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••••• B•••• W••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 23 filings
SEC status approved since Jan 8, 2008
RAUM
$1.4B
reported, Item 5.F
Discretionary
61%
of RAUM
Private clients
94%
$1.3B individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.4B
derived; firm RAUM over IAPD count
Employees
18
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.4B as of Mar 30, 2026
Mar 30, 2012$1.7B then
HNW client RAUM$1.3B as of Mar 30, 2026
Mar 30, 2018$530M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 27, 20130 then
Employees (5.A)18 as of Mar 30, 2026
Mar 27, 20139 then
Private funds: 1
RAUM +14% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.4BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 549derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 61%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 18.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%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, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $230M, 63 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)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B92%
- Corporations and businesses$51.8M3.8%
- Charitable organizations$35.5M2.6%
- Individuals$19.0M1.4%
- Individual clients
- 90reported
- HNW clients
- 459reported
- Pension plan clients
- 0reported
- Charitable clients
- 24reported
- Accounts
- 603reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $230M for 63 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| P••••• E•••• R•••••• | Katonah, Ny | Apr 17, 2024 | 21 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••••• C••••••••• F•••• L•no longer reported | Hedge Fund | $5.8M | 7 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••• L•• · Ceo & Co-Chief Investment Officercontrolsince 01/2014 · owns 50% to 75%
- N•••••••• E••••• W•••• · Chairmancontrolsince 01/1999 · owns less than 5%
- R••••••• P•••••• E•••• · President, Founder & Co- Chief Investment Officer, Ccocontrolsince 01/2014 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Wellington, FL1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 30, 2026N•••••••• E••••• W•••• (CHAIRMAN) left Schedule A between the filings of 2012-03-30 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 538 to 603Mar 30, 2025 to Mar 30, 2026
- Advisory employees · 3 to 4Mar 30, 2025 to Mar 30, 2026
- Charity clients · 19 to 24Mar 30, 2025 to Mar 30, 2026
- Corporate clients · 24 to 30Mar 30, 2025 to Mar 30, 2026
- HNW clients · 416 to 459Mar 30, 2025 to Mar 30, 2026
- Individual clients · 79 to 90Mar 30, 2025 to Mar 30, 2026
- Assets in custody · $237M to $230MMar 30, 2025 to Mar 30, 2026
- Employees · 15 to 18Mar 30, 2025 to Mar 30, 2026
- Financial planning clients · 51-100 to 101-250Mar 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $685M to $833MMar 30, 2025 to Mar 30, 2026
- HNW RAUM · $1.1B to $1.3BMar 30, 2025 to Mar 30, 2026
- Individual RAUM · $13.8M to $19.0MMar 30, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $512M to $535MMar 30, 2025 to Mar 30, 2026
- RAUM · $1.2B to $1.4BMar 30, 2025 to Mar 30, 2026
- Accounts · 456 to 538Mar 29, 2024 to Mar 30, 2025
- Advisory employees · 6 to 3Mar 29, 2024 to Mar 30, 2025
- Advisory activities · 4 to 6Mar 29, 2024 to Mar 30, 2025
- Charity clients · 16 to 19Mar 29, 2024 to Mar 30, 2025
- Corporate clients · 16 to 24Mar 29, 2024 to Mar 30, 2025
- HNW clients · 355 to 416Mar 29, 2024 to Mar 30, 2025
- Individual clients · 69 to 79Mar 29, 2024 to Mar 30, 2025
- Assets in custody · $223M to $237MMar 29, 2024 to Mar 30, 2025
- Employees · 13 to 15Mar 29, 2024 to Mar 30, 2025
- Financial planning clients · 51-100 to 51-100Mar 29, 2024 to Mar 30, 2025
- Other offices · 3 to 1Mar 29, 2024 to Mar 30, 2025
- Discretionary RAUM · $486M to $685MMar 29, 2024 to Mar 30, 2025
- HNW RAUM · $950M to $1.1BMar 29, 2024 to Mar 30, 2025
- Individual RAUM · $11.8M to $13.8MMar 29, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $563M to $512MMar 29, 2024 to Mar 30, 2025
- RAUM · $1.0B to $1.2BMar 29, 2024 to Mar 30, 2025
- Accounts · 387 to 456May 30, 2023 to Mar 29, 2024
- Corporate clients · 17 to 16May 30, 2023 to Mar 29, 2024
- HNW clients · 309 to 355May 30, 2023 to Mar 29, 2024
- Individual clients · 45 to 69May 30, 2023 to Mar 29, 2024
- Assets in custody · $238M to $223MMay 30, 2023 to Mar 29, 2024
- State-registered IARs · 0 to 1May 30, 2023 to Mar 29, 2024
- Other offices · 2 to 3May 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $421M to $486MMay 30, 2023 to Mar 29, 2024
- HNW RAUM · $876M to $950MMay 30, 2023 to Mar 29, 2024
- Individual RAUM · $7.0M to $11.8MMay 30, 2023 to Mar 29, 2024
Signals
2 dated events
- H••••• B•••• W••••• M••••••••• L•• reported RAUM $934.9M, up 26% from $743.6M (2019-04-02 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- H••••• B•••• W••••• M••••••••• L•• reported RAUM $743.6M, up 33% from $560.0M (2018-10-03 to 2019-04-02)Apr 2, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- H••••• B•••• W••••• M••••••••• L•• · Independent Sponsorsshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- i•••@h••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-364-1849reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-364-1840reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/H•••••-B••••-WEALTH-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.h••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-364-1848reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- hollowbrookllc.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- hollowbrookllc.com/about-us/teamreportedpublished by the firm, firm site, Sep 16, 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
- $1.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026