DFX Intelligence
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SEC-registered adviser
H•••••• S•••• C•••••• M••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Mar 27, 2012 · 23 filings
SEC status approved since Apr 29, 2005
RAUM
$142M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
98%
$139M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$71.0M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$142M as of Mar 12, 2026
Mar 27, 2012$40.6M then
HNW client RAUM$114M as of Mar 12, 2026
Mar 8, 2018$46.6M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Mar 27, 20120 then
Employees (5.A)3 as of Mar 12, 2026
Mar 14, 20132 then
Private funds: no history
RAUM +13% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 12, 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
- $71.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $390,149derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $30.1M, 51 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$114M81%
- Individuals$24.5M17%
- Charitable organizations$1.8M1.3%
- Pension and profit-sharing plans$1.3M0.9%
- Individual clients
- 50reported
- HNW clients
- 63reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 364reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.1M for 51 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• M•• S••••Certified Financial Planner | Larchmont, Ny | Mar 18, 2014 | 30 y | 0 |
| M••••• A•••••••• L•••••• | Larchmont, Ny | Aug 30, 2025 | 12 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
- L•••••• D• P•••• to A••••• G••••• C•••••• A••••••• L••Mar 29, 2005 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• A••••• M•• · Managing Partner, Ccocontrolsince 09/2013 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Larchmont, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 341 to 364Sep 17, 2025 to Mar 12, 2026
- HNW clients · 58 to 63Sep 17, 2025 to Mar 12, 2026
- Individual clients · 47 to 50Sep 17, 2025 to Mar 12, 2026
- Assets in custody · $34.5M to $30.1MSep 17, 2025 to Mar 12, 2026
- Employees · 4 to 3Sep 17, 2025 to Mar 12, 2026
- Discretionary RAUM · $116M to $132MSep 17, 2025 to Mar 12, 2026
- HNW RAUM · $103M to $114MSep 17, 2025 to Mar 12, 2026
- Individual RAUM · $20.1M to $24.5MSep 17, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $10.1M to $10.0MSep 17, 2025 to Mar 12, 2026
- Pension RAUM · $1.1M to $1.3MSep 17, 2025 to Mar 12, 2026
- RAUM · $126M to $142MSep 17, 2025 to Mar 12, 2026
- Accounts · 329 to 341Mar 27, 2024 to Jan 15, 2025
- HNW clients · 69 to 58Mar 27, 2024 to Jan 15, 2025
- Individual clients · 31 to 47Mar 27, 2024 to Jan 15, 2025
- Pension plan clients · 3 to 2Mar 27, 2024 to Jan 15, 2025
- Assets in custody · $34.0M to $34.5MMar 27, 2024 to Jan 15, 2025
- Employees · 3 to 4Mar 27, 2024 to Jan 15, 2025
- Financial planning clients · 51-100 to 51-100Mar 27, 2024 to Jan 15, 2025
- Discretionary RAUM · $107M to $116MMar 27, 2024 to Jan 15, 2025
- HNW RAUM · $99.4M to $103MMar 27, 2024 to Jan 15, 2025
- Individual RAUM · $9.2M to $20.1MMar 27, 2024 to Jan 15, 2025
- Non-discretionary RAUM · $4.4M to $10.1MMar 27, 2024 to Jan 15, 2025
- Pension RAUM · $1.3M to $1.1MMar 27, 2024 to Jan 15, 2025
- RAUM · $111M to $126MMar 27, 2024 to Jan 15, 2025
- Accounts · 338 to 329Mar 23, 2023 to Mar 27, 2024
- HNW clients · 66 to 69Mar 23, 2023 to Mar 27, 2024
- Individual clients · 26 to 31Mar 23, 2023 to Mar 27, 2024
- Assets in custody · $27.8M to $34.0MMar 23, 2023 to Mar 27, 2024
- Discretionary RAUM · $92.9M to $107MMar 23, 2023 to Mar 27, 2024
- HNW RAUM · $88.5M to $99.4MMar 23, 2023 to Mar 27, 2024
- Individual RAUM · $6.7M to $9.2MMar 23, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $4.9M to $4.4MMar 23, 2023 to Mar 27, 2024
- Pension RAUM · $1.1M to $1.3MMar 23, 2023 to Mar 27, 2024
- RAUM · $97.8M to $111MMar 23, 2023 to Mar 27, 2024
- Accounts · 284 to 338Feb 22, 2022 to Mar 23, 2023
- HNW clients · 64 to 66Feb 22, 2022 to Mar 23, 2023
- Individual clients · 31 to 26Feb 22, 2022 to Mar 23, 2023
- Assets in custody · $29.0M to $27.8MFeb 22, 2022 to Mar 23, 2023
- Discretionary RAUM · $99.9M to $92.9MFeb 22, 2022 to Mar 23, 2023
- HNW RAUM · $88.3M to $88.5MFeb 22, 2022 to Mar 23, 2023
Signals
1 dated events
- S. Margaret Heydorn (Founding Partner) no longer on Schedule A of H•••••• S•••• C•••••• M••••••••• L•• (listed 2023-03-23, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
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 phone
- 914-752-5300reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/heydorn-capital-managementreportedpublic record, Form ADV, Mar 12, 2026
- Website
- H••••••S••••.COMreportedpublic record, Form ADV, Mar 12, 2026
- Principal office phone
- 914-752-5300reportedpublic record, Form ADV, Mar 12, 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
- $71.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026