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••••••••• G••••• L••
Latest filing Mar 10, 2026
First filing on the tape Dec 5, 2011 · 50 filings
SEC status approved since Apr 26, 2021
RAUM
$152M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$151M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$50.7M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$152M as of Mar 10, 2026
Mar 30, 2012$44.0M then
HNW client RAUM$105M as of Mar 10, 2026
Mar 1, 2022$93.0M then
State-registered IARs (5.B.3)3 as of Mar 10, 2026
Mar 30, 20120 then
Employees (5.A)5 as of Mar 10, 2026
Mar 1, 20228 then
Private funds: no history
RAUM +23% over the last fiscal year+4.3% a year over threeIARs 5 to 3
Practice profile
derived from the filing of Mar 10, 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
- $50.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $330,907derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, 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
- 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$105M69%
- Individuals$46.3M30%
- Corporations and businesses$545,7510.4%
- Charitable organizations$346,9380.2%
- Individual clients
- 137reported
- HNW clients
- 40reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 460reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| M••• H••••• T••••• | Norfolk, Va | Feb 24, 2009 | 44 y | 2 |
| M•••••• B••••••• B•••••••••Certified Financial Planner | Norfolk, Va | Jul 11, 2020 | 39 y | 2 |
| Z•••••• N••••••• T•••••Certified Financial Planner | Norfolk, Va | May 31, 2024 | 11 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount4 left over 36 months
Left, latest
- K•••• P•••••• H••••• to O••••• C•••• C••••••Nov 7, 2025 · RIA to a state-registered adviser
- S••••• L••• W•••••• to R•• C•••••• M••••••• L••Jun 19, 2025 · RIA to affiliated broker-dealer or bank
- P•••••• M•••••• R•••• to B•••• A•••• C•••••• L••Nov 26, 2023 · RIA to a state-registered adviser
- J••• R•••• G••••• to B•••• A•••• C•••••• L••Nov 26, 2023 · RIA to a state-registered adviser
- C••••••••• I•• D••••• to P•••••• A•••••• G••••• L••Oct 3, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- Z•••••• N••••••• T••••• from C••••••••• F•••••••• N••••••May 31, 2024 · Affiliated broker-dealer or bank to independent RIA
- K•••• P•••••• H••••• from F•••• T•••• A••••••• L•Aug 10, 2023 · Other
- P•••••• M•••••• R•••• from F••••••• P••••••• A•• W•••••••• A•••••••Jul 1, 2022 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• I•• D••••• from W•••• F•••• A•••••••Oct 1, 2020 · Other
- M•••••• B••••••• B••••••••• from F•••••••• C••••••••• O• V•••••••• I•••Jul 11, 2020 · Other
- J••• R•••• G••••• from C•••••• O•• A•••••••• L••Aug 6, 2019 · Other
- M••• H••••• T••••• from H•••••• F•••••••• N•••••••Feb 24, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B•••• A•••• C•••••• L••Nov 26, 2023 · Norfolk, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• P••••• H••••••• · Shareholdercontrolsince 01/2024 · owns 25% to 50%
- H•••••• K••••• P•••••• · President/Chief Compliance Officercontrolsince 01/2024 · owns 25% to 50%
- T•••••• M•••• H••••• · Chief Investment Strategist, Financial A••••••controlsince 11/2018 · owns 25% to 50%
- B••••••••• M••••••• B••••••• · Financial A••••••since 02/2021 · owns 5% to 10%
- C•••••• S••••••• J•••••• · Vice President Finance & Director Of Developmentsince 04/2019 · owns 10% to 25%
- T•••••• M•••••• G•••••• · Customer Care Directorsince 02/2021 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Norfolk, Va · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- a•••••• count dropChange between filings · filing Mar 10, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 3.0 (-40.0%) between the annual amendments of 2025-03-19 and 2026-03-10; the peer median change was 0.0% (965 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 2.6% percentile
What changed
consecutive filings, newest first
- Accounts · 443 to 460Feb 24, 2026 to Mar 10, 2026
- HNW clients · 30 to 40Feb 24, 2026 to Mar 10, 2026
- Individual clients · 141 to 137Feb 24, 2026 to Mar 10, 2026
- Discretionary RAUM · $121M to $152MFeb 24, 2026 to Mar 10, 2026
- HNW RAUM · $78.0M to $105MFeb 24, 2026 to Mar 10, 2026
- Individual RAUM · $45.3M to $46.3MFeb 24, 2026 to Mar 10, 2026
- Non-discretionary RAUM · $3.1M to $0Feb 24, 2026 to Mar 10, 2026
- RAUM · $124M to $152MFeb 24, 2026 to Mar 10, 2026
- Employees · 6 to 5Jan 27, 2026 to Feb 24, 2026
- Advisory employees · 5 to 3Nov 5, 2025 to Dec 1, 2025
- State-registered IARs · 5 to 3Nov 5, 2025 to Dec 1, 2025
- Advisory employees · 6 to 5May 27, 2025 to Jun 18, 2025
- Employees · 7 to 6May 27, 2025 to Jun 18, 2025
- Financial planning clients · 101-250 to 101-250May 27, 2025 to Jun 18, 2025
- State-registered IARs · 6 to 5May 27, 2025 to Jun 18, 2025
- Advisory employees · 5 to 6Mar 19, 2025 to May 27, 2025
- Employees · 6 to 7Mar 19, 2025 to May 27, 2025
- State-registered IARs · 5 to 6Mar 19, 2025 to May 27, 2025
- Advisory employees · 4 to 5Jan 22, 2025 to Mar 19, 2025
- Employees · 5 to 6Jan 22, 2025 to Mar 19, 2025
- State-registered IARs · 4 to 5Jan 22, 2025 to Mar 19, 2025
- Accounts · 537 to 443Jul 4, 2024 to Jan 22, 2025
- HNW clients · 31 to 30Jul 4, 2024 to Jan 22, 2025
- Individual clients · 167 to 141Jul 4, 2024 to Jan 22, 2025
- Financial planning clients · 11-25 to 101-250Jul 4, 2024 to Jan 22, 2025
- Discretionary RAUM · $138M to $121MJul 4, 2024 to Jan 22, 2025
- HNW RAUM · $63.1M to $78.0MJul 4, 2024 to Jan 22, 2025
- Individual RAUM · $92.8M to $45.3MJul 4, 2024 to Jan 22, 2025
- Non-discretionary RAUM · $19.2M to $3.1MJul 4, 2024 to Jan 22, 2025
- RAUM · $157M to $124MJul 4, 2024 to Jan 22, 2025
- Advisory employees · 5 to 4May 31, 2024 to Jul 2, 2024
- Employees · 6 to 5May 31, 2024 to Jul 2, 2024
- State-registered IARs · 5 to 4May 31, 2024 to Jul 2, 2024
- Advisory employees · 4 to 5May 21, 2024 to May 31, 2024
- Employees · 5 to 6May 21, 2024 to May 31, 2024
- State-registered IARs · 4 to 5May 21, 2024 to May 31, 2024
- Accounts · 547 to 537Jan 29, 2024 to Mar 16, 2024
- HNW clients · 33 to 31Jan 29, 2024 to Mar 16, 2024
- Individual clients · 191 to 167Jan 29, 2024 to Mar 16, 2024
- Discretionary RAUM · $120M to $138MJan 29, 2024 to Mar 16, 2024
Signals
12 dated events
- K•••• P•••••• H••••• left H••••••• W••••• M••••••••• G••••• L•• for O••••• C•••• C•••••• (registered 2026-03-20)Nov 7, 2025 · a•••••• firm change · fact
- S••••• L••• W•••••• left H••••••• W••••• M••••••••• G••••• L•• for R•• C•••••• M••••••• L•• (registered 2025-07-08)Jun 19, 2025 · a•••••• firm change · fact
- Patrick Kevin Hussey (President/Chief Compliance Officer) appeared on Schedule A of H••••••• W••••• M••••••••• G••••• L••Jan 9, 2024 · Control person joined · fact
- 2 advisors left H••••••• W••••• M••••••••• G••••• L•• (Norfolk, VA) for B•••• A•••• C•••••• L•• on the same dayNov 26, 2023 · Team lift-out · derived
- J••• R•••• G••••• left H••••••• W••••• M••••••••• G••••• L•• for B•••• A•••• C•••••• L•• (registered 2024-02-07)Nov 26, 2023 · a•••••• firm change · fact
- P•••••• M•••••• R•••• left H••••••• W••••• M••••••••• G••••• L•• for B•••• A•••• C•••••• L•• (registered 2024-03-08)Nov 26, 2023 · a•••••• firm change · fact
- C••••••••• I•• D••••• left H••••••• W••••• M••••••••• G••••• L•• for P•••••• A•••••• G••••• L•• (registered 2022-11-04)Oct 3, 2022 · a•••••• firm change · fact
- Cody Charles Christie (President/Chief Compliance Officer) no longer on Schedule A of H••••••• W••••• M••••••••• G••••• L•• (listed 2012-06-27, absent 2021-03-25)Mar 25, 2021 · Control person left · inference
- Samuel Gary Shaffer (Vice President) no longer on Schedule A of H••••••• W••••• M••••••••• G••••• L•• (listed 2012-06-27, absent 2021-03-25)Mar 25, 2021 · Control person left · inference
- Humphrey Peter Bryan (President & Chief Compliance Officer) appeared on Schedule A of H••••••• W••••• M••••••••• G••••• L••Mar 25, 2021 · Control person joined · fact
- Howard Mark T••••• (Chief Investment Strategist, Financial Advisor) appeared on Schedule A of H••••••• W••••• M••••••••• G••••• L••Mar 25, 2021 · Control person joined · fact
- H••••••• W••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)Mar 25, 2021 · ria f•••• adv filing · 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@hwmgroup.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 757-321-3725reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/heritage-wealth-management-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- HWMGROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 757-321-3725reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- HWMGROUP.COM/contactreportedpublished by the firm, firm site, Sep 17, 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
- $50.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026