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
D••••••• A•••• M•••••••••
Legal name H•••••• B•••• T•••••
Latest filing Mar 16, 2026
First filing on the tape Dec 15, 2011 · 25 filings
SEC status approved since Jan 31, 2012
RAUM
$55.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
40%
$22.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$55.4M as of Mar 16, 2026
Mar 20, 2013$48.0M then
HNW client RAUM$22.0M as of Mar 16, 2026
Mar 8, 2018$48.0M then
State-registered IARs (5.B.3)0 as of Mar 16, 2026
Mar 20, 20130 then
Employees (5.A)1 as of Mar 16, 2026
Mar 20, 20131 then
Private funds: no history
RAUM +14% over the last fiscal year-10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $4.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 60%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$33.3M60%
- High-net-worth individuals$22.0M40%
- Individuals$143,7550.3%
- Individual clients
- 2reported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 12reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.4 fund_share=0.0 institutional_share=0.6 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• B••••• T••••• · Cco, Sole Ownercontrolsince 12/2011 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 16, 2026institutional share of RAUM of 60% against a peer median of 0% (311 comparable advisers, 99.0th percentile, 20.3 robust deviations)peers: independent wealth managers, under $100M (311) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 13 to 12Feb 26, 2025 to Mar 16, 2026
- Discretionary RAUM · $48.4M to $55.4MFeb 26, 2025 to Mar 16, 2026
- HNW RAUM · $18.5M to $22.0MFeb 26, 2025 to Mar 16, 2026
- Individual RAUM · $134,198 to $143,755Feb 26, 2025 to Mar 16, 2026
- RAUM · $48.4M to $55.4MFeb 26, 2025 to Mar 16, 2026
- Accounts · 14 to 13Feb 29, 2024 to Feb 26, 2025
- HNW clients · 7 to 6Feb 29, 2024 to Feb 26, 2025
- Financial planning clients · 0 to 0Feb 29, 2024 to Feb 26, 2025
- HQ city · unset to Feb 29, 2024 to Feb 26, 2025
- HQ state · unset to Feb 29, 2024 to Feb 26, 2025
- Discretionary RAUM · $47.8M to $48.4MFeb 29, 2024 to Feb 26, 2025
- HNW RAUM · $20.7M to $18.5MFeb 29, 2024 to Feb 26, 2025
- Individual RAUM · $106,293 to $134,198Feb 29, 2024 to Feb 26, 2025
- RAUM · $47.8M to $48.4MFeb 29, 2024 to Feb 26, 2025
- Individual clients · unset to 2.0Mar 24, 2023 to Feb 29, 2024
- Discretionary RAUM · $76.9M to $47.8MMar 24, 2023 to Feb 29, 2024
- HNW RAUM · $53.1M to $20.7MMar 24, 2023 to Feb 29, 2024
- Individual RAUM · unset to 106293.0Mar 24, 2023 to Feb 29, 2024
- RAUM · $76.9M to $47.8MMar 24, 2023 to Feb 29, 2024
- Accounts · 12 to 14Feb 25, 2022 to Mar 24, 2023
- Discretionary RAUM · $90.8M to $76.9MFeb 25, 2022 to Mar 24, 2023
- HNW RAUM · $61.3M to $53.1MFeb 25, 2022 to Mar 24, 2023
- RAUM · $90.8M to $76.9MFeb 25, 2022 to Mar 24, 2023
- Accounts · 11 to 12Mar 19, 2021 to Feb 25, 2022
- HNW clients · 9 to 7Mar 19, 2021 to Feb 25, 2022
- Discretionary RAUM · $76.0M to $90.8MMar 19, 2021 to Feb 25, 2022
- HNW RAUM · $51.0M to $61.3MMar 19, 2021 to Feb 25, 2022
- RAUM · $76.0M to $90.8MMar 19, 2021 to Feb 25, 2022
- Accounts · 13 to 11Jan 4, 2021 to Mar 19, 2021
- Charity clients · unset to 2.0Jan 4, 2021 to Mar 19, 2021
- HNW clients · 11 to 9Jan 4, 2021 to Mar 19, 2021
- Discretionary RAUM · $70.5M to $76.0MJan 4, 2021 to Mar 19, 2021
- HNW RAUM · $49.0M to $51.0MJan 4, 2021 to Mar 19, 2021
- Non-discretionary RAUM · $500,000 to $0Jan 4, 2021 to Mar 19, 2021
- RAUM · $71.0M to $76.0MJan 4, 2021 to Mar 19, 2021
- Accounts · 12 to 13Mar 22, 2019 to Mar 6, 2020
- HNW clients · 10 to 11Mar 22, 2019 to Mar 6, 2020
- Discretionary RAUM · $65.5M to $70.5MMar 22, 2019 to Mar 6, 2020
- HNW RAUM · $46.0M to $49.0MMar 22, 2019 to Mar 6, 2020
- Non-discretionary RAUM · $0 to $500,000Mar 22, 2019 to Mar 6, 2020
Signals
No event on the tape.
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
- Principal office phone
- 908-832-2504reportedpublic record, Form ADV, Mar 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
- Wealth manager with institutional or fund businessderiveda 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