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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SEC-registered adviser
H•••••• F•••••••• G••••
Legal name H•••••• F•••••••• G••••• L••
Latest filing Jun 30, 2026
First filing on the tape Dec 23, 2024 · 8 filings
SEC status approved since Jan 23, 2025
RAUM
$160M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$154M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$53.4M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$160M as of Jun 30, 2026
Mar 4, 2025$136M then
HNW client RAUM$129M as of Jun 30, 2026
Mar 4, 2025$132M then
State-registered IARs (5.B.3)3 as of Jun 30, 2026
Mar 4, 20251 then
Employees (5.A)6 as of Jun 30, 2026
Mar 4, 20253 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Jun 30, 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
- $53.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $366,660derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $2.1M, 3 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
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$129M80%
- Individuals$25.7M16%
- Corporations and businesses$6.1M3.8%
- Individual clients
- 49reported
- HNW clients
- 44reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 437reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.1M for 3 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• R••••• H••••••Certified Financial Planner | Westerville, Oh | Aug 16, 2005 | 26 y | 1 |
| M•••••• W•••••• H••••Certified Financial Planner | Westerville, Oh | Feb 28, 2025 | 11 y | 0 |
| B•••••• J•••• S•••••••••Certified Financial Planner | Westerville, Oh | Jul 29, 2025 | 11 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
none on the tape
Joined, latest
- M•••••• R••••• H•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 16, 2005 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• M••••••• R••••• · President/Chief Compliance Officercontrolsince 07/2005 · 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 |
|---|---|---|---|---|---|
| Westerville, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 18, 2026HNW share of RAUM moved from 97.0% to 80.0% between the annual amendments of 2025-03-06 and 2026-02-18peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Employees · 5 to 6Feb 18, 2026 to Jun 30, 2026
- Accounts · 369 to 437Dec 11, 2025 to Feb 18, 2026
- Corporate clients · 2 to 4Dec 11, 2025 to Feb 18, 2026
- HNW clients · 96 to 44Dec 11, 2025 to Feb 18, 2026
- Individual clients · 0 to 49Dec 11, 2025 to Feb 18, 2026
- Assets in custody · unset to 2052943.0Dec 11, 2025 to Feb 18, 2026
- Custody of client assets · false to trueDec 11, 2025 to Feb 18, 2026
- Financial planning clients · 251-500 to 51-100Dec 11, 2025 to Feb 18, 2026
- Discretionary RAUM · $136M to $160MDec 11, 2025 to Feb 18, 2026
- HNW RAUM · $132M to $129MDec 11, 2025 to Feb 18, 2026
- Individual RAUM · $0 to $25.7MDec 11, 2025 to Feb 18, 2026
- RAUM · $136M to $160MDec 11, 2025 to Feb 18, 2026
- Business name · H•••••• F•••••••• G••••• L••• to H•••••• F•••••••• G••••Sep 29, 2025 to Dec 11, 2025
- Legal name · H•••••• F•••••••• G•••• to H•••••• F•••••••• G••••• L••Sep 29, 2025 to Dec 11, 2025
- Advisory employees · 2 to 3Mar 6, 2025 to Aug 27, 2025
- Employees · 4 to 5Mar 6, 2025 to Aug 27, 2025
- State-registered IARs · 2 to 3Mar 6, 2025 to Aug 27, 2025
- Advisory employees · 1 to 2Mar 4, 2025 to Mar 6, 2025
- Employees · 3 to 4Mar 4, 2025 to Mar 6, 2025
- Financial planning clients · 251-500 to 251-500Mar 4, 2025 to Mar 6, 2025
- State-registered IARs · 1 to 2Mar 4, 2025 to Mar 6, 2025
- Accounts · 368 to 369Dec 23, 2024 to Mar 4, 2025
- HNW clients · 98 to 96Dec 23, 2024 to Mar 4, 2025
- Financial planning clients · 51-100 to 251-500Dec 23, 2024 to Mar 4, 2025
- Discretionary RAUM · $139M to $136MDec 23, 2024 to Mar 4, 2025
- HNW RAUM · $135M to $132MDec 23, 2024 to Mar 4, 2025
- RAUM · $139M to $136MDec 23, 2024 to Mar 4, 2025
Signals
1 dated events
- H•••••• F•••••••• G••••• L••• filed its initial SEC registration (Form ADV)Dec 23, 2024 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 614-515-4722reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H••••••FINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 614-515-4722reportedpublic record, Form ADV, Jun 30, 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
- $53.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026