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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Former SEC-registered adviser

S••••• • A•••••••••

Former SEC-registered adviserNorth Canton, OhioCRD 150673SEC 801-70327IAPD
Legal name H••••• G• S•••••• I••
Latest filing Apr 30, 2021
First filing on the tape Nov 23, 2011 · 28 filings
RAUM
$260M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$260M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$260M as of Apr 30, 2021
Nov 23, 2011$126M then
HNW client RAUM$208M as of Apr 30, 2021
Dec 12, 2017$198M then
State-registered IARs (5.B.3)2 as of Apr 30, 2021
Nov 23, 20110 then
Employees (5.A)9 as of Apr 30, 2021
Nov 7, 20125 then
Private funds: no history
RAUM -12% over the last fiscal year+1.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 30, 2021; every figure names its basis
RAUM per advisor
$130MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
104derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$357,443derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-9.2%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)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$208M80%
  • Individuals$51.8M20%
Individual clients
137reported
HNW clients
71reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
726reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S•••••• H•••••• G••• · Chief Executive Officercontrol
    since 06/2009 · owns 75% or more
  • K••••••• K••••• J• · Chief Financial Officer
    since 02/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
  • B••• F•••••••• S•••••••
    insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 747 to 726
    Jun 25, 2020 to Apr 30, 2021
  • HNW clients · 81 to 71
    Jun 25, 2020 to Apr 30, 2021
  • Individual clients · 148 to 137
    Jun 25, 2020 to Apr 30, 2021
  • Employees · 7 to 9
    Jun 25, 2020 to Apr 30, 2021
  • Discretionary RAUM · $292M to $258M
    Jun 25, 2020 to Apr 30, 2021
  • HNW RAUM · $244M to $208M
    Jun 25, 2020 to Apr 30, 2021
  • Individual RAUM · $50.9M to $51.8M
    Jun 25, 2020 to Apr 30, 2021
  • Non-discretionary RAUM · $2.6M to $1.6M
    Jun 25, 2020 to Apr 30, 2021
  • RAUM · $295M to $260M
    Jun 25, 2020 to Apr 30, 2021
  • Accounts · 723 to 747
    Apr 10, 2019 to Apr 30, 2020
  • Advisory employees · 3 to 2
    Apr 10, 2019 to Apr 30, 2020
  • HNW clients · 69 to 81
    Apr 10, 2019 to Apr 30, 2020
  • Individual clients · 125 to 148
    Apr 10, 2019 to Apr 30, 2020
  • Employees · 9 to 7
    Apr 10, 2019 to Apr 30, 2020
  • State-registered IARs · 3 to 2
    Apr 10, 2019 to Apr 30, 2020
  • Discretionary RAUM · $244M to $292M
    Apr 10, 2019 to Apr 30, 2020
  • HNW RAUM · $192M to $244M
    Apr 10, 2019 to Apr 30, 2020
  • Individual RAUM · $54.2M to $50.9M
    Apr 10, 2019 to Apr 30, 2020
  • Non-discretionary RAUM · $2.2M to $2.6M
    Apr 10, 2019 to Apr 30, 2020
  • RAUM · $247M to $295M
    Apr 10, 2019 to Apr 30, 2020
  • Accounts · 657 to 723
    Feb 22, 2018 to Mar 22, 2019
  • HNW clients · 71 to 69
    Feb 22, 2018 to Mar 22, 2019
  • Individual clients · 110 to 125
    Feb 22, 2018 to Mar 22, 2019
  • Employees · 10 to 9
    Feb 22, 2018 to Mar 22, 2019
  • Discretionary RAUM · $257M to $244M
    Feb 22, 2018 to Mar 22, 2019
  • HNW RAUM · $209M to $192M
    Feb 22, 2018 to Mar 22, 2019
  • Individual RAUM · $49.9M to $54.2M
    Feb 22, 2018 to Mar 22, 2019
  • Non-discretionary RAUM · $2.0M to $2.2M
    Feb 22, 2018 to Mar 22, 2019
  • RAUM · $259M to $247M
    Feb 22, 2018 to Mar 22, 2019
  • Related insurance company · false to true
    Feb 22, 2018 to Mar 22, 2019
  • HNW clients · 67 to 71
    Jan 11, 2018 to Feb 22, 2018
  • Individual clients · 177 to 110
    Jan 11, 2018 to Feb 22, 2018
  • Discretionary RAUM · $243M to $257M
    Jan 11, 2018 to Feb 22, 2018
  • HNW RAUM · $198M to $209M
    Jan 11, 2018 to Feb 22, 2018
  • Individual RAUM · $46.2M to $49.9M
    Jan 11, 2018 to Feb 22, 2018
  • Non-discretionary RAUM · $1.9M to $2.0M
    Jan 11, 2018 to Feb 22, 2018
  • RAUM · $244M to $259M
    Jan 11, 2018 to Feb 22, 2018
  • Accounts · 773 to 657
    May 16, 2017 to Dec 12, 2017
  • Charity clients · unset to 0.0
    May 16, 2017 to Dec 12, 2017
  • Corporate clients · unset to 0.0
    May 16, 2017 to Dec 12, 2017
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026