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•••••• C•••••• A•••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Feb 20, 2013 · 31 filings
SEC status approved since Mar 1, 2013
RAUM
$701M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$701M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$175M
derived; firm RAUM over IAPD count
Employees
11
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$701M as of Feb 27, 2026
Mar 13, 2014$328M then
HNW client RAUM$701M as of Feb 27, 2026
Mar 24, 2018$392M then
State-registered IARs (5.B.3)4 as of Feb 27, 2026
Mar 13, 20144 then
Employees (5.A)11 as of Feb 27, 2026
Mar 13, 20145 then
Private funds2 as of Feb 27, 2026
Mar 13, 20141 then
RAUM +5.3% over the last fiscal year+11% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $175MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.7MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $64.6M, 28 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$701M100%
- Individual clients
- n/areported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 413reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $64.6M for 28 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• S•••••• K••Chartered Financial Analyst | Tysons Corner, Va | Aug 1, 2011 | 33 y | 0 |
| E•••••••• S••• D••• | Tysons Corner, Va | Aug 1, 2011 | 28 y | 2 |
| N••••••• M••••••• B•••• | Tysons Corner, Va | Jan 14, 2022 | 20 y | 0 |
| M•••••• R••• E••••••Chartered Financial Analyst | Tysons Corner, Va | Sep 9, 2024 | 11 y | 0 |
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 headcount1 left over 36 months
Left, latest
- A•••••• F••••••••• D••••• to F••••••Sep 5, 2025 · RIA to RIA
- S•••• B• W••••• to H••••••• I•••••••• M••••••••• C•••Aug 29, 2023 · RIA to RIA
- S•••••• D••• M•••••• to C••••••• • C• I••Apr 12, 2016 · Other
Joined, latest
- A•••••• F••••••••• D••••• from P••••••••• P••••••• • C••• L••Jan 25, 2022 · RIA to RIA
- E•••••••• S••• D••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 1, 2011 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••••• L• | Private Equity Fund | $9.5M | 16 | Mar 24, 2018 |
| H••••••• L• | Private Equity Fund | $2.7M | 13 | Jan 16, 2014 |
Owners and control persons
Schedule A and B, latest filing
- D•••• E••••••••• S••• · Membercontrolsince 07/2011 · owns 10% to 25%
- K••• T•••••• S•••••• · Managing Membercontrolsince 08/2017 · owns 10% to 25%
- W•••• M•••••• L•••••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- C•••• N•••• M• · Presidentcontrolsince 11/2014 · owns F of H•••••• L••••• Holding Company, Inc.
Entity owners
- H•••••• L••••• H•••••• C•• I••• · Memberdirect · owns 50% to 75%
- N••• M• C••• M•••••• T•••• · Principalindirect · owns F of H•••••• L••••• H•••••• C•• I•••
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 |
|---|---|---|---|---|---|
| Tysons Corner, Va · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Naples, FL
What changed
consecutive filings, newest first
- Accounts · 430 to 413Dec 17, 2025 to Feb 27, 2026
- Advisory employees · 5 to 4Dec 17, 2025 to Feb 27, 2026
- HNW clients · 60 to 55Dec 17, 2025 to Feb 27, 2026
- Assets in custody · $69.2M to $64.6MDec 17, 2025 to Feb 27, 2026
- Employees · 12 to 11Dec 17, 2025 to Feb 27, 2026
- State-registered IARs · 5 to 4Dec 17, 2025 to Feb 27, 2026
- Discretionary RAUM · $628M to $668MDec 17, 2025 to Feb 27, 2026
- HNW RAUM · $666M to $701MDec 17, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $38.1M to $32.7MDec 17, 2025 to Feb 27, 2026
- RAUM · $666M to $701MDec 17, 2025 to Feb 27, 2026
- Accounts · 433 to 430Mar 27, 2024 to Mar 18, 2025
- Advisory employees · 4 to 5Mar 27, 2024 to Mar 18, 2025
- Assets in custody · $45.8M to $69.2MMar 27, 2024 to Mar 18, 2025
- Employees · 10 to 12Mar 27, 2024 to Mar 18, 2025
- Financial planning clients · 11-25 to 1-10Mar 27, 2024 to Mar 18, 2025
- State-registered IARs · 4 to 5Mar 27, 2024 to Mar 18, 2025
- Other offices · 1 to 0Mar 27, 2024 to Mar 18, 2025
- Discretionary RAUM · $580M to $628MMar 27, 2024 to Mar 18, 2025
- HNW RAUM · $580M to $666MMar 27, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $0 to $38.1MMar 27, 2024 to Mar 18, 2025
- RAUM · $580M to $666MMar 27, 2024 to Mar 18, 2025
- Accounts · 295 to 433Dec 8, 2023 to Mar 26, 2024
- Advisory employees · 5 to 4Dec 8, 2023 to Mar 26, 2024
- HNW clients · 58 to 60Dec 8, 2023 to Mar 26, 2024
- Assets in custody · $12.5M to $45.8MDec 8, 2023 to Mar 26, 2024
- Employees · 11 to 10Dec 8, 2023 to Mar 26, 2024
- State-registered IARs · 5 to 4Dec 8, 2023 to Mar 26, 2024
- Discretionary RAUM · $507M to $580MDec 8, 2023 to Mar 26, 2024
- HNW RAUM · $507M to $580MDec 8, 2023 to Mar 26, 2024
- RAUM · $507M to $580MDec 8, 2023 to Mar 26, 2024
- Accounts · 280 to 295Jan 18, 2023 to Mar 21, 2023
- HNW clients · 55 to 58Jan 18, 2023 to Mar 21, 2023
- Assets in custody · $49.7M to $12.5MJan 18, 2023 to Mar 21, 2023
- State-registered IARs · 6 to 5Jan 18, 2023 to Mar 21, 2023
- Discretionary RAUM · $578M to $507MJan 18, 2023 to Mar 21, 2023
- HNW RAUM · $578M to $507MJan 18, 2023 to Mar 21, 2023
- RAUM · $578M to $507MJan 18, 2023 to Mar 21, 2023
- Accounts · 251 to 280Mar 25, 2021 to Mar 23, 2022
- Advisory employees · 4 to 5Mar 25, 2021 to Mar 23, 2022
- HNW clients · 50 to 55Mar 25, 2021 to Mar 23, 2022
Signals
5 dated events
- A•••••• F••••••••• D••••• left H•••••• C•••••• A•••••••• L•• for Farther (registered 2025-10-23)Sep 5, 2025 · Advisor changed firm · fact
- S•••• B• W••••• left H•••••• C•••••• A•••••••• L•• for H••••••• I•••••••• M••••••••• C••• (registered 2024-09-04)Aug 29, 2023 · Advisor changed firm · fact
- Lorenzo Marcus Ware (Chief Compliance Officer) appeared on Schedule A of H•••••• C•••••• A•••••••• L••Jan 18, 2023 · Control person joined · fact
- Gerard Kevin Hennessy (Chief Compliance Officer) no longer on Schedule A of H•••••• C•••••• A•••••••• L•• (listed 2022-10-31, absent 2023-01-18)Jan 18, 2023 · Control person left · inference
- H•••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 20, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H•••••• C•••••• A•••••••• L•• · Family Officesshared crd · office
- H•••••• C•••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- H•••••• C•••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- o•••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 703-992-6164reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 703-992-6315reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/H••••••-CAPITAL-ADVISORSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 703-992-6164reportedpublic record, Form ADV, Feb 27, 2026
- Team page
- h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $175Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026