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•••••• I••• W••••• A•••••••
Legal name K•••• F•••••••• G••••• L••
Latest filing Jul 30, 2026
First filing on the tape Mar 20, 2012 · 48 filings
SEC status approved since Jul 20, 2005
RAUM
$475M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$472M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$95.0M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$475M as of Jul 30, 2026
Mar 20, 2012$101M then
HNW client RAUM$261M as of Jul 30, 2026
Mar 21, 2018$29.4M then
State-registered IARs (5.B.3)4 as of Jul 30, 2026
Mar 20, 20120 then
Employees (5.A)7 as of Jul 30, 2026
Mar 13, 20137 then
Private funds: no history
RAUM +23% over the last fiscal year+79% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jul 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
- RAUM per advisor
- $95.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 194derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $204,338derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $79.8M, 263 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$261M55%
- Individuals$211M44%
- Charitable organizations$3.2M0.7%
- Individual clients
- 844reported
- HNW clients
- 127reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 2,324reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $79.8M for 263 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• T••••• I••• | Burlington, Vt | Jul 19, 2005 | 27 y | 1 |
| R••••• G•••••• H••••••Certified Financial Planner | Guilford, Ct | Jul 19, 2005 | 26 y | 1 |
| K•••• P•••••• I••• | Guilford, Ct | Aug 12, 2020 | 13 y | 0 |
| S•••• R•••••• S•••• | Burlington, Vt | Oct 10, 2024 | 29 y | 8 |
| M••• E•••••••• M•••••Certified Financial Planner | Wethersfield, Ct | Aug 23, 2026 | 14 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 headcount1 left over 36 months
Left, latest
- S•••• R•••••• S•••• to F••••• N•••• F•••••• D•••••• I•••••••••Apr 1, 2024 · RIA to RIA
- T••••• J• C••••• to A•••• P•••• A•••••••May 28, 2021 · RIA to affiliated broker-dealer or bank
- J•••••• D••••• K••• to C•••••• R••••••• A•••••••• L••Mar 16, 2018 · Other
- K•••• M•••••• F•••• to W•••• F•••• A•••••••Jun 30, 2017 · Other
- G•••••• A••••• G••••••• to O••••••••• • C•• I•••Oct 14, 2014 · Other
Joined, latest
- S•••• R•••••• S•••• from F••••• N•••• F•••••• D•••••• I•••••••••Oct 10, 2024 · RIA to RIA
- S•••• R•••••• S•••• from E•• F•••••••• A•••••••May 3, 2022 · Affiliated broker-dealer or bank to independent RIA
- T••••• J• C••••• from C••• B•••••••• S•••••••• I•••Jan 10, 2020 · Affiliated broker-dealer or bank to independent RIA
- R••••• G•••••• H•••••• from K•••• F•••••••• G••••Jul 19, 2005 · Other
- S•••• T••••• I••• from K•••• F•••••••• G••••Jul 19, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• R•••••• G•••••• · Ceo/Managing Membercontrolsince 01/2005 · owns 50% to 75%
- I•••• S••••• T••••• · Presidentcontrolsince 01/2005 · owns 25% to 50%
- S••••• S••••• R•••••• · Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
- L••••••• M•••• T• · Chief Financial Officersince 05/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Wethersfield, Ct · principal | 5 | 1 | 0 | ||
| Guilford, Ct | 3 | 0 | 0 | ||
| Burlington, Vt | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Guilford, CT3 employees
- Burlington, VT2 employees
- Reston, VA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Feb 20, 2026employees (Item 5.A) moved from 11.0 to 7.0 (-36.0%) between the annual amendments of 2025-04-04 and 2026-02-20; the peer median change was 0.0% (506 comparable advisers, 5.0th percentile of changes)peers: independent wealth managers, $100M to $500M (506) · 4.6% percentile
What changed
consecutive filings, newest first
- Accounts · 2,063 to 2,324Apr 4, 2025 to Feb 20, 2026
- Advisory employees · 4 to 5Apr 4, 2025 to Feb 20, 2026
- Charity clients · 10 to 11Apr 4, 2025 to Feb 20, 2026
- HNW clients · 96 to 127Apr 4, 2025 to Feb 20, 2026
- Individual clients · 823 to 844Apr 4, 2025 to Feb 20, 2026
- Assets in custody · $59.6M to $79.8MApr 4, 2025 to Feb 20, 2026
- Employees · 11 to 7Apr 4, 2025 to Feb 20, 2026
- Discretionary RAUM · $387M to $475MApr 4, 2025 to Feb 20, 2026
- HNW RAUM · $190M to $261MApr 4, 2025 to Feb 20, 2026
- Individual RAUM · $196M to $211MApr 4, 2025 to Feb 20, 2026
- RAUM · $387M to $475MApr 4, 2025 to Feb 20, 2026
- Accounts · 431 to 2,063Nov 8, 2024 to Apr 4, 2025
- Charity clients · 9 to 10Nov 8, 2024 to Apr 4, 2025
- HNW clients · 19 to 96Nov 8, 2024 to Apr 4, 2025
- Individual clients · 403 to 823Nov 8, 2024 to Apr 4, 2025
- Assets in custody · $27.2M to $59.6MNov 8, 2024 to Apr 4, 2025
- Financial planning clients · 11-25 to 11-25Nov 8, 2024 to Apr 4, 2025
- Discretionary RAUM · $107M to $387MNov 8, 2024 to Apr 4, 2025
- HNW RAUM · $41.8M to $190MNov 8, 2024 to Apr 4, 2025
- Individual RAUM · $63.9M to $196MNov 8, 2024 to Apr 4, 2025
- RAUM · $107M to $387MNov 8, 2024 to Apr 4, 2025
- Accounts · 482 to 431Nov 21, 2023 to Feb 29, 2024
- Advisory employees · 11 to 4Nov 21, 2023 to Feb 29, 2024
- Charity clients · 3 to 9Nov 21, 2023 to Feb 29, 2024
- HNW clients · 13 to 19Nov 21, 2023 to Feb 29, 2024
- Individual clients · 319 to 403Nov 21, 2023 to Feb 29, 2024
- Assets in custody · $15.2M to $27.2MNov 21, 2023 to Feb 29, 2024
- Financial planning clients · 1-10 to 11-25Nov 21, 2023 to Feb 29, 2024
- Discretionary RAUM · $82.1M to $107MNov 21, 2023 to Feb 29, 2024
- HNW RAUM · $32.1M to $41.8MNov 21, 2023 to Feb 29, 2024
- Individual RAUM · $49.4M to $63.9MNov 21, 2023 to Feb 29, 2024
- RAUM · $82.1M to $107MNov 21, 2023 to Feb 29, 2024
- Accounts · 418 to 482Nov 10, 2022 to Feb 15, 2023
- Advisory employees · 9 to 11Nov 10, 2022 to Feb 15, 2023
- BD registered reps · 4 to 5Nov 10, 2022 to Feb 15, 2023
- HNW clients · 15 to 13Nov 10, 2022 to Feb 15, 2023
- Individual clients · 277 to 319Nov 10, 2022 to Feb 15, 2023
- Assets in custody · $17.1M to $15.2MNov 10, 2022 to Feb 15, 2023
- Employees · 9 to 11Nov 10, 2022 to Feb 15, 2023
- Financial planning clients · 11-25 to 1-10Nov 10, 2022 to Feb 15, 2023
Signals
4 dated events
- H•••••• I••• W••••• A••••••• reported RAUM $387.4M, up 262% from $107.1M (2024-11-08 to 2025-04-04)Apr 4, 2025 · RAUM change · derived
- Richard Scott Solod (Chief Compliance Officer) appeared on Schedule A of H•••••• I••• W••••• A•••••••Sep 19, 2024 · Control person joined · fact
- S•••• R•••••• S•••• left H•••••• I••• W••••• A••••••• for F••••• N•••• F•••••• D•••••• I••••••••• (registered 2024-04-01)Apr 1, 2024 · Advisor changed firm · fact
- Richard Scott Solod (Chief Compliance Officer) appeared on Schedule A of H•••••• I••• W••••• A•••••••May 26, 2022 · Control person joined · 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
- 800-416-1655reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 802-489-5310reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 860-258-2600reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/hammondileswealthadvisorsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- vermontwealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 860-258-2600reportedpublic record, Form ADV, Jul 30, 2026
- Contact form
- hiwealth.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $95.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026