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• P••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Feb 28, 2012 · 43 filings
SEC status approved since Sep 3, 2008
RAUM
$556M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$541M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$556M as of Mar 3, 2026
Feb 28, 2012$283M then
HNW client RAUM$474M as of Mar 3, 2026
Mar 1, 2018$325M then
State-registered IARs (5.B.3)5 as of Mar 3, 2026
Feb 28, 20120 then
Employees (5.A)7 as of Mar 3, 2026
Mar 1, 20135 then
Private funds: no history
RAUM +11% over the last fiscal year+7.6% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 3, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.9MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $10.4M, 30 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$474M85%
- Individuals$67.6M12%
- Pension and profit-sharing plans$11.4M2.1%
- Corporations and businesses$3.4M0.6%
- Individual clients
- 67reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 415reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.4M for 30 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• J• K•••• | Centerbrook, Ct | Sep 3, 2008 | 38 y | 0 |
| P•••• J••••• D••••• | Centerbrook, Ct | Sep 3, 2008 | 31 y | 0 |
| D•••• C••••• B••••••Certified Financial Planner | Centerbrook, Ct | Aug 12, 2013 | 13 y | 1 |
| A••••• M•••••• V•• W••••• | Centerbrook, Ct | Aug 31, 2018 | 24 y | 0 |
| J••• W• W•••••• | Centerbrook, Ct | Mar 5, 2022 | 16 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
- D•••• C••••• B•••••• from I••••••••• F•••••••• P•••••••Aug 12, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• P••••• J••••• · Managing Member, Chief Compliance Officercontrolsince 02/2008 · owns 50% to 75%
- K••••• C••••••••• J• · Managing Membercontrolsince 02/2008 · owns 50% to 75%
Related persons
Schedule D 7.A
- C••••••••• J• K••••insurancey
- E•••• I•••••••• G••••• I•••real estaten
- H• F•••••••• M••••••••• L••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Centerbrook, Ct · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Corporate clients · 7 to 6Dec 12, 2025 to Mar 3, 2026
- Individual clients · 65 to 67Dec 12, 2025 to Mar 3, 2026
- Assets in custody · $15.4M to $10.4MDec 12, 2025 to Mar 3, 2026
- Financial planning clients · 101-250 to More than 500Dec 12, 2025 to Mar 3, 2026
- Discretionary RAUM · $500M to $552MDec 12, 2025 to Mar 3, 2026
- HNW RAUM · $430M to $474MDec 12, 2025 to Mar 3, 2026
- Individual RAUM · $60.3M to $67.6MDec 12, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $3.2M to $4.1MDec 12, 2025 to Mar 3, 2026
- Pension RAUM · $9.4M to $11.4MDec 12, 2025 to Mar 3, 2026
- RAUM · $503M to $556MDec 12, 2025 to Mar 3, 2026
- Accounts · 419 to 415Dec 3, 2024 to Mar 25, 2025
- Corporate clients · 8 to 7Dec 3, 2024 to Mar 25, 2025
- HNW clients · 51 to 48Dec 3, 2024 to Mar 25, 2025
- Individual clients · 69 to 65Dec 3, 2024 to Mar 25, 2025
- Assets in custody · $14.3M to $15.4MDec 3, 2024 to Mar 25, 2025
- Financial planning clients · 101-250 to 101-250Dec 3, 2024 to Mar 25, 2025
- Discretionary RAUM · $483M to $500MDec 3, 2024 to Mar 25, 2025
- HNW RAUM · $424M to $430MDec 3, 2024 to Mar 25, 2025
- Individual RAUM · $49.6M to $60.3MDec 3, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $2.2M to $3.2MDec 3, 2024 to Mar 25, 2025
- Pension RAUM · $8.0M to $9.4MDec 3, 2024 to Mar 25, 2025
- RAUM · $486M to $503MDec 3, 2024 to Mar 25, 2025
- Accounts · 387 to 419Dec 5, 2023 to Feb 8, 2024
- Charity clients · 1.0 to unsetDec 5, 2023 to Feb 8, 2024
- Corporate clients · 7 to 8Dec 5, 2023 to Feb 8, 2024
- HNW clients · 46 to 51Dec 5, 2023 to Feb 8, 2024
- Individual clients · 66 to 69Dec 5, 2023 to Feb 8, 2024
- Pension plan clients · 1.0 to unsetDec 5, 2023 to Feb 8, 2024
- Assets in custody · $14.6M to $14.3MDec 5, 2023 to Feb 8, 2024
- State-registered IARs · 4 to 5Dec 5, 2023 to Feb 8, 2024
- Discretionary RAUM · $445M to $483MDec 5, 2023 to Feb 8, 2024
- HNW RAUM · $399M to $424MDec 5, 2023 to Feb 8, 2024
- Individual RAUM · $38.9M to $49.6MDec 5, 2023 to Feb 8, 2024
- Non-discretionary RAUM · $1.2M to $2.2MDec 5, 2023 to Feb 8, 2024
- Pension RAUM · $6.9M to $8.0MDec 5, 2023 to Feb 8, 2024
- RAUM · $446M to $486MDec 5, 2023 to Feb 8, 2024
- Accounts · 384 to 387Jul 12, 2022 to Mar 9, 2023
- Advisory employees · 4 to 5Jul 12, 2022 to Mar 9, 2023
- Assets in custody · $7.3M to $14.6MJul 12, 2022 to Mar 9, 2023
- Discretionary RAUM · $475M to $445MJul 12, 2022 to Mar 9, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- H• P••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 860-662-4197reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 860-767-7102reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/htptrsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.h•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 860-662-4197reportedpublic record, Form ADV, Mar 3, 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026