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
B•••••• H••••••• I••••••••• C••••••• L••
Latest filing Mar 21, 2025
First filing on the tape May 26, 2021 · 6 filings
SEC status approved since Jun 25, 2021
RAUM
$115M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$113M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$115M as of Mar 21, 2025
Mar 17, 2022$112M then
HNW client RAUM$104M as of Mar 21, 2025
Mar 17, 2022$102M then
State-registered IARs (5.B.3)1 as of Mar 21, 2025
Mar 17, 20221 then
Employees (5.A)3 as of Mar 21, 2025
Mar 17, 20223 then
Private funds: no history
RAUM +13% over the last fiscal year+0.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 21, 2025; every figure names its basis
- RAUM per advisor
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- High-net-worth individuals$104M90%
- Individuals$9.1M7.9%
- Charitable organizations$2.0M1.8%
- Individual clients
- 11reported
- HNW clients
- 25reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 51reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- D•••• R•••••• H••••••• to S••••••••• A•••• M••••••••• I•••Dec 31, 2025 · RIA to RIA
Joined, latest
- D•••• R•••••• H••••••• from T••••• H••••••• M••••••••• I••Nov 12, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• D••••• R•••••• · President/Ccocontrolsince 07/2018 · 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 |
|---|---|---|---|---|---|
| Greenville, De | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 50 to 51Feb 8, 2024 to Mar 21, 2025
- Financial planning clients · 0 to 0Feb 8, 2024 to Mar 21, 2025
- HQ city · GREENVILLE to CHADDS FORDFeb 8, 2024 to Mar 21, 2025
- HQ state · DE to PAFeb 8, 2024 to Mar 21, 2025
- Discretionary RAUM · $102M to $115MFeb 8, 2024 to Mar 21, 2025
- HNW RAUM · $92.4M to $104MFeb 8, 2024 to Mar 21, 2025
- Individual RAUM · $7.3M to $9.1MFeb 8, 2024 to Mar 21, 2025
- RAUM · $102M to $115MFeb 8, 2024 to Mar 21, 2025
- Accounts · 51 to 50Mar 29, 2023 to Feb 8, 2024
- HNW clients · 26 to 25Mar 29, 2023 to Feb 8, 2024
- Individual clients · 12 to 11Mar 29, 2023 to Feb 8, 2024
- Discretionary RAUM · $92.0M to $102MMar 29, 2023 to Feb 8, 2024
- HNW RAUM · $83.9M to $92.4MMar 29, 2023 to Feb 8, 2024
- Individual RAUM · $6.6M to $7.3MMar 29, 2023 to Feb 8, 2024
- RAUM · $92.0M to $102MMar 29, 2023 to Feb 8, 2024
- Individual clients · 11 to 12Mar 17, 2022 to Mar 29, 2023
- Discretionary RAUM · $112M to $92.0MMar 17, 2022 to Mar 29, 2023
- HNW RAUM · $102M to $83.9MMar 17, 2022 to Mar 29, 2023
- Individual RAUM · $8.0M to $6.6MMar 17, 2022 to Mar 29, 2023
- RAUM · $112M to $92.0MMar 17, 2022 to Mar 29, 2023
- HNW clients · 25 to 26Jun 2, 2021 to Mar 17, 2022
- Individual clients · 12 to 11Jun 2, 2021 to Mar 17, 2022
- Discretionary RAUM · $107M to $112MJun 2, 2021 to Mar 17, 2022
- HNW RAUM · $98.2M to $102MJun 2, 2021 to Mar 17, 2022
- Individual RAUM · $7.2M to $8.0MJun 2, 2021 to Mar 17, 2022
- RAUM · $107M to $112MJun 2, 2021 to Mar 17, 2022
Signals
3 dated events
- B•••••• H••••••• I••••••••• C••••••• L•• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $114.9M)Feb 2, 2026 · Left the SEC roster · derived
- D•••• R•••••• H••••••• left B•••••• H••••••• I••••••••• C••••••• L•• for S••••••••• A•••• M••••••••• I••• (registered 2026-08-03)Dec 31, 2025 · Advisor changed firm · fact
- B•••••• H••••••• I••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)May 26, 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