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.

Former SEC-registered adviser

Hopkins Investment Management, LLC.

Former SEC-registered adviserCRD 121811SEC 801-68575IAPD
Latest filing Mar 29, 2021
First filing on the tape Mar 29, 2012 · 20 filings
RAUM
$157M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$152M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
1
$7.4M gross assets
History
20 filings and snapshots on the tape
RAUM$157M as of Mar 29, 2021
Mar 29, 2012$107M then
HNW client RAUM$128M as of Mar 29, 2021
Mar 30, 2018$52.5M then
State-registered IARs (5.B.3)3 as of Mar 29, 2021
Mar 29, 20120 then
Employees (5.A)4 as of Mar 29, 2021
Mar 25, 20136 then
Private funds1 as of Mar 29, 2021
Mar 22, 20161 then
RAUM +15% over the last fiscal year+7.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 29, 2021; every figure names its basis
RAUM per advisor
$52.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
50derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$977,517derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
0.5derived6 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
-7.9%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$52.7M, 116 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$128M81%
  • Individuals$24.3M15%
  • Pension and profit-sharing plans$5.0M3.2%
Individual clients
83reported
HNW clients
68reported
Pension plan clients
3reported
Charitable clients
n/areported
Accounts
161reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$52.7M for 116 clientsreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    2 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Hopkins Capital Partners Fund LPPrivate Equity Fund$7.4M33Mar 22, 2016
    Eagle Venture Fundno longer reportedPrivate Equity Fund$1.6M8Mar 30, 2018
    Owners and control persons
    Schedule A and B, latest filing
    • Llewellyn Martin Hopkins · Managing Member & Chief Compliance Officercontrol
      since 05/2001 · owns less than 5%
    • Llewellyn Martin Hopkins · Managing Member, Chief Complaince Officercontrol
      since 05/2001 · owns 75% or more of M.L. Hopkins & Co., LLC
    Entity owners
    • M.L. Hopkins & Co., LLC · Holding Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Annapolis, MD2 employees
    • Princeton, NJ2 employees
    • Charleston, SC1 employees
    • Fulton, MD1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 618 to 161
      Jun 15, 2020 to Mar 29, 2021
    • HNW clients · 43 to 68
      Jun 15, 2020 to Mar 29, 2021
    • Individual clients · 121 to 83
      Jun 15, 2020 to Mar 29, 2021
    • Pension plan clients · unset to 3.0
      Jun 15, 2020 to Mar 29, 2021
    • Assets in custody · $24.2M to $52.7M
      Jun 15, 2020 to Mar 29, 2021
    • Discretionary RAUM · $137M to $157M
      Jun 15, 2020 to Mar 29, 2021
    • HNW RAUM · $87.1M to $128M
      Jun 15, 2020 to Mar 29, 2021
    • Individual RAUM · $45.7M to $24.3M
      Jun 15, 2020 to Mar 29, 2021
    • Pension RAUM · $4.6M to $5.0M
      Jun 15, 2020 to Mar 29, 2021
    • RAUM · $137M to $157M
      Jun 15, 2020 to Mar 29, 2021
    • Accounts · 552 to 618
      Aug 16, 2019 to Mar 30, 2020
    • Advisory employees · 4 to 3
      Aug 16, 2019 to Mar 30, 2020
    • HNW clients · 42 to 43
      Aug 16, 2019 to Mar 30, 2020
    • Individual clients · 108 to 121
      Aug 16, 2019 to Mar 30, 2020
    • Assets in custody · $26.4M to $24.2M
      Aug 16, 2019 to Mar 30, 2020
    • Employees · 5 to 4
      Aug 16, 2019 to Mar 30, 2020
    • State-registered IARs · 4 to 3
      Aug 16, 2019 to Mar 30, 2020
    • Private funds · 2 to 1
      Aug 16, 2019 to Mar 30, 2020
    • Discretionary RAUM · $129M to $137M
      Aug 16, 2019 to Mar 30, 2020
    • HNW RAUM · $84.0M to $87.1M
      Aug 16, 2019 to Mar 30, 2020
    • Individual RAUM · $41.9M to $45.7M
      Aug 16, 2019 to Mar 30, 2020
    • Pension RAUM · $3.4M to $4.6M
      Aug 16, 2019 to Mar 30, 2020
    • RAUM · $129M to $137M
      Aug 16, 2019 to Mar 30, 2020
    • Assets in custody · unset to 26378726.0
      Mar 27, 2019 to Aug 16, 2019
    • Custody of client assets · false to true
      Mar 27, 2019 to Aug 16, 2019
    • Accounts · 571 to 552
      Nov 16, 2018 to Mar 27, 2019
    • HNW clients · 20 to 42
      Nov 16, 2018 to Mar 27, 2019
    • Individual clients · 151 to 108
      Nov 16, 2018 to Mar 27, 2019
    • Discretionary RAUM · $128M to $129M
      Nov 16, 2018 to Mar 27, 2019
    • HNW RAUM · $52.5M to $84.0M
      Nov 16, 2018 to Mar 27, 2019
    • Individual RAUM · $76.0M to $41.9M
      Nov 16, 2018 to Mar 27, 2019
    • Pension RAUM · unset to 3385817.0
      Nov 16, 2018 to Mar 27, 2019
    • RAUM · $128M to $129M
      Nov 16, 2018 to Mar 27, 2019
    • Advisory activities · 4 to 3
      Mar 30, 2018 to Nov 16, 2018
    • Accounts · 475 to 571
      Oct 9, 2017 to Mar 30, 2018
    • HNW clients · unset to 20.0
      Oct 9, 2017 to Mar 30, 2018
    • Individual clients · unset to 151.0
      Oct 9, 2017 to Mar 30, 2018
    • Assets in custody · 8478514.0 to unset
      Oct 9, 2017 to Mar 30, 2018
    • Custody of client assets · true to false
      Oct 9, 2017 to Mar 30, 2018
    • Other offices · 3 to 5
      Oct 9, 2017 to Mar 30, 2018
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    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