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

Hugh Johnson Advisors LLC

Former SEC-registered adviserAlbany, New YorkCRD 133395SEC 801-63782IAPD
Latest filing Apr 25, 2019
First filing on the tape Mar 27, 2012 · 10 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
23%
$327M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.4B as of Mar 29, 2019
Mar 27, 2012$956M then
HNW client RAUM$327M as of Mar 29, 2019
Mar 29, 2018$327M then
State-registered IARs (5.B.3)2 as of Mar 29, 2019
Mar 28, 20132 then
Employees (5.A)10 as of Mar 29, 2019
Mar 28, 20138 then
Private funds: no history
RAUM +2.5% over the last fiscal year+5.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 25, 2019; every figure names its basis
RAUM per advisor
$711MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$772,443derivedHNW RAUM over HNW clients
Average account
$2.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$765M56%
  • High-net-worth individuals$327M24%
  • Charitable organizations$238M17%
  • State and municipal entities$30.6M2.2%
  • Pension and profit-sharing plans$12.0M0.9%
Individual clients
n/areported
HNW clients
423reported
Pension plan clients
4reported
Charitable clients
82reported
Accounts
527reported
Financial planning clients
11-25reported
Wrap fee programs
$0 sponsored, $2.7M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Alan Charles Brown · Member/Vice President-Investmentscontrol
    since 01/2005 · owns 10% to 25%
  • Taft Robert Hennes · Member/Managing Director-Investmentscontrol
    since 01/2005 · owns 10% to 25%
  • Albert Hugh Johnson · Member/Chairman & Chief Investment Officercontrol
    since 01/2005 · owns 25% to 50%
  • Dianne C Mcknight · Member/Vice President & Chief Compliance Officercontrol
    since 01/2005 · owns less than 5%
  • Paul Daniel Nolan · Member, President & Ceocontrol
    since 10/2008 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 507 to 527
    Mar 29, 2018 to Mar 29, 2019
  • Charity clients · 80 to 82
    Mar 29, 2018 to Mar 29, 2019
  • Corporate clients · 16 to 13
    Mar 29, 2018 to Mar 29, 2019
  • HNW clients · 404 to 423
    Mar 29, 2018 to Mar 29, 2019
  • Pension plan clients · 3 to 4
    Mar 29, 2018 to Mar 29, 2019
  • Financial planning clients · 1-10 to 11-25
    Mar 29, 2018 to Mar 29, 2019
  • Discretionary RAUM · $1.4B to $1.4B
    Mar 29, 2018 to Mar 29, 2019
  • HNW RAUM · $327M to $327M
    Mar 29, 2018 to Mar 29, 2019
  • Pension RAUM · $50.0M to $12.0M
    Mar 29, 2018 to Mar 29, 2019
  • RAUM · $1.4B to $1.4B
    Mar 29, 2018 to Mar 29, 2019
  • Wrap assets (manager) · $3.6M to $2.7M
    Mar 29, 2018 to Mar 29, 2019
  • Accounts · 509 to 507
    Mar 30, 2017 to Mar 29, 2018
  • Charity clients · unset to 80.0
    Mar 30, 2017 to Mar 29, 2018
  • Corporate clients · unset to 16.0
    Mar 30, 2017 to Mar 29, 2018
  • HNW clients · unset to 404.0
    Mar 30, 2017 to Mar 29, 2018
  • Pension plan clients · unset to 3.0
    Mar 30, 2017 to Mar 29, 2018
  • Employees · 9 to 10
    Mar 30, 2017 to Mar 29, 2018
  • Other offices · unset to 0.0
    Mar 30, 2017 to Mar 29, 2018
  • Discretionary RAUM · $1.3B to $1.4B
    Mar 30, 2017 to Mar 29, 2018
  • HNW RAUM · unset to 326943658.0
    Mar 30, 2017 to Mar 29, 2018
  • Pension RAUM · unset to 49959479.0
    Mar 30, 2017 to Mar 29, 2018
  • RAUM · $1.3B to $1.4B
    Mar 30, 2017 to Mar 29, 2018
  • Wrap assets (manager) · unset to 3615666.0
    Mar 30, 2017 to Mar 29, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Mar 30, 2017 to Mar 29, 2018
  • Accounts · 478 to 509
    Mar 29, 2016 to Mar 30, 2017
  • Advisory employees · 8 to 9
    Mar 29, 2016 to Mar 30, 2017
  • Advisory activities · 5 to 6
    Mar 29, 2016 to Mar 30, 2017
  • BD registered reps · 1 to 2
    Mar 29, 2016 to Mar 30, 2017
  • Employees · 8 to 9
    Mar 29, 2016 to Mar 30, 2017
  • Financial planning clients · 0 to 1-10
    Mar 29, 2016 to Mar 30, 2017
  • Discretionary RAUM · $1.2B to $1.3B
    Mar 29, 2016 to Mar 30, 2017
  • RAUM · $1.2B to $1.3B
    Mar 29, 2016 to Mar 30, 2017
  • Accounts · 458 to 478
    Mar 27, 2015 to Mar 29, 2016
  • Advisory employees · 7 to 8
    Mar 27, 2015 to Mar 29, 2016
  • Advisory activities · 6 to 5
    Mar 27, 2015 to Mar 29, 2016
  • Financial planning clients · 11-25 to 0
    Mar 27, 2015 to Mar 29, 2016
  • Discretionary RAUM · $1.2B to $1.2B
    Mar 27, 2015 to Mar 29, 2016
  • RAUM · $1.2B to $1.2B
    Mar 27, 2015 to Mar 29, 2016
  • Accounts · 375 to 458
    Mar 18, 2014 to Mar 27, 2015
  • Discretionary RAUM · $1.1B to $1.2B
    Mar 18, 2014 to Mar 27, 2015
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