 2015 to Mar 8, 2016
    • Non-discretionary RAUM · $73.2M to $72.4M
      Mar 3, 2015 to Mar 8, 2016
    • RAUM · $361M to $375M
      Mar 3, 2015 to Mar 8, 2016
    • Accounts · 1,213 to 1,223
      Mar 8, 2014 to Mar 3, 2015
    • Advisory activities · 3 to 4
      Mar 8, 2014 to Mar 3, 2015
    • Discretionary RAUM · $264M to $288M
      Mar 8, 2014 to Mar 3, 2015
    • Non-discretionary RAUM · $67.8M to $73.2M
      Mar 8, 2014 to Mar 3, 2015
    • RAUM · $332M to $361M
      Mar 8, 2014 to Mar 3, 2015
    • Accounts · 980 to 1,213
      Mar 28, 2013 to Feb 24, 2014
    • Advisory employees · 6 to 7
      Mar 28, 2013 to Feb 24, 2014
    • Employees · 7 to 8
      Mar 28, 2013 to Feb 24, 2014
    • State-registered IARs · 6 to 7
      Mar 28, 2013 to Feb 24, 2014
    • Discretionary RAUM · $219M to $264M
      Mar 28, 2013 to Feb 24, 2014
    • Non-discretionary RAUM · $48.9M to $67.8M
      Mar 28, 2013 to Feb 24, 2014
    • RAUM · $268M to $332M
      Mar 28, 2013 to Feb 24, 2014
    • Accounts · 998 to 980
      Oct 1, 2012 to Mar 1, 2013
    • Advisory employees · unset to 6.0
      Oct 1, 2012 to Mar 1, 2013
    • Advisory activities · 5 to 3
      Oct 1, 2012 to Mar 1, 2013
    • Employees · unset to 7.0
      Oct 1, 2012 to Mar 1, 2013
    • State-registered IARs · 0 to 6
      Oct 1, 2012 to Mar 1, 2013
    • Discretionary RAUM · $198M to $219M
      Oct 1, 2012 to Mar 1, 2013
    • Non-discretionary RAUM · $51.3M to $48.9M
      Oct 1, 2012 to Mar 1, 2013
    • RAUM · $249M to $268M
      Oct 1, 2012 to Mar 1, 2013
    • Business name · H••••• F••••••••• I••• to H•• W••••• M•••••••••
      Apr 30, 2012 to Oct 1, 2012
    • Assets in custody · 9000000.0 to unset
      Apr 30, 2012 to Oct 1, 2012
    • Custody of client assets · true to false
      Apr 30, 2012 to Oct 1, 2012
    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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026