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.

Former SEC-registered adviser

Hearthstone | Private Wealth Management

Former SEC-registered adviserSan Diego, CaliforniaCRD 154890SEC 801-100424IAPD
Legal name Hynes Advisory Inc.
Latest filing Mar 31, 2021
First filing on the tape Jun 19, 2015 · 14 filings
RAUM
$299M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$299M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$299M as of Mar 31, 2021
Mar 30, 2016$114M then
HNW client RAUM$272M as of Mar 31, 2021
Mar 30, 2018$148M then
State-registered IARs (5.B.3)1 as of Mar 31, 2021
Mar 30, 20163 then
Employees (5.A)9 as of Mar 31, 2021
Mar 30, 20165 then
Private funds: no history
RAUM +12% over the last fiscal year+19% a year over threeIARs 6 to 1
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
RAUM per advisor
$299MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
146derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.1MderivedHNW RAUM over HNW clients
Average account
$514,966derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
9.0derivedItem 5.A over advisors
Advisors per office
0.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
-83%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$138M, 119 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)
  • compensates persons for client referrals (8.G.1)
  • 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$272M91%
  • Individuals$27.1M9.0%
Individual clients
79reported
HNW clients
67reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
581reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$138M for 119 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Joseph Paul Hynes · Presidentcontrol
      since 05/2010 · owns 75% or more
    • Carol Wendy Wildey · Chief Compliance Officer, Investment Adviser Representative & Director Of Fiduciary Servicescontrol
      since 03/2014 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Irvine, CA4 employees
    • Temecula, CA4 employees
    What changed
    consecutive filings, newest first
    • Accounts · 536 to 581
      May 1, 2020 to Mar 31, 2021
    • Advisory employees · 6 to 7
      May 1, 2020 to Mar 31, 2021
    • HNW clients · 55 to 67
      May 1, 2020 to Mar 31, 2021
    • Individual clients · 100 to 79
      May 1, 2020 to Mar 31, 2021
    • Assets in custody · $81.3M to $138M
      May 1, 2020 to Mar 31, 2021
    • Employees · 7 to 9
      May 1, 2020 to Mar 31, 2021
    • Financial planning clients · 11-25 to 1-10
      May 1, 2020 to Mar 31, 2021
    • State-registered IARs · 6 to 1
      May 1, 2020 to Mar 31, 2021
    • Discretionary RAUM · $268M to $299M
      May 1, 2020 to Mar 31, 2021
    • HNW RAUM · $237M to $272M
      May 1, 2020 to Mar 31, 2021
    • Individual RAUM · $31.7M to $27.1M
      May 1, 2020 to Mar 31, 2021
    • Non-discretionary RAUM · $402,255 to $33,064
      May 1, 2020 to Mar 31, 2021
    • RAUM · $268M to $299M
      May 1, 2020 to Mar 31, 2021
    • Accounts · 553 to 536
      Apr 25, 2019 to Mar 31, 2020
    • Advisory employees · 5 to 6
      Apr 25, 2019 to Mar 31, 2020
    • HNW clients · 44 to 55
      Apr 25, 2019 to Mar 31, 2020
    • Individual clients · 101 to 100
      Apr 25, 2019 to Mar 31, 2020
    • Assets in custody · $58.4M to $81.3M
      Apr 25, 2019 to Mar 31, 2020
    • Financial planning clients · 1-10 to 11-25
      Apr 25, 2019 to Mar 31, 2020
    • State-registered IARs · 5 to 6
      Apr 25, 2019 to Mar 31, 2020
    • Other offices · 3 to 2
      Apr 25, 2019 to Mar 31, 2020
    • Discretionary RAUM · $215M to $268M
      Apr 25, 2019 to Mar 31, 2020
    • HNW RAUM · $159M to $237M
      Apr 25, 2019 to Mar 31, 2020
    • Individual RAUM · $56.6M to $31.7M
      Apr 25, 2019 to Mar 31, 2020
    • Non-discretionary RAUM · $469,400 to $402,255
      Apr 25, 2019 to Mar 31, 2020
    • RAUM · $216M to $268M
      Apr 25, 2019 to Mar 31, 2020
    • Accounts · 465 to 553
      Jul 30, 2018 to Mar 29, 2019
    • Individual clients · 83 to 101
      Jul 30, 2018 to Mar 29, 2019
    • Assets in custody · unset to 58410135.0
      Jul 30, 2018 to Mar 29, 2019
    • Custody of client assets · false to true
      Jul 30, 2018 to Mar 29, 2019
    • Employees · 6 to 7
      Jul 30, 2018 to Mar 29, 2019
    • Other offices · 2 to 3
      Jul 30, 2018 to Mar 29, 2019
    • Discretionary RAUM · $176M to $215M
      Jul 30, 2018 to Mar 29, 2019
    • HNW RAUM · $148M to $159M
      Jul 30, 2018 to Mar 29, 2019
    • Individual RAUM · $27.9M to $56.6M
      Jul 30, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $277,242 to $469,400
      Jul 30, 2018 to Mar 29, 2019
    • RAUM · $176M to $216M
      Jul 30, 2018 to Mar 29, 2019
    • Other offices · 0 to 2
      Mar 30, 2018 to Jul 30, 2018
    • Accounts · 370 to 465
      Mar 31, 2017 to Mar 30, 2018
    • Advisory employees · 3 to 5
      Mar 31, 2017 to Mar 30, 2018
    Signals
    1 dated events
    • Hynes Advisory Inc. Dba Hearthstone | Private Wealth Management filed its initial SEC registration (Form ADV)
      Jun 19, 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.
    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