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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
H• F•••••••• M•••••••••
Legal name H••• F•••••••• S•••••••• L••
Latest filing Sep 11, 2026
First filing on the tape Feb 21, 2012 · 65 filings
SEC status approved since Feb 20, 2009
RAUM
$622M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
89%
$556M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
65 filings and snapshots on the tape
RAUM$622M as of Mar 24, 2026
Feb 21, 2012$132M then
HNW client RAUM$434M as of Mar 24, 2026
Mar 21, 2018$210M then
State-registered IARs (5.B.3)6 as of Mar 24, 2026
Feb 21, 20120 then
Employees (5.A)6 as of Mar 24, 2026
Jan 15, 20134 then
Private funds: no history
RAUM +17% over the last fiscal year+17% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Sep 11, 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
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $370,610derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$434M70%
- Individuals$122M20%
- Pension and profit-sharing plans$62.7M10%
- Charitable organizations$3.1M0.5%
- Individual clients
- 378reported
- HNW clients
- 166reported
- Pension plan clients
- 11reported
- Charitable clients
- 2reported
- Accounts
- 1,678reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd= related_bank= bd_reps=4.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• S•••••• H•••Certified Financial Planner, Chartered Financial Consultant | Canonsburg, Pa | Feb 24, 2009 | 41 y | 2 |
| J•••••• A••••• K•••• | Canonsburg, Pa | May 22, 2012 | 19 y | 1 |
| J•••••• B• L•• | Canonsburg, Pa | Jul 17, 2020 | 29 y | 1 |
| K••• D•••• A••••Certified Financial Planner | Canonsburg, Pa | Jul 31, 2020 | 18 y | 0 |
| A••••• O••••• B•••• | Canonsburg, Pa | Apr 19, 2021 | 21 y | 0 |
| D•••• M•••• P•••••• | Canonsburg, Pa | Jan 28, 2025 | 26 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
- D•••• W••••• H••••••• to O•••• A••••••• S•••••••• L••Sep 10, 2020 · RIA to affiliated broker-dealer or bank
- R••• S•••• H••••• to S•••••• F•••••••• G••••• L•••••Feb 15, 2019 · RIA to RIA
- J••••• R••• S•••• to N•••••• I••••••••• I•••Mar 11, 2009 · Other
- M•••••• J••• S•••• to M•• A••••••• F•••••••• M••••••••• I•••Mar 11, 2009 · Other
Joined, latest
- J•••••• B• L•• from H••••••• I•••••••••Jul 17, 2020 · Other
- D•••• W••••• H••••••• from D••• R••• • C••••••• L••Apr 23, 2019 · RIA to RIA
- R••• S•••• H••••• from C••••• W••••• M•••••••••Aug 17, 2018 · RIA to RIA
- J•••••• A••••• K•••• from G•••••• S•••• W••••• S•••••••• L•••May 22, 2012 · Other
- J••••• R••• S•••• from C••••• A••••••• L••Feb 27, 2009 · Other
- M•••••• J••• S•••• from C••••• A••••••• L••Feb 24, 2009 · Other
- G•••••• S•••••• H••• from C••••• A••••••• L••Feb 24, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• G••••••• S•••••• · Membercontrolsince 09/2021 · owns less than 5%
- H•••• G••••••• S•••••• · Membercontrolsince 09/2021 · owns 75% or more of H••• L•••••• L••
- A••••• K•••• D•••• · Chief Compliance Officersince 03/2021 · owns less than 5%
Entity owners
- H••• F•••••••• H•••••••• L•• · Memberdirect · owns 75% or more
- H••• L•••••• L•• · Managing Memberindirect · owns 75% or more of H••• F•••••••• H•••••••• L••
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 |
|---|---|---|---|---|---|
| Canonsburg, Pa · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Mar 24, 2026 to Sep 11, 2026
- Related adviser · false to unsetMar 24, 2026 to Sep 11, 2026
- Related bank · false to unsetMar 24, 2026 to Sep 11, 2026
- Related broker-dealer · false to unsetMar 24, 2026 to Sep 11, 2026
- Related insurance company · false to unsetMar 24, 2026 to Sep 11, 2026
- Succession · false to unsetMar 24, 2026 to Sep 11, 2026
- Accounts · 1,589 to 1,678Sep 11, 2025 to Mar 24, 2026
- HNW clients · 208 to 166Sep 11, 2025 to Mar 24, 2026
- Individual clients · 325 to 378Sep 11, 2025 to Mar 24, 2026
- Pension plan clients · 8 to 11Sep 11, 2025 to Mar 24, 2026
- Discretionary RAUM · $488M to $570MSep 11, 2025 to Mar 24, 2026
- HNW RAUM · $383M to $434MSep 11, 2025 to Mar 24, 2026
- Individual RAUM · $90.8M to $122MSep 11, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $45.7M to $52.2MSep 11, 2025 to Mar 24, 2026
- Pension RAUM · $59.1M to $62.7MSep 11, 2025 to Mar 24, 2026
- RAUM · $534M to $622MSep 11, 2025 to Mar 24, 2026
- Financial planning clients · 51-100 to 51-100Jun 27, 2025 to Jul 15, 2025
- Advisory employees · 5 to 6Jan 9, 2025 to Feb 20, 2025
- Employees · 5 to 6Jan 9, 2025 to Feb 20, 2025
- State-registered IARs · 5 to 6Jan 9, 2025 to Feb 20, 2025
- Accounts · 1,504 to 1,589Nov 19, 2024 to Jan 9, 2025
- HNW clients · 226 to 208Nov 19, 2024 to Jan 9, 2025
- Individual clients · 332 to 325Nov 19, 2024 to Jan 9, 2025
- Pension plan clients · 6 to 8Nov 19, 2024 to Jan 9, 2025
- Discretionary RAUM · $393M to $488MNov 19, 2024 to Jan 9, 2025
- HNW RAUM · $351M to $383MNov 19, 2024 to Jan 9, 2025
- Individual RAUM · $65.6M to $90.8MNov 19, 2024 to Jan 9, 2025
- Non-discretionary RAUM · $66.9M to $45.7MNov 19, 2024 to Jan 9, 2025
- Pension RAUM · $43.1M to $59.1MNov 19, 2024 to Jan 9, 2025
- RAUM · $460M to $534MNov 19, 2024 to Jan 9, 2025
- Accounts · 1,445 to 1,504Nov 2, 2023 to Mar 19, 2024
- HNW clients · 204 to 226Nov 2, 2023 to Mar 19, 2024
- Individual clients · 335 to 332Nov 2, 2023 to Mar 19, 2024
- Pension plan clients · 7 to 6Nov 2, 2023 to Mar 19, 2024
- Discretionary RAUM · $330M to $393MNov 2, 2023 to Mar 19, 2024
- HNW RAUM · $287M to $351MNov 2, 2023 to Mar 19, 2024
- Individual RAUM · $66.9M to $65.6MNov 2, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $58.3M to $66.9MNov 2, 2023 to Mar 19, 2024
- Pension RAUM · $33.4M to $43.1MNov 2, 2023 to Mar 19, 2024
- RAUM · $388M to $460MNov 2, 2023 to Mar 19, 2024
Signals
1 dated events
- H• F•••••••• M••••••••• reported RAUM $444.7M, up 57% from $283.4M (2019-09-05 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
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
- 724-745-9406reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 724-745-9408reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-344-5434reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 724-745-9406reportedpublic record, Form ADV, Sep 11, 2026
- Team page
- hfinancialmanagement.com/Our-Advisors-and-Associates.4.htmreportedpublished 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
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026