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••••• M••••••••• L••
Latest filing Jul 28, 2026
First filing on the tape Mar 29, 2012 · 40 filings
SEC status approved since Nov 28, 2008
RAUM
$506M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$451M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$126M
derived; firm RAUM over IAPD count
Employees
10
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$506M as of Jul 28, 2026
Mar 29, 2012$92.0M then
HNW client RAUM$355M as of Jul 28, 2026
Mar 29, 2018$256M then
State-registered IARs (5.B.3)3 as of Jul 28, 2026
Mar 26, 20131 then
Employees (5.A)10 as of Jul 28, 2026
Mar 26, 20135 then
Private funds: no history
RAUM +9.7% over the last fiscal year+7.8% a year over threeIARs 7 to 3
Practice profile
derived from the filing of Jul 28, 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
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $338,885derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$355M70%
- Individuals$96.2M19%
- Charitable organizations$33.4M6.6%
- Corporations and businesses$21.0M4.2%
- Individual clients
- 255reported
- HNW clients
- 174reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 1,492reported
- Financial planning clients
- 0reported
- 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=0.07 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 |
|---|---|---|---|---|
| L•••• A•••• H•••••Chartered Financial Consultant | The Woodlands, Tx | Jun 1, 2010 | 32 y | 1 |
| K•••• G•••••• B••••Certified Financial Planner, Chartered Financial Analyst | Omaha, Ne | Oct 30, 2025 | 24 y | 13 |
| N••••••• A••• S•••••• | The Woodlands, Tx | Jul 27, 2026 | 16 y | 0 |
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months2 left in 90 days0 joined in 90 daysdeparture rate 75% of current headcount3 left over 36 months
Left, latest
- J•••• N• G•••• to A•••• C•••••• F••••• O•••••• L••Aug 7, 2026 · RIA to RIA
- S•••• C•••••• F•••••• to S•••• L••Aug 7, 2026 · RIA to RIA
- K•••• G•••••• B•••• to A•••• I••••••••• R•••••••• L••Nov 3, 2025 · Other
- S••••••• J••••• G••• to K••••• F•••••••• P•••••••May 9, 2023 · RIA to RIA
- D•••• M•••••• L•• to L•• F•••••••• L••Apr 20, 2023 · RIA to affiliated broker-dealer or bank
- R••••• E• B••••••• to A••••••• F•••••••• A•••••••• L••Mar 17, 2022 · RIA to affiliated broker-dealer or bank
- M•••••• T••••• H••••• to B••••••••• S•••••••• W•••••• L••Dec 21, 2021 · RIA to RIA
- G••••• M•••••••• to J••• M••••• S••••••••• L••Oct 16, 2020 · RIA to wirehouse
- R••••• B••••••• B••••• to B•••••••• F••••••••• I•••Sep 18, 2020 · RIA to RIA
- J•••• E••• S••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Sep 18, 2020 · RIA to affiliated broker-dealer or bank
- C•••••• M•••••• C•••••••• to L••••• C•••• F•••••••• O•••••• L••Mar 18, 2019 · RIA to RIA
- D••••••• L• N••• F•••••• to M••••• G••••• A••••••• I•••Oct 9, 2018 · RIA to RIA
- K•••• G•••••• B•••• to B•••••••• F••••••••• I•••Mar 9, 2018 · Other
- D••••• J•••• C•••••••• to F•••• M••• F••••••••• L••Sep 8, 2017 · Other
- J••••• S•••• N••••••••• to W• I••••••••• L••Apr 20, 2016 · Other
Joined, latest
- S•••• C•••••• F•••••• from A••••••••• F•••••••• S•••••••• L••May 23, 2024 · Affiliated broker-dealer or bank to independent RIA
- K•••• G•••••• B•••• from G• A• R••••• • C••••••Nov 3, 2023 · Affiliated broker-dealer or bank to independent RIA
- M•••••• T••••• H••••• from B••••••••• S•••••••• W•••••• L••May 2, 2023 · RIA to RIA
- D•••• M•••••• L•• from E••••• J••••Nov 9, 2022 · Affiliated broker-dealer or bank to independent RIA
- J•••• N• G•••• from J••• M••••• S••••••••• L••May 6, 2022 · Wirehouse to independent RIA
- R••••• E• B••••••• from C••• B•••••••• S•••••••• I•••Apr 19, 2021 · Affiliated broker-dealer or bank to independent RIA
- J•••• E••• S••••••• from S••• I••••••••• C••••••Oct 29, 2019 · RIA to RIA
- G••••• M•••••••• from R•••• • G•••••• W••••• M•••••••••Feb 11, 2019 · RIA to RIA
- R••••• B••••••• B••••• from S••••••• F••••••••• L••• C••Jun 26, 2018 · Other
- D••••••• L• N••• F•••••• from C•••••••• W••••• M••••••••• L••Jun 26, 2018 · Other
- K•••• G•••••• B•••• from B•• F•••••••• A•••••••Sep 11, 2017 · Other
- D••••• J•••• C•••••••• from B••• O••••• S••••••••• L••Feb 9, 2016 · Other
- J••••• S•••• N••••••••• from K••••• F•••••••• P•••••••Jan 31, 2015 · Other
- L•••• A•••• H••••• from F•• S••••••••• C•••••••••Jun 1, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• K••••••• L••••• · C•••• Compliance Officer / C•••• Operating Officercontrolsince 02/2024 · owns less than 5%
- H•••••• L••••• A•••• · Managing Member, Presidentcontrolsince 09/2008 · owns 75% or more
- P••••••••• H••••• J••• · C•••• Investment Officersince 01/2021 · owns less than 5%
Related persons
Schedule D 7.A
- B•••••••• F••••••••• I•••investment advisernRAUM $639M
Advisers that list H•• W••••• M••••••••• L•• as a related person
- 143543 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| The Woodlands, Tx · principal | 4 | 2 | 3 |
Offices
Schedule D 1.F, the 25 largest
- Huntsville, TX1 employees
- Nederland, TX1 employees
What changed
consecutive filings, newest first
- Advisory employees · 6 to 3Mar 12, 2026 to Jul 28, 2026
- Employees · 6 to 10Mar 12, 2026 to Jul 28, 2026
- State-registered IARs · 6 to 3Mar 12, 2026 to Jul 28, 2026
- Accounts · 1,447 to 1,492Nov 25, 2025 to Mar 12, 2026
- Advisory employees · 7 to 6Nov 25, 2025 to Mar 12, 2026
- Charity clients · 8 to 7Nov 25, 2025 to Mar 12, 2026
- HNW clients · 173 to 174Nov 25, 2025 to Mar 12, 2026
- Individual clients · 248 to 255Nov 25, 2025 to Mar 12, 2026
- Employees · 7 to 6Nov 25, 2025 to Mar 12, 2026
- Insurance-licensed employees · 2 to 1Nov 25, 2025 to Mar 12, 2026
- State-registered IARs · 7 to 6Nov 25, 2025 to Mar 12, 2026
- Discretionary RAUM · $461M to $506MNov 25, 2025 to Mar 12, 2026
- HNW RAUM · $325M to $355MNov 25, 2025 to Mar 12, 2026
- Individual RAUM · $85.3M to $96.2MNov 25, 2025 to Mar 12, 2026
- RAUM · $461M to $506MNov 25, 2025 to Mar 12, 2026
- Financial planning clients · 0 to 0Mar 7, 2025 to Nov 25, 2025
- Accounts · 1,386 to 1,447Sep 10, 2024 to Mar 7, 2025
- Advisory employees · 4 to 7Sep 10, 2024 to Mar 7, 2025
- Charity clients · 9 to 8Sep 10, 2024 to Mar 7, 2025
- Corporate clients · 9 to 6Sep 10, 2024 to Mar 7, 2025
- HNW clients · 678 to 173Sep 10, 2024 to Mar 7, 2025
- Individual clients · 689 to 248Sep 10, 2024 to Mar 7, 2025
- Pension plan clients · 1.0 to unsetSep 10, 2024 to Mar 7, 2025
- Employees · 12 to 7Sep 10, 2024 to Mar 7, 2025
- Financial planning clients · 251-500 to 0Sep 10, 2024 to Mar 7, 2025
- Discretionary RAUM · $406M to $461MSep 10, 2024 to Mar 7, 2025
- HNW RAUM · $319M to $325MSep 10, 2024 to Mar 7, 2025
- Individual RAUM · $81.8M to $85.3MSep 10, 2024 to Mar 7, 2025
- Pension RAUM · 73310.0 to unsetSep 10, 2024 to Mar 7, 2025
- RAUM · $406M to $461MSep 10, 2024 to Mar 7, 2025
- Insurance-licensed employees · 1 to 2Apr 23, 2024 to Sep 10, 2024
- Other offices · 1 to 2Apr 23, 2024 to Sep 10, 2024
- Accounts · 1,379 to 1,386Nov 28, 2023 to Mar 28, 2024
- Charity clients · 6 to 9Nov 28, 2023 to Mar 28, 2024
- Corporate clients · 17 to 9Nov 28, 2023 to Mar 28, 2024
- HNW clients · 777 to 678Nov 28, 2023 to Mar 28, 2024
- Individual clients · 576 to 689Nov 28, 2023 to Mar 28, 2024
- Pension plan clients · 3 to 1Nov 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $404M to $406MNov 28, 2023 to Mar 28, 2024
- HNW RAUM · $335M to $319MNov 28, 2023 to Mar 28, 2024
Signals
8 dated events
- J•••• N• G•••• left H•• W••••• M••••••••• L•• for A•••• C•••••• F••••• O•••••• L•• (registered 2026-05-28)Aug 7, 2026 · Advisor changed firm · fact
- S•••• C•••••• F•••••• left H•• W••••• M••••••••• L•• for S•••• L•• (registered 2026-06-05)Aug 7, 2026 · Advisor changed firm · fact
- K•••• G•••••• B•••• left H•• W••••• M••••••••• L•• for A•••• I••••••••• R•••••••• L•• (registered 2024-08-20)Nov 3, 2025 · Advisor changed firm · fact
- L••••• K•••••• B•••• (Chief Compliance Officer / Chief Operating Officer) appeared on Schedule A of H•• W••••• M••••••••• L••Mar 28, 2024 · Control person joined · fact
- S••••••• J••••• G••• left H•• W••••• M••••••••• L•• for K••••• F•••••••• P••••••• (registered 2023-05-30)May 9, 2023 · Advisor changed firm · fact
- D•••• M•••••• L•• left H•• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2023-05-26)Apr 20, 2023 · Advisor changed firm · fact
- R••••• E• B••••••• left H•• W••••• M••••••••• L•• for A••••••• F•••••••• A•••••••• L•• (registered 2023-03-06)Mar 17, 2022 · Advisor changed firm · fact
- B••••••• R••••• B••••• (Chief Compliance Officer) no longer on Schedule A of H•• W••••• M••••••••• L•• (listed 2020-06-30, absent 2020-09-18)Sep 18, 2020 · Control person left · inference
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@hfgwm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 832-585-0110reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 409-242-2513reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 832-585-0109reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/hfg-wealth-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 832-585-0110reportedpublic record, Form ADV, Jul 28, 2026
- Contact form
- hfgwm.com/contact-wealth-management-guidancereportedpublished 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
- $126Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026