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••• I••••••••• I•••
Latest filing Mar 28, 2026
First filing on the tape Feb 6, 2012 · 33 filings
SEC status approved since Feb 2, 2015
RAUM
$788M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$788M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$788M
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$788M as of Mar 28, 2026
Feb 6, 2012$58.0M then
HNW client RAUM$657M as of Mar 28, 2026
Feb 13, 2018$126M then
State-registered IARs (5.B.3)1 as of Mar 28, 2026
Feb 6, 20120 then
Employees (5.A)5 as of Mar 28, 2026
Mar 20, 20154 then
Private funds: no history
RAUM +24% over the last fiscal year+40% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $788MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 589derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $507,269derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $67.2M, 98 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$657M83%
- Individuals$132M17%
- Individual clients
- 404reported
- HNW clients
- 185reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,554reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $67.2M for 98 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••• J•••• H•••Certified Financial Planner | Coatesville, Pa | Nov 24, 2009 | 28 y | 2 |
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
- T•••••• Y•••• T••••• to C• P••••••• C•••Nov 7, 2022 · RIA to RIA
- K•••••• V••••••••• to M••••••• A••••••• L••Oct 12, 2021 · RIA to a newly registered adviser
- K•••••• E•••••••• D••• to H••••••• F••••Nov 14, 2019 · Other
- T•••••• Y•••• T••••• to I••••••••• I••••••••Jan 17, 2019 · Other
- K••• S•••••• O•••••• to A••••• W•••••Nov 2, 2016 · Other
Joined, latest
- T•••••• Y•••• T••••• from I••••••••• I••••••••Oct 13, 2021 · Other
- T•••••• Y•••• T••••• from B•• M••••• A•••••••• I•••Apr 23, 2018 · Other
- F•••••• J•••• H••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 24, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• F••••••• J•••• · Principal And Chief Compliance Officercontrolsince 12/2007 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,322 to 1,554Oct 23, 2025 to Mar 28, 2026
- Advisory employees · 4 to 1Oct 23, 2025 to Mar 28, 2026
- Charity clients · 16.0 to unsetOct 23, 2025 to Mar 28, 2026
- Corporate clients · 6.0 to unsetOct 23, 2025 to Mar 28, 2026
- HNW clients · 168 to 185Oct 23, 2025 to Mar 28, 2026
- Individual clients · 320 to 404Oct 23, 2025 to Mar 28, 2026
- Assets in custody · $1.1M to $67.2MOct 23, 2025 to Mar 28, 2026
- Employees · 6 to 5Oct 23, 2025 to Mar 28, 2026
- Financial planning clients · 11-25 to 251-500Oct 23, 2025 to Mar 28, 2026
- Discretionary RAUM · $636M to $788MOct 23, 2025 to Mar 28, 2026
- HNW RAUM · $545M to $657MOct 23, 2025 to Mar 28, 2026
- Individual RAUM · $82.0M to $132MOct 23, 2025 to Mar 28, 2026
- RAUM · $636M to $788MOct 23, 2025 to Mar 28, 2026
- Accounts · 1,184 to 1,322Dec 26, 2024 to Mar 21, 2025
- Charity clients · 15 to 16Dec 26, 2024 to Mar 21, 2025
- Corporate clients · 14 to 6Dec 26, 2024 to Mar 21, 2025
- HNW clients · 192 to 168Dec 26, 2024 to Mar 21, 2025
- Individual clients · 586 to 320Dec 26, 2024 to Mar 21, 2025
- Assets in custody · $1.1M to $1.1MDec 26, 2024 to Mar 21, 2025
- Financial planning clients · 11-25 to 11-25Dec 26, 2024 to Mar 21, 2025
- Discretionary RAUM · $427M to $636MDec 26, 2024 to Mar 21, 2025
- HNW RAUM · $325M to $545MDec 26, 2024 to Mar 21, 2025
- Individual RAUM · $95.5M to $82.0MDec 26, 2024 to Mar 21, 2025
- RAUM · $427M to $636MDec 26, 2024 to Mar 21, 2025
- Accounts · 1,201 to 1,184Mar 27, 2023 to Mar 13, 2024
- Charity clients · 11 to 15Mar 27, 2023 to Mar 13, 2024
- Corporate clients · 11 to 14Mar 27, 2023 to Mar 13, 2024
- HNW clients · 150 to 192Mar 27, 2023 to Mar 13, 2024
- Individual clients · 455 to 586Mar 27, 2023 to Mar 13, 2024
- Assets in custody · $25.8M to $1.1MMar 27, 2023 to Mar 13, 2024
- Employees · 4 to 6Mar 27, 2023 to Mar 13, 2024
- Financial planning clients · 1-10 to 11-25Mar 27, 2023 to Mar 13, 2024
- Discretionary RAUM · $289M to $427MMar 27, 2023 to Mar 13, 2024
- HNW RAUM · $199M to $325MMar 27, 2023 to Mar 13, 2024
- Individual RAUM · $83.0M to $95.5MMar 27, 2023 to Mar 13, 2024
- RAUM · $289M to $427MMar 27, 2023 to Mar 13, 2024
- Accounts · 1,100 to 1,201Nov 4, 2022 to Mar 25, 2023
- Advisory employees · 1 to 4Nov 4, 2022 to Mar 25, 2023
- Charity clients · 10 to 11Nov 4, 2022 to Mar 25, 2023
- Corporate clients · unset to 11.0Nov 4, 2022 to Mar 25, 2023
Signals
5 dated events
- H••• I••••••••• I••• reported RAUM $635.5M, up 49% from $427.5M (2024-12-26 to 2025-03-21)Mar 21, 2025 · RAUM change · derived
- H••• I••••••••• I••• reported RAUM $427.5M, up 48% from $288.6M (2023-03-27 to 2024-03-13)Mar 13, 2024 · RAUM change · derived
- T•••••• Y•••• T••••• left H••• I••••••••• I••• for C• P••••••• C••• (registered 2022-12-21)Nov 7, 2022 · Advisor changed firm · fact
- H••• I••••••••• I••• reported RAUM $312.1M, up 50% from $208.0M (2020-11-11 to 2021-03-16)Mar 16, 2021 · RAUM change · derived
- H••• I••••••••• I••• filed its initial SEC registration (Form ADV)Jan 23, 2015 · First SEC registration · 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@hoeyinvestments.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 610-738-4280reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-738-4280reportedpublic record, Form ADV, Mar 28, 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
- $788Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026