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••••• W•••••• I•••
Latest filing Feb 20, 2026
First filing on the tape Feb 8, 2012 · 34 filings
SEC status approved since May 22, 2018
RAUM
$221M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$221M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$221M as of Feb 20, 2026
Feb 8, 2012$54.1M then
HNW client RAUM$79.3M as of Feb 20, 2026
Mar 18, 2019$36.1M then
State-registered IARs (5.B.3)2 as of Feb 20, 2026
Feb 8, 20120 then
Employees (5.A)6 as of Feb 20, 2026
Mar 18, 20194 then
Private funds: no history
RAUM +19% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 20, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 404derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $272,951derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +144%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $221M, 335 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)
- 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
- Individuals$141M64%
- High-net-worth individuals$79.3M36%
- Individual clients
- 761reported
- HNW clients
- 47reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 808reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $221M for 335 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• W•••••Certified Financial Planner | Edmond, Ok | Nov 15, 2007 | 24 y | 1 |
| T••••••• J••• H•••••Certified Financial Planner | Edmond, Ok | Nov 15, 2007 | 27 y | 1 |
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
- M•••••• W••••• from R••••••••• I••••••••• A••••••• I••Nov 15, 2007 · Other
- T••••••• J••• H••••• from R••••••••• I••••••••• A••••••• I••Nov 15, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• T•••••••• J••• · Presidentcontrolsince 10/2007 · owns 75% or more
- W•••••• M•••••• · Chief Compliance Officercontrolsince 04/2023 · 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 |
|---|---|---|---|---|---|
| Edmond, Ok · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Feb 20, 2026individual and HNW clients (Item 5.D) moved from 331.0 to 808.0 (+144.0%) between the annual amendments of 2025-04-11 and 2026-02-20; the peer median change was +3.0% (3309 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 786 to 808Nov 12, 2025 to Feb 20, 2026
- HNW clients · 38 to 47Nov 12, 2025 to Feb 20, 2026
- Individual clients · 293 to 761Nov 12, 2025 to Feb 20, 2026
- Assets in custody · $185M to $221MNov 12, 2025 to Feb 20, 2026
- Discretionary RAUM · $185M to $221MNov 12, 2025 to Feb 20, 2026
- HNW RAUM · $56.5M to $79.3MNov 12, 2025 to Feb 20, 2026
- Individual RAUM · $129M to $141MNov 12, 2025 to Feb 20, 2026
- RAUM · $185M to $221MNov 12, 2025 to Feb 20, 2026
- Financial planning clients · 251-500 to 251-500Feb 18, 2025 to Apr 11, 2025
- Accounts · 757 to 786Jan 13, 2025 to Feb 18, 2025
- HNW clients · 26 to 38Jan 13, 2025 to Feb 18, 2025
- Individual clients · 319 to 293Jan 13, 2025 to Feb 18, 2025
- Discretionary RAUM · $159M to $185MJan 13, 2025 to Feb 18, 2025
- HNW RAUM · $41.3M to $56.5MJan 13, 2025 to Feb 18, 2025
- Individual RAUM · $118M to $129MJan 13, 2025 to Feb 18, 2025
- RAUM · $159M to $185MJan 13, 2025 to Feb 18, 2025
- Assets in custody · $159M to $185MApr 16, 2024 to Jan 13, 2025
- Employees · 5 to 6Feb 13, 2024 to Apr 16, 2024
- Accounts · 748 to 757Feb 6, 2024 to Feb 13, 2024
- HNW clients · 35 to 26Feb 6, 2024 to Feb 13, 2024
- Individual clients · 286 to 319Feb 6, 2024 to Feb 13, 2024
- Assets in custody · $131M to $159MFeb 6, 2024 to Feb 13, 2024
- Financial planning clients · 0 to 251-500Feb 6, 2024 to Feb 13, 2024
- Discretionary RAUM · $131M to $159MFeb 6, 2024 to Feb 13, 2024
- HNW RAUM · $61.4M to $41.3MFeb 6, 2024 to Feb 13, 2024
- Individual RAUM · $70.0M to $118MFeb 6, 2024 to Feb 13, 2024
- RAUM · $131M to $159MFeb 6, 2024 to Feb 13, 2024
- Advisory activities · 3 to 4Jan 10, 2024 to Feb 6, 2024
- Advisory employees · 3 to 2Apr 12, 2023 to Jul 14, 2023
- State-registered IARs · 3 to 2Apr 12, 2023 to Jul 14, 2023
- Accounts · 725 to 748Dec 14, 2022 to Mar 2, 2023
- HNW clients · 42 to 35Dec 14, 2022 to Mar 2, 2023
- Individual clients · 268 to 286Dec 14, 2022 to Mar 2, 2023
- Assets in custody · $164M to $131MDec 14, 2022 to Mar 2, 2023
- Discretionary RAUM · $164M to $131MDec 14, 2022 to Mar 2, 2023
- HNW RAUM · $83.8M to $61.4MDec 14, 2022 to Mar 2, 2023
- Individual RAUM · $79.9M to $70.0MDec 14, 2022 to Mar 2, 2023
- RAUM · $164M to $131MDec 14, 2022 to Mar 2, 2023
- Advisory activities · 2 to 3Oct 14, 2022 to Dec 14, 2022
- Accounts · 672 to 725Nov 19, 2021 to Feb 22, 2022
Signals
5 dated events
- Kristine Kathryn Lee Hatchett (Chief Compliance Officer) no longer on Schedule A of H••••• W•••••• I••• (listed 2023-03-02, absent 2023-04-12)Apr 12, 2023 · Control person left · inference
- M•••••• W••••• (Chief Compliance Officer) appeared on Schedule A of H••••• W•••••• I•••Apr 12, 2023 · Control person joined · fact
- Kristine Kathryn Lee Hatchett (Chief Compliance Officer) appeared on Schedule A of H••••• W•••••• I•••Nov 19, 2021 · Control person joined · fact
- M•••••• W••••• (Co-President/ Chief Compliance Officer) no longer on Schedule A of H••••• W•••••• I••• (listed 2021-02-26, absent 2021-11-19)Nov 19, 2021 · Control person left · inference
- H••••• W•••••• I••• filed its initial SEC registration (Form ADV)Apr 16, 2018 · First SEC registration · 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 email
- info@hugheswarren.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- cassie@hugheswarren.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- emma@hugheswarren.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- ronald@hugheswarren.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- ted@hugheswarren.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- tori@hugheswarren.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 405-418-4080reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-436-4451reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/hughes-warren-inc.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••W•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 405-418-4080reportedpublic record, Form ADV, Feb 20, 2026
- Contact form
- hugheswarren.com/contactreportedpublished 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026