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
N••••••• H•••••• • C••••••• L••
Latest filing Jul 10, 2026
First filing on the tape Mar 19, 2012 · 50 filings
SEC status approved since Sep 14, 2007
RAUM
$8.3B
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
95%
$7.8B individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$636M
derived; firm RAUM over IAPD count
Employees
25
15 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$8.3B as of Jul 10, 2026
Mar 19, 2012$225M then
HNW client RAUM$7.8B as of Jul 10, 2026
Feb 21, 2018$772M then
State-registered IARs (5.B.3)13 as of Jul 10, 2026
Mar 19, 20120 then
Employees (5.A)25 as of Jul 10, 2026
Feb 13, 20138 then
Private funds1 as of Jul 10, 2026
Feb 20, 20261 then
RAUM +15% over the last fiscal year+15% a year over threeIARs 12 to 13
Practice profile
derived from the filing of Jul 10, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $636MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $27.3MderivedHNW RAUM over HNW clients
- Average account
- $3.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 4.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $4.6B, 279 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$7.8B94%
- Charitable organizations$410M5.0%
- Individuals$49.0M0.6%
- Pooled investment vehicles$25.0M0.3%
- Pension and profit-sharing plans$3.5M0.0%
- Individual clients
- 114reported
- HNW clients
- 285reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 2,233reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.6B for 279 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• J••• H•••••• | Atlanta, Ga | May 14, 2008 | 40 y | 0 |
| E•••••• D•••• Q•••••• | Atlanta, Ga | Nov 17, 2008 | 40 y | 0 |
| G••• B••••••• M•••••Chartered Financial Analyst | Atlanta, Ga | Sep 25, 2009 | 32 y | 1 |
| A•••••••• C••• G••••••• | Atlanta, Ga | Apr 12, 2010 | 42 y | 1 |
| C•••••• R••• S•••••• | Atlanta, Ga | Oct 11, 2011 | 18 y | 2 |
| L•••• B••••••• F••••Chartered Financial Analyst | Atlanta, Ga | Nov 1, 2017 | 30 y | 0 |
| J•••••• S•••• B•••Chartered Financial Analyst | Atlanta, Ga | Dec 6, 2021 | 32 y | 2 |
| C•••• S•••••••• B••••••Chartered Financial Analyst | Atlanta, Ga | Dec 21, 2021 | 11 y | 0 |
| N••••••• S•••• N•••••Certified Financial Planner | Atlanta, Ga | Mar 28, 2024 | 10 y | 0 |
| B•••• C••••• Q••••••• G••••• | Atlanta, Ga | Mar 10, 2025 | 10 y | 0 |
| A•••• F•••••••• J••••••• | Atlanta, Ga | Mar 10, 2025 | 15 y | 0 |
| C••• W•••••• K•••••••• | Atlanta, Ga | Aug 15, 2025 | 10 y | 0 |
| R•••••• E••••• W•••Certified Financial Planner | Atlanta, Ga | Jan 28, 2026 | 21 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- C••••••• H•••••• M•••••••• to H•• W••••• M••••••••• L••Jan 14, 2025 · RIA to a state-registered adviser
- D••••• C•••••• H••• to W••••••• W••••• C•••••• L••Feb 1, 2021 · RIA to RIA
- L••• M•••• P•••••••• to S••••• I••••••••• L••Dec 9, 2014 · Other
Joined, latest
- R•••••• E••••• W••• from W••• F••••• W••••• A•••••••• L••Jan 28, 2026 · Other
- J•••••• S•••• B••• from A•••• C•••••• M••••••••• L••Dec 6, 2021 · Other
- C••••••• H•••••• M•••••••• from R•••••• J•••• • A••••••••• I•••Oct 26, 2020 · Affiliated broker-dealer or bank to independent RIA
- C•••••• R••• S•••••• from E•••••••• A•••••• G••••• L••Oct 11, 2011 · Other
- A•••••••• C••• G••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 12, 2010 · Other
- G••• B••••••• M••••• from W••••••••• T•••• I••••••••• M•••••••••Sep 25, 2009 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••• L•••• M••••• M••••• P• I• L• | $25.0M | 1 | Jul 10, 2026 |
Owners and control persons
Schedule A and B, latest filing
- H••••••• N•••••••• J••• · Managing Membercontrolsince 08/2007 · owns 50% to 75%
- R••••••• R••••••• N•• · Chief Compliance Officer, Chief Operating Officercontrolsince 12/2019 · owns less than 5%
- H••••••• E••••••••• F•••• · Trusteecontrolsince 01/2016 · owns F of N••••••• J••• H•••••• T••••
- G•••••••• A••••••••• C••• · Membersince 01/2016 · owns 5% to 10%
Entity owners
- N••••••• J••• H•••••• T•••• · Memberdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 13 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 10, 2026H••••••• E••••••••• F•••• (TRUSTEE) left Schedule A between the filings of 2019-12-16 and 2026-07-10peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Advisory employees · 16 to 15Mar 17, 2026 to Jul 10, 2026
- Employees · 26 to 25Mar 17, 2026 to Jul 10, 2026
- State-registered IARs · 14 to 13Mar 17, 2026 to Jul 10, 2026
- Accounts · 2,215 to 2,233Jan 30, 2026 to Feb 20, 2026
- Advisory employees · 13 to 16Jan 30, 2026 to Feb 20, 2026
- Advisory activities · 6 to 7Jan 30, 2026 to Feb 20, 2026
- HNW clients · 260 to 285Jan 30, 2026 to Feb 20, 2026
- Individual clients · 125 to 114Jan 30, 2026 to Feb 20, 2026
- Pooled vehicle clients · unset to 1.0Jan 30, 2026 to Feb 20, 2026
- Assets in custody · $3.4B to $4.6BJan 30, 2026 to Feb 20, 2026
- Employees · 23 to 26Jan 30, 2026 to Feb 20, 2026
- State-registered IARs · 13 to 14Jan 30, 2026 to Feb 20, 2026
- Private funds · unset to 1Jan 30, 2026 to Feb 20, 2026
- Discretionary RAUM · $5.8B to $6.6BJan 30, 2026 to Feb 20, 2026
- HNW RAUM · $6.7B to $7.8BJan 30, 2026 to Feb 20, 2026
- Individual RAUM · $56.9M to $49.0MJan 30, 2026 to Feb 20, 2026
- Non-discretionary RAUM · $1.3B to $1.7BJan 30, 2026 to Feb 20, 2026
- Pension RAUM · $3.0M to $3.5MJan 30, 2026 to Feb 20, 2026
- Pooled vehicle RAUM · unset to 25000000.0Jan 30, 2026 to Feb 20, 2026
- RAUM · $7.2B to $8.3BJan 30, 2026 to Feb 20, 2026
- Advisory activities · 5 to 6Aug 19, 2025 to Oct 15, 2025
- Financial planning clients · 0 to 0Aug 19, 2025 to Oct 15, 2025
- State-registered IARs · 12 to 13Mar 14, 2025 to Aug 19, 2025
- Accounts · 2,124 to 2,215Nov 5, 2024 to Mar 14, 2025
- HNW clients · 266 to 260Nov 5, 2024 to Mar 14, 2025
- Individual clients · 111 to 125Nov 5, 2024 to Mar 14, 2025
- Assets in custody · $2.9B to $3.4BNov 5, 2024 to Mar 14, 2025
- State-registered IARs · 11 to 12Nov 5, 2024 to Mar 14, 2025
- Other offices · 1 to 2Nov 5, 2024 to Mar 14, 2025
- Discretionary RAUM · $5.9B to $5.8BNov 5, 2024 to Mar 14, 2025
- HNW RAUM · $6.3B to $6.7BNov 5, 2024 to Mar 14, 2025
- Individual RAUM · $36.4M to $56.9MNov 5, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $818M to $1.3BNov 5, 2024 to Mar 14, 2025
- Pension RAUM · $2.7M to $3.0MNov 5, 2024 to Mar 14, 2025
- RAUM · $6.7B to $7.2BNov 5, 2024 to Mar 14, 2025
- State-registered IARs · 10 to 11Mar 27, 2024 to Apr 1, 2024
- Accounts · 2,031 to 2,124Jan 2, 2024 to Mar 27, 2024
- Advisory employees · 12 to 13Jan 2, 2024 to Mar 27, 2024
- HNW clients · 247 to 266Jan 2, 2024 to Mar 27, 2024
- Individual clients · 112 to 111Jan 2, 2024 to Mar 27, 2024
Signals
5 dated events
- C••••••• H•••••• M•••••••• left N••••••• H•••••• • C••••••• L•• for H•• W••••• M••••••••• L•• (registered 2025-01-23)Jan 14, 2025 · a•••••• firm change · fact
- N••••••• H•••••• • C••••••• L•• reported RAUM $5.6B, up 303% from $1.4B (2021-02-12 to 2022-02-21)Feb 21, 2022 · RAUM change · derived
- N••••••• H•••••• • C••••••• L•• reported RAUM $1.1B, up 29% from $869.9M (2019-12-16 to 2020-02-17)Feb 17, 2020 · RAUM change · derived
- Nmi R•••••• R•••••• (Chief Compliance Officer, Chief Operating Officer) appeared on Schedule A of N••••••• H•••••• • C••••••• L••Dec 16, 2019 · Control person joined · fact
- N••••••• H•••••• • C••••••• L•• reported RAUM $793.6M, up 32% from $599.5M (2017-11-10 to 2018-02-21)Feb 21, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- N••••••• H•••••• • C••••••• L•• · Family Officesshared crd · office
- N••••••• H•••••• • C••••••• L•• · Independent Sponsorsshared crd · capital_provider
- N••••••• H•••••• • C••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/nicholas-hoffman-&-companyreportedpublic record, Form ADV, Sep 18, 2026
- Website
- NH••••••ANDCO.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 404-815-5050reportedpublic record, Form ADV, Jul 10, 2026
- Team page
- n•••••••••.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
- $636Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026