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
M•••••• H•••• F••••••••
Legal name H•••• M••• H•••••
Latest filing Feb 26, 2024
First filing on the tape Mar 11, 2021 · 9 filings
SEC status approved since Apr 9, 2021
RAUM
$153M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$153M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$153M as of Feb 26, 2024
Feb 11, 2022$140M then
HNW client RAUM$88.4M as of Feb 26, 2024
Feb 11, 2022$104M then
State-registered IARs (5.B.3)3 as of Feb 26, 2024
Feb 11, 20222 then
Employees (5.A)3 as of Feb 26, 2024
Feb 11, 20222 then
Private funds: no history
RAUM +28% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Feb 26, 2024; every figure names its basis
- RAUM per advisor
- $50.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $238,563derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.9%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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$88.4M58%
- Individuals$64.3M42%
- Individual clients
- 227reported
- HNW clients
- 73reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 640reported
- 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
- J•• A••• K•••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Dec 31, 2005 · Other
Joined, latest
- M••• H••••• H••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Feb 26, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for M•••••• H•••• F•••••••• A••••••• L••Jan 9, 2025 · San Diego, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• M•••• H••••• · Owner/Chief Compliance Officercontrolsince 11/1993 · owns 75% or more
Related persons
Schedule D 7.A
- U••••• P•••••••broker-dealern
- W••• L•••• P••••••••• L••investment companyn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 604 to 640Jun 21, 2023 to Feb 26, 2024
- HNW clients · 127 to 73Jun 21, 2023 to Feb 26, 2024
- Individual clients · 156 to 227Jun 21, 2023 to Feb 26, 2024
- Discretionary RAUM · $132M to $153MJun 21, 2023 to Feb 26, 2024
- HNW RAUM · $95.6M to $88.4MJun 21, 2023 to Feb 26, 2024
- Individual RAUM · $36.2M to $64.3MJun 21, 2023 to Feb 26, 2024
- RAUM · $132M to $153MJun 21, 2023 to Feb 26, 2024
- Accounts · 589 to 604Apr 19, 2023 to Jun 21, 2023
- HNW clients · 125 to 127Apr 19, 2023 to Jun 21, 2023
- Individual clients · 148 to 156Apr 19, 2023 to Jun 21, 2023
- Discretionary RAUM · $119M to $132MApr 19, 2023 to Jun 21, 2023
- HNW RAUM · $87.6M to $95.6MApr 19, 2023 to Jun 21, 2023
- Individual RAUM · $31.7M to $36.2MApr 19, 2023 to Jun 21, 2023
- RAUM · $119M to $132MApr 19, 2023 to Jun 21, 2023
- Advisory employees · 2 to 3Feb 8, 2023 to Apr 19, 2023
- Employees · 2 to 3Feb 8, 2023 to Apr 19, 2023
- State-registered IARs · 2 to 3Feb 8, 2023 to Apr 19, 2023
- Accounts · 579 to 589Feb 11, 2022 to Feb 8, 2023
- HNW clients · 115 to 125Feb 11, 2022 to Feb 8, 2023
- Individual clients · 151 to 148Feb 11, 2022 to Feb 8, 2023
- Discretionary RAUM · $140M to $119MFeb 11, 2022 to Feb 8, 2023
- HNW RAUM · $104M to $87.6MFeb 11, 2022 to Feb 8, 2023
- Individual RAUM · $35.6M to $31.7MFeb 11, 2022 to Feb 8, 2023
- RAUM · $140M to $119MFeb 11, 2022 to Feb 8, 2023
- Accounts · 262 to 579Jun 10, 2021 to Feb 11, 2022
- HNW clients · 277 to 115Jun 10, 2021 to Feb 11, 2022
- Individual clients · 251 to 151Jun 10, 2021 to Feb 11, 2022
- Discretionary RAUM · $126M to $140MJun 10, 2021 to Feb 11, 2022
- HNW RAUM · $89.2M to $104MJun 10, 2021 to Feb 11, 2022
- Individual RAUM · $36.5M to $35.6MJun 10, 2021 to Feb 11, 2022
- RAUM · $126M to $140MJun 10, 2021 to Feb 11, 2022
- Accounts · 516 to 262Apr 15, 2021 to Apr 23, 2021
- HNW clients · 107 to 277Apr 15, 2021 to Apr 23, 2021
- Individual clients · 151 to 251Apr 15, 2021 to Apr 23, 2021
- Discretionary RAUM · $116M to $126MApr 15, 2021 to Apr 23, 2021
- HNW RAUM · $79.6M to $89.2MApr 15, 2021 to Apr 23, 2021
- Individual RAUM · $36.6M to $36.5MApr 15, 2021 to Apr 23, 2021
- RAUM · $116M to $126MApr 15, 2021 to Apr 23, 2021
Signals
3 dated events
- M•••••• H•••• F•••••••• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $152.7M)Feb 3, 2025 · Left the SEC roster · derived
- M•••••• H•••• F••••••••'s advisors moved to M•••••• H•••• F•••••••• A••••••• L•• (San Diego, CA): 3 of 3 registered, on the same dayJan 9, 2025 · Firm absorbed (people side) · derived
- M•••••• H•••• F•••••••• filed its initial SEC registration (Form ADV)Mar 11, 2021 · 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.
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