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•••••• M••••••••• L••
Latest filing Jun 15, 2026
First filing on the tape Jun 6, 2018 · 19 filings
SEC status approved since Jul 20, 2018
RAUM
$345M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$345M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$86.2M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$345M as of Jun 15, 2026
Mar 26, 2019$113M then
HNW client RAUM$253M as of Jun 15, 2026
Mar 26, 2019$31.6M then
State-registered IARs (5.B.3)4 as of Jun 15, 2026
Mar 26, 20193 then
Employees (5.A)5 as of Jun 15, 2026
Mar 26, 20194 then
Private funds: no history
RAUM +16% over the last fiscal year+34% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 15, 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
- 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
- RAUM per advisor
- $86.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $337,981derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $345M, 252 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
- is an insurance broker or agent (6.A.6)
- 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$253M73%
- Individuals$92.0M27%
- Individual clients
- 187reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,020reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $345M for 252 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=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• D• H••••Certified Financial Planner | Columbus, Oh | Oct 3, 2011 | 26 y | 2 |
| J•••• S•••• M•••• | Columbus, Oh | May 28, 2013 | 31 y | 2 |
| D•••• J••• F•••• | Columbus, Oh | Nov 16, 2016 | 20 y | 3 |
| L•••• M•• C••• | Columbus, Oh | May 14, 2020 | 27 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
none on the tape
Joined, latest
- L•••• M•• C••• from M••••• S••••••May 14, 2020 · Wirehouse to independent RIA
- D•••• J••• F•••• from U•• F•••••••• S••••••• I•••Nov 16, 2016 · Wirehouse to independent RIA
- J•••• S•••• M•••• from M••••• S••••••May 28, 2013 · Wirehouse to independent RIA
- T•••••• D• H•••• from M••••• S••••••Oct 3, 2011 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• L••••• M•• · Chief Compliance Officercontrolsince 04/2013 · owns less than 5%
- H••••• T••••••• D• · Managing Membercontrolsince 09/2011 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Columbus, Oh · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Naples, FL2 employees
What changed
consecutive filings, newest first
- Accounts · 978 to 1,020Mar 11, 2025 to Mar 25, 2026
- Individual clients · 193 to 187Mar 11, 2025 to Mar 25, 2026
- Assets in custody · $290M to $345MMar 11, 2025 to Mar 25, 2026
- Discretionary RAUM · $290M to $341MMar 11, 2025 to Mar 25, 2026
- HNW RAUM · $214M to $253MMar 11, 2025 to Mar 25, 2026
- Individual RAUM · $82.7M to $92.0MMar 11, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $6.9M to $4.1MMar 11, 2025 to Mar 25, 2026
- RAUM · $297M to $345MMar 11, 2025 to Mar 25, 2026
- Accounts · 530 to 978Mar 25, 2024 to Mar 11, 2025
- BD registered reps · 5 to 4Mar 25, 2024 to Mar 11, 2025
- HNW clients · 39 to 65Mar 25, 2024 to Mar 11, 2025
- Individual clients · 230 to 193Mar 25, 2024 to Mar 11, 2025
- Assets in custody · $193M to $290MMar 25, 2024 to Mar 11, 2025
- Financial planning clients · 1-10 to 11-25Mar 25, 2024 to Mar 11, 2025
- Discretionary RAUM · $178M to $290MMar 25, 2024 to Mar 11, 2025
- HNW RAUM · $110M to $214MMar 25, 2024 to Mar 11, 2025
- Individual RAUM · $82.3M to $82.7MMar 25, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $14.5M to $6.9MMar 25, 2024 to Mar 11, 2025
- RAUM · $193M to $297MMar 25, 2024 to Mar 11, 2025
- Accounts · 502 to 530Jul 25, 2023 to Mar 25, 2024
- BD registered reps · 3 to 5Jul 25, 2023 to Mar 25, 2024
- HNW clients · 17 to 39Jul 25, 2023 to Mar 25, 2024
- Individual clients · 253 to 230Jul 25, 2023 to Mar 25, 2024
- Assets in custody · $144M to $193MJul 25, 2023 to Mar 25, 2024
- Employees · 4 to 5Jul 25, 2023 to Mar 25, 2024
- Discretionary RAUM · $131M to $178MJul 25, 2023 to Mar 25, 2024
- HNW RAUM · $73.7M to $110MJul 25, 2023 to Mar 25, 2024
- Individual RAUM · $70.5M to $82.3MJul 25, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $13.6M to $14.5MJul 25, 2023 to Mar 25, 2024
- RAUM · $144M to $193MJul 25, 2023 to Mar 25, 2024
- Accounts · 505 to 502Oct 25, 2022 to Mar 3, 2023
- HNW clients · 64 to 17Oct 25, 2022 to Mar 3, 2023
- Individual clients · 240 to 253Oct 25, 2022 to Mar 3, 2023
- Assets in custody · $160M to $144MOct 25, 2022 to Mar 3, 2023
- Discretionary RAUM · $149M to $131MOct 25, 2022 to Mar 3, 2023
- HNW RAUM · $149M to $73.7MOct 25, 2022 to Mar 3, 2023
- Individual RAUM · $10.9M to $70.5MOct 25, 2022 to Mar 3, 2023
- Non-discretionary RAUM · $11.2M to $13.6MOct 25, 2022 to Mar 3, 2023
- RAUM · $160M to $144MOct 25, 2022 to Mar 3, 2023
- Accounts · 497 to 505Apr 19, 2021 to Mar 11, 2022
Signals
2 dated events
- H•••• C•••••• M••••••••• L•• reported RAUM $297.1M, up 54% from $192.7M (2024-03-25 to 2025-03-11)Mar 11, 2025 · RAUM change · derived
- H•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 6, 2018 · 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
- Website
- H••••-CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 614-944-5210reportedpublic record, Form ADV, Jun 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
- $86.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026