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••••• A•• A••••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Nov 22, 2011 · 44 filings
SEC status approved since Jul 21, 2010
RAUM
$783M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$706M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$261M
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$783M as of Mar 25, 2026
Mar 13, 2012$212M then
HNW client RAUM$592M as of Mar 25, 2026
Mar 1, 2018$262M then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Mar 13, 20120 then
Employees (5.A)8 as of Mar 25, 2026
Feb 15, 20132 then
Private funds: no history
RAUM +8.5% over the last fiscal year+10% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 25, 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
- RAUM per advisor
- $261MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 166derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $508,906derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +49%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 advisersreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$592M76%
- Individuals$114M15%
- Charitable organizations$58.2M7.4%
- Pension and profit-sharing plans$14.1M1.8%
- Corporations and businesses$5.1M0.7%
- Individual clients
- 369reported
- HNW clients
- 130reported
- Pension plan clients
- 15reported
- Charitable clients
- 20reported
- Accounts
- 1,539reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.09 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 |
|---|---|---|---|---|
| R•••• D••• H•••••Certified Financial Planner | Sheridan, Wy | Sep 27, 2007 | 34 y | 2 |
| D•••••• J•••••••• H••••• | Sheridan, Wy | May 1, 2019 | 15 y | 0 |
| M••••••• M• S••••••••• | Sheridan, Wy | Jan 2, 2020 | 22 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
- W••••• W••• B•••••• to F••••••• A•••• M••••••••• L••Sep 17, 2025 · RIA to RIA
- D•••• D••••• D• N••••• to W•••• F•••• A•••••••Apr 10, 2013 · Other
- A••••• G••••••••• K••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 24, 2012 · Other
- D•••• C•••• H••• to R•••••• J•••• F•••••••• S•••••••• I•••Nov 11, 2011 · Other
Joined, latest
- A••••• G••••••••• K••••••••• from R•••••• J•••• F•••••••• S•••••••• I•••Oct 24, 2007 · Other
- R•••• D••• H••••• from R•••••• J•••• F•••••••• S•••••••• I•••Sep 27, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• D••••••• J•••••••• · Chief Operating Officercontrolsince 07/2010 · owns 10% to 25%
- H•••••• R••••• D••• · President/Chief Compliance Officercontrolsince 07/2007 · 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 |
|---|---|---|---|---|---|
| Sheridan, Wy · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Ashland, OR2 employees
What changed
consecutive filings, newest first
- Accounts · 1,531 to 1,539Nov 4, 2025 to Mar 25, 2026
- Advisory employees · 4 to 2Nov 4, 2025 to Mar 25, 2026
- Charity clients · 17 to 20Nov 4, 2025 to Mar 25, 2026
- Corporate clients · 6 to 5Nov 4, 2025 to Mar 25, 2026
- HNW clients · 208 to 130Nov 4, 2025 to Mar 25, 2026
- Individual clients · 127 to 369Nov 4, 2025 to Mar 25, 2026
- Pension plan clients · 160 to 15Nov 4, 2025 to Mar 25, 2026
- Employees · 7 to 8Nov 4, 2025 to Mar 25, 2026
- State-registered IARs · 4 to 3Nov 4, 2025 to Mar 25, 2026
- Discretionary RAUM · $722M to $783MNov 4, 2025 to Mar 25, 2026
- HNW RAUM · $604M to $592MNov 4, 2025 to Mar 25, 2026
- Individual RAUM · $28.5M to $114MNov 4, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $27,692 to $37,397Nov 4, 2025 to Mar 25, 2026
- Pension RAUM · $37.7M to $14.1MNov 4, 2025 to Mar 25, 2026
- RAUM · $722M to $783MNov 4, 2025 to Mar 25, 2026
- Financial planning clients · 251-500 to 251-500Mar 23, 2025 to Jul 15, 2025
- Accounts · 1,439 to 1,531Feb 12, 2025 to Mar 23, 2025
- Advisory employees · 3 to 4Feb 12, 2025 to Mar 23, 2025
- Corporate clients · 2 to 6Feb 12, 2025 to Mar 23, 2025
- HNW clients · 187 to 208Feb 12, 2025 to Mar 23, 2025
- Individual clients · 225 to 127Feb 12, 2025 to Mar 23, 2025
- Pension plan clients · 69 to 160Feb 12, 2025 to Mar 23, 2025
- Employees · 3 to 7Feb 12, 2025 to Mar 23, 2025
- State-registered IARs · 3 to 4Feb 12, 2025 to Mar 23, 2025
- Discretionary RAUM · $629M to $722MFeb 12, 2025 to Mar 23, 2025
- HNW RAUM · $535M to $604MFeb 12, 2025 to Mar 23, 2025
- Individual RAUM · $16.2M to $28.5MFeb 12, 2025 to Mar 23, 2025
- Non-discretionary RAUM · $31,517 to $27,692Feb 12, 2025 to Mar 23, 2025
- Pension RAUM · $35.2M to $37.7MFeb 12, 2025 to Mar 23, 2025
- RAUM · $629M to $722MFeb 12, 2025 to Mar 23, 2025
- Pension plan clients · 75 to 69Mar 28, 2024 to Apr 2, 2024
- Non-discretionary RAUM · $43.0M to $31,517Mar 28, 2024 to Apr 2, 2024
- Pension RAUM · $78.2M to $35.2MMar 28, 2024 to Apr 2, 2024
- RAUM · $672M to $629MMar 28, 2024 to Apr 2, 2024
- Accounts · 1,457 to 1,439Sep 29, 2023 to Mar 28, 2024
- Charity clients · 19 to 17Sep 29, 2023 to Mar 28, 2024
- HNW clients · 163 to 187Sep 29, 2023 to Mar 28, 2024
- Individual clients · 239 to 225Sep 29, 2023 to Mar 28, 2024
- Pension plan clients · 85 to 75Sep 29, 2023 to Mar 28, 2024
- Employees · 10 to 3Sep 29, 2023 to Mar 28, 2024
Signals
2 dated events
- W••••• W••• B•••••• left H••••• A•• A••••••••• I••• for F••••••• A•••• M••••••••• L•• (registered 2025-11-12)Sep 17, 2025 · Advisor changed firm · fact
- Josephine Danette Harfst (Chief Operating Officer) appeared on Schedule A of H••••• A•• A••••••••• I•••Mar 13, 2019 · 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
- 307-218-5667reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 541-488-0599reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 541-488-2634reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••://WWW.H•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 307-218-5667reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- harfstandassociates.com/contactreportedpublished 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
- $261Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026