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••••••• A••••••• G••••• L••
Latest filing Apr 6, 2026
First filing on the tape Apr 29, 2024 · 6 filings
SEC status approved since Jun 4, 2024
RAUM
$193M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$193M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$193M
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
6 filings and snapshots on the tape
RAUM$193M as of Apr 6, 2026
Jan 30, 2025$154M then
HNW client RAUM$127M as of Apr 6, 2026
Jan 30, 2025$26.7M then
State-registered IARs (5.B.3)1 as of Apr 6, 2026
Jan 30, 20251 then
Employees (5.A)5 as of Apr 6, 2026
Jan 30, 20255 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 6, 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
- $193MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 296derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $210,556derivedRAUM 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
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -27%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$127M66%
- Individuals$66.0M34%
- Individual clients
- 231reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 917reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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 |
|---|---|---|---|---|
| B•••• D••••• H••••••• | Centennial, Co | May 19, 2022 | 33 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 headcount1 left over 36 months
Left, latest
- G••••• P••• B••••••• to E••••• J••••Nov 17, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- B•••• D••••• H••••••• from N••••••••• S••••••••• L••May 19, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• B••••• D••••• · President/Chief Compliance Officercontrolsince 04/2011 · owns 75% or more
Related persons
Schedule D 7.A
- B•••• H•••••••real estatey
- H••••••• • C••••••insurancey
- P••••• F•••••••• L•••pooled vehicle sponsorn
- P••••• R••• E•••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Centennial, Co · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 6, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $154,153,354 to $193,080,000, advisors 1 to 1, private clients 406 to 296, offices 0 to 0 (2025-01-30 to 2026-04-06)peers: independent wealth managers, $100M to $500M (5,678)
- HNW share shiftChange between filings · filing Apr 6, 2026HNW share of RAUM moved from 17.0% to 66.0% between the annual amendments of 2025-01-30 and 2026-04-06peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 839 to 917Jan 30, 2025 to Jan 27, 2026
- HNW clients · 16 to 65Jan 30, 2025 to Jan 27, 2026
- Individual clients · 390 to 231Jan 30, 2025 to Jan 27, 2026
- Discretionary RAUM · $154M to $193MJan 30, 2025 to Jan 27, 2026
- HNW RAUM · $26.7M to $127MJan 30, 2025 to Jan 27, 2026
- Individual RAUM · $127M to $66.0MJan 30, 2025 to Jan 27, 2026
- RAUM · $154M to $193MJan 30, 2025 to Jan 27, 2026
- Accounts · 771 to 839Nov 8, 2024 to Jan 30, 2025
- HNW clients · 6 to 16Nov 8, 2024 to Jan 30, 2025
- Individual clients · 461 to 390Nov 8, 2024 to Jan 30, 2025
- Financial planning clients · 251-500 to 251-500Nov 8, 2024 to Jan 30, 2025
- Discretionary RAUM · $125M to $154MNov 8, 2024 to Jan 30, 2025
- HNW RAUM · $7.4M to $26.7MNov 8, 2024 to Jan 30, 2025
- Individual RAUM · $117M to $127MNov 8, 2024 to Jan 30, 2025
- RAUM · $125M to $154MNov 8, 2024 to Jan 30, 2025
Signals
2 dated events
- H••••••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)Apr 29, 2024 · First SEC registration · fact
- G••••• P••• B••••••• left H••••••• A••••••• G••••• L•• for E••••• J•••• (registered 2024-02-02)Nov 17, 2023 · Advisor changed firm · 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 phone
- 987-270-1120reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-284-8081reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 844-675-9489reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••ANDCO.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 303-284-8081reportedpublic record, Form ADV, Apr 6, 2026
- Contact form
- h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $193Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026