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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
H••••• H••• F•••••••• A•••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 17 filings
SEC status approved since May 30, 2006
RAUM
$375M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
92%
$347M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$375M
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
17 filings and snapshots on the tape
RAUM$375M as of Mar 31, 2026
Mar 30, 2012$101M then
HNW client RAUM$288M as of Mar 31, 2026
Mar 30, 2018$103M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)3 as of Mar 31, 2026
Mar 28, 20133 then
Private funds: no history
RAUM +4.6% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $375MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 172derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.4MderivedHNW RAUM over HNW clients
- Average account
- $644,523derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%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
- +4.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $153M, 77 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$288M77%
- Individuals$58.3M16%
- Corporations and businesses$28.5M7.6%
- Individual clients
- 133reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 582reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $153M for 77 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N•••••••• B•••• P••••• J•••• | H••••• H•••, Sc | Feb 25, 2008 | 29 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• N•••••••• · Presidentcontrolsince 09/1997 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 31, 2026HNW RAUM per HNW client of $7,392,578 against a peer median of $2,402,920 (4942 comparable advisers, 98.0th percentile, 3.4 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 584 to 582Mar 31, 2025 to Mar 31, 2026
- HNW clients · 38 to 39Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $141M to $153MMar 31, 2025 to Mar 31, 2026
- Employees · 2 to 3Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $349M to $365MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $275M to $288MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $58.8M to $58.3MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $9.9M to $10.4MMar 31, 2025 to Mar 31, 2026
- RAUM · $359M to $375MMar 31, 2025 to Mar 31, 2026
- Accounts · 545 to 584Mar 29, 2024 to Mar 31, 2025
- HNW clients · 29 to 38Mar 29, 2024 to Mar 31, 2025
- Individual clients · 136 to 133Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $91.9M to $141MMar 29, 2024 to Mar 31, 2025
- Employees · 3 to 2Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $275M to $349MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $197M to $275MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $63.5M to $58.8MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $8.7M to $9.9MMar 29, 2024 to Mar 31, 2025
- RAUM · $283M to $359MMar 29, 2024 to Mar 31, 2025
- Accounts · 548 to 545Mar 31, 2023 to Mar 29, 2024
- HNW clients · 25 to 29Mar 31, 2023 to Mar 29, 2024
- Individual clients · 139 to 136Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $91.4M to $91.9MMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $237M to $275MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $161M to $197MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $66.5M to $63.5MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $10.9M to $8.7MMar 31, 2023 to Mar 29, 2024
- RAUM · $248M to $283MMar 31, 2023 to Mar 29, 2024
- Accounts · 537 to 548Mar 31, 2022 to Mar 31, 2023
- HNW clients · 32 to 25Mar 31, 2022 to Mar 31, 2023
- Individual clients · 124 to 139Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $101M to $91.4MMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $298M to $237MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $219M to $161MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $72.9M to $66.5MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $13.2M to $10.9MMar 31, 2022 to Mar 31, 2023
- RAUM · $312M to $248MMar 31, 2022 to Mar 31, 2023
- Accounts · 499 to 537Mar 30, 2021 to Mar 31, 2022
- HNW clients · 23 to 32Mar 30, 2021 to Mar 31, 2022
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 843-681-8300reportedpublic record, Form ADV, Mar 31, 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
- $375Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026