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•••• R•••• L••
Latest filing Sep 4, 2026
First filing on the tape Feb 24, 2012 · 30 filings
SEC status approved since Jul 5, 2006
RAUM
$2.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
56%
$1.6B individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$222M
derived; firm RAUM over IAPD count
Employees
18
12 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$2.9B as of Apr 6, 2026
Feb 24, 2012$275M then
HNW client RAUM$1.6B as of Apr 6, 2026
Mar 22, 2018$461M then
State-registered IARs (5.B.3)12 as of Apr 6, 2026
Feb 24, 20120 then
Employees (5.A)18 as of Apr 6, 2026
Apr 1, 20137 then
Private funds: no history
RAUM +23% over the last fiscal year+26% a year over threeIARs 13 to 12offices 1 to 2
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $222MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.7MderivedHNW RAUM over HNW clients
- Average account
- $2.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 43%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 4.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -7.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $877M, 215 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$1.6B54%
- Pension and profit-sharing plans$914M32%
- Charitable organizations$327M11%
- Individuals$61.5M2.1%
- Corporations and businesses$22.2M0.8%
- Individual clients
- 148reported
- HNW clients
- 203reported
- Pension plan clients
- 26reported
- Charitable clients
- 15reported
- Accounts
- 997reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $877M for 215 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.56 fund_share=0.0 institutional_share=0.43 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• L•• H•••Certified Financial Planner | Tupelo, Ms | Aug 25, 2006 | 34 y | 1 |
| G••••• S•••• R••• | Tupelo, Ms | Aug 25, 2006 | 40 y | 1 |
| J••• C••••• H•••• | Oxford, Ms | Mar 26, 2007 | 43 y | 1 |
| M••••••• W••••• J•••••Certified Financial Planner | Oxford, Ms | Nov 20, 2014 | 22 y | 1 |
| K•••••• W•••• P•••••••• | Oxford, Ms | May 29, 2018 | 27 y | 1 |
| A•••• M•••• G••••• | Tupelo, Ms | Mar 23, 2019 | 28 y | 0 |
| F•••• A• R•••• | Tupelo, Ms | May 21, 2021 | 16 y | 0 |
| A•••••• S••••• | Tupelo, Ms | Oct 16, 2023 | 10 y | 0 |
| B••••• K•••••• S••••••• | Tupelo, Ms | Apr 26, 2024 | 14 y | 0 |
| S••••• P••• K••• H••••• | Tupelo, Ms | Aug 30, 2024 | 12 y | 0 |
| Y••• P•••• M••••• | Madison, Ms | Apr 8, 2025 | 11 y | 0 |
| G••• M•••••• W•••••Chartered Financial Analyst | Oxford, Ms | Aug 4, 2025 | 24 y | 1 |
| G••••••• L•• H••• | Tupelo, Ms | Apr 16, 2026 | 10 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
- J•••• W••••• W••• to U•• F•••••••• S••••••• I•••May 19, 2025 · RIA to wirehouse
- D•• L• F•••• to F••••• C•••••• A•••••••• L•• •••••••• O••••• I••••••••• A•••Feb 2, 2009 · Other
- D•• L• F•••• to F••••• C•••••• A•••••••• L•• •••••••• O••••• I••••••••• A•••Feb 2, 2009 · Other
Joined, latest
- G••• M•••••• W••••• from V••••• V•••• P••••••• L••Aug 4, 2025 · Other
- K•••••• W•••• P•••••••• from V•••• F•••••••• A•••••••• I•••May 29, 2018 · Other
- M••••••• W••••• J••••• from E••••• J••••Nov 20, 2014 · Other
- J••• C••••• H•••• from J••••• H•••••••• W••• L••••• L••Mar 26, 2007 · Other
- R•••••• L•• H••• from J••••• H•••••••• W••• L••••• L••Aug 25, 2006 · Other
- G••••• S•••• R••• from J••••• H•••••••• W••• L••••• L••Aug 25, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• J•••• C••••• · Presidentcontrolsince 08/2006 · owns 50% to 75%
- M•••••••• M••••••• B•••• · Chief Operating Officercontrolsince 01/2024 · owns less than 5%
- R•••• G•••••• S•••• · Chief Executive Officercontrolsince 08/2006 · owns 50% to 75%
- B•••••••• S••••• M• · Chief Compliance Officersince 08/2026 · owns less than 5%
- H•••••• M•••••••• E••••• · Chief Compliance Officersince 03/2021 · 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 |
|---|---|---|---|---|---|
| Tupelo, Ms · principal | 8 | 1 | 0 | ||
| O•••••, Ms | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- O•••••, MS4 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 4, 2026M•••••••• M••••••• B•••• (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-03-21 and 2026-09-04peers: independent wealth managers, $1B to $5B (1,362)
- account count surgeChange between filings · filing Apr 6, 2026accounts (Item 5.F.2.f) moved from 365.0 to 997.0 (+173.0%) between the annual amendments of 2025-03-11 and 2026-04-06; the peer median change was +6.0% (1206 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 98% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 26-50 to 26-50Apr 6, 2026 to Sep 4, 2026
- Related adviser · false to unsetApr 6, 2026 to Sep 4, 2026
- Related bank · false to unsetApr 6, 2026 to Sep 4, 2026
- Related broker-dealer · false to unsetApr 6, 2026 to Sep 4, 2026
- Related insurance company · false to unsetApr 6, 2026 to Sep 4, 2026
- Succession · false to unsetApr 6, 2026 to Sep 4, 2026
- Accounts · 365 to 997Mar 11, 2025 to Mar 24, 2026
- Advisory employees · 13 to 12Mar 11, 2025 to Mar 24, 2026
- Advisory activities · 5 to 6Mar 11, 2025 to Mar 24, 2026
- Charity clients · 14 to 15Mar 11, 2025 to Mar 24, 2026
- HNW clients · 154 to 203Mar 11, 2025 to Mar 24, 2026
- Individual clients · 168 to 148Mar 11, 2025 to Mar 24, 2026
- Assets in custody · $940M to $877MMar 11, 2025 to Mar 24, 2026
- Employees · 19 to 18Mar 11, 2025 to Mar 24, 2026
- State-registered IARs · 13 to 12Mar 11, 2025 to Mar 24, 2026
- Other offices · 1 to 2Mar 11, 2025 to Mar 24, 2026
- Discretionary RAUM · $2.4B to $2.9BMar 11, 2025 to Mar 24, 2026
- HNW RAUM · $1.3B to $1.6BMar 11, 2025 to Mar 24, 2026
- Individual RAUM · $77.5M to $61.5MMar 11, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $0 to $5.6MMar 11, 2025 to Mar 24, 2026
- Pension RAUM · $701M to $914MMar 11, 2025 to Mar 24, 2026
- RAUM · $2.4B to $2.9BMar 11, 2025 to Mar 24, 2026
- Accounts · 348 to 365Apr 19, 2024 to Mar 11, 2025
- Advisory employees · 11 to 13Apr 19, 2024 to Mar 11, 2025
- Corporate clients · 4 to 3Apr 19, 2024 to Mar 11, 2025
- HNW clients · 138 to 154Apr 19, 2024 to Mar 11, 2025
- Individual clients · 170 to 168Apr 19, 2024 to Mar 11, 2025
- Pension plan clients · 22 to 26Apr 19, 2024 to Mar 11, 2025
- Assets in custody · $841M to $940MApr 19, 2024 to Mar 11, 2025
- Employees · 18 to 19Apr 19, 2024 to Mar 11, 2025
- Financial planning clients · 26-50 to 26-50Apr 19, 2024 to Mar 11, 2025
- State-registered IARs · 11 to 13Apr 19, 2024 to Mar 11, 2025
- Discretionary RAUM · $1.9B to $2.4BApr 19, 2024 to Mar 11, 2025
- HNW RAUM · $1.0B to $1.3BApr 19, 2024 to Mar 11, 2025
- Individual RAUM · $74.6M to $77.5MApr 19, 2024 to Mar 11, 2025
- Pension RAUM · $494M to $701MApr 19, 2024 to Mar 11, 2025
- RAUM · $1.9B to $2.4BApr 19, 2024 to Mar 11, 2025
- Accounts · 347 to 348Oct 16, 2023 to Mar 21, 2024
- Advisory employees · 10 to 11Oct 16, 2023 to Mar 21, 2024
- HNW clients · 136 to 138Oct 16, 2023 to Mar 21, 2024
Signals
7 dated events
- J•••• W••••• W••• left H•••• R•••• L•• for U•• F•••••••• S••••••• I••• (registered 2025-07-31)May 19, 2025 · Advisor changed firm · fact
- H•••• R•••• L•• reported RAUM $2.4B, up 26% from $1.9B (2024-04-19 to 2025-03-11)Mar 11, 2025 · RAUM change · derived
- H•••• R•••• L•• reported RAUM $1.9B, up 29% from $1.4B (2023-10-16 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- B•••• M•••••• M••••••• (Chief Operating Officer) appeared on Schedule A of H•••• R•••• L••Mar 21, 2024 · Control person joined · fact
- Louis Kenneth Mathis (Chief Operating Officer) no longer on Schedule A of H•••• R•••• L•• (listed 2023-10-16, absent 2024-03-21)Mar 21, 2024 · Control person left · inference
- H•••• R•••• L•• reported RAUM $1.4B, up 35% from $1.1B (2020-06-24 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- H•••• R•••• L•• reported RAUM $966.6M, up 34% from $721.0M (2018-10-05 to 2019-03-15)Mar 15, 2019 · RAUM change · derived
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
- 601-573-6188reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 662-823-4722reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/H••••-R•••reportedpublic record, Form ADV, Sep 19, 2026
- Website
- H••••R•••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 662-823-4722reportedpublic record, Form ADV, Sep 4, 2026
- Contact form
- h••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $222Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026