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
Hub Investment Advisors, Inc
Latest filing Jan 8, 2026
First filing on the tape Jul 3, 2012 · 49 filings
SEC status approved since Jul 20, 2012
RAUM
$2.1B
reported, Item 5.F
Discretionary
23%
of RAUM
Private clients
16%
$322M 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
3
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$2.1B as of Jan 8, 2026
Feb 13, 2013$134M then
HNW client RAUM$305M as of Jan 8, 2026
Feb 23, 2018$92.9M then
State-registered IARs (5.B.3)9 as of Jan 8, 2026
Feb 13, 20137 then
Employees (5.A)9 as of Jan 8, 2026
Feb 13, 20137 then
Private funds: no history
RAUM +0.0% over the last fiscal year+16% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Jan 8, 2026; every figure names its basis
- RAUM per advisor
- $230MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $3.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 23%derivedof RAUM
- Institutional
- 84%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$1.7B84%
- High-net-worth individuals$305M15%
- Individuals$17.8M0.9%
- Corporations and businesses$9.6M0.5%
- Individual clients
- 74reported
- HNW clients
- 74reported
- Pension plan clients
- 78reported
- Charitable clients
- 0reported
- Accounts
- 529reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
9 left, 0 joined in 12 months
net -9 in 12 months0 left in 90 days0 joined in 90 days9 left over 36 months
Left, latest
- Gary Michael Smith to Hub Investment Partners, LLCMar 30, 2026 · Other
- Christopher Ryan Tooker to Hub Investment Partners, LLCMar 30, 2026 · Other
- Julia T Rasell to Hub Investment Partners, LLCMar 30, 2026 · Other
- Thomas John Von Riesen to Hub Investment Partners, LLCMar 30, 2026 · Other
- Patrick Michael Fay to Hub Investment Partners, LLCMar 30, 2026 · Other
- Brian Lynch Collins to Taylor Advisors, Inc., A Hub International CompanyMar 30, 2026 · Other
- Jeffrey Donald Sharp to Hub Investment Partners, LLCMar 30, 2026 · Other
- Josef Nazir Ghaussy to Hub Investment Partners, LLCMar 30, 2026 · Other
- Kevin William Novak to Hub Investment Partners, LLCJan 28, 2026 · Other
- Elisabeth M Mays to Hub Investment Partners, LLCDec 13, 2022 · Other
- Jessica Ann Odorisio to Lockton Investment Advisors, LLCJan 23, 2020 · Other
- Joseph Ryan Hefflinger to Lutz FinancialJan 23, 2015 · Other
- Matthew James Hickey to Cwa Asset Management GroupNov 4, 2013 · Other
Joined, latest
- Christopher Ryan Tooker from Cwm, LLCSep 9, 2024 · Other
- Gary Michael Smith from Grace And Porta Financial Services, LLCDec 1, 2022 · Other
- Jessica Ann Odorisio from M Holdings Securities, Inc.Sep 8, 2017 · Other
- Joseph Ryan Hefflinger from M Holdings Securities, Inc.Aug 14, 2012 · Other
- Matthew James Hickey from M Holdings Securities, Inc.Jul 30, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 7 left for Hub Investment Partners, LLCMar 30, 2026 · Omaha, Ne · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ashley Mariane Lee · Interim Chief Compliance Officercontrolsince 12/2022 · owns less than 5%
- Donald Jeffrey Sharp · Chief Executive Officer And Presidentcontrolsince 12/2022 · owns less than 5%
- Adam Sokolic · Vice Presidentcontrolsince 12/2019 · owns less than 5%
Entity owners
- Hockey Intermediate Inc. · Shareholderindirect · owns 75% or more of Hub International Limited
- Hockey Investments L.P. · Limited Partnerindirect · owns 50% to 75% of Hockey Parent Holdings L.P.
- Hockey Investments L.P. · Managing Memberindirect · owns 75% or more of Hockey Parent Holdings Gp, LLC
- Hockey Parent Holdings Gp, LLC · General Partnerindirect · owns F of Hockey Parent Holdings L.P.
- Hockey Parent Holdings L.P. · Shareholderindirect · owns 75% or more of Hockey Parent Inc.
- Hockey Parent Inc. · Shareholderindirect · owns 75% or more of Hockey Intermediate Inc.
- Hub International Limited · Sole Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- Global Retirement Partners LLCinvestment advisernRAUM $170B
- Hub International Investment Services Inc.broker-dealern
- Hub Investment Partners, LLCinvestment advisernRAUM $12B
- Millennium Advisory Services, Inc.investment advisernRAUM $708M
- Rpa Financial, LLCinvestment advisernRAUM $11B
- Taylor Advisors, Inc., A Hub International Companyinvestment advisernRAUM $16B
Advisers that list Hub Investment Advisors, Inc as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Omaha, Ne · principal | 0 | 0 | 8 | ||
| Northbrook, Il | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Omaha, NE5 employees
- Council Bluffs, IA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 493 to 529Jan 24, 2025 to Mar 27, 2025
- Advisory employees · 6 to 7Jan 24, 2025 to Mar 27, 2025
- BD registered reps · 6 to 7Jan 24, 2025 to Mar 27, 2025
- Corporate clients · 8 to 6Jan 24, 2025 to Mar 27, 2025
- HNW clients · 76 to 74Jan 24, 2025 to Mar 27, 2025
- Individual clients · 61 to 74Jan 24, 2025 to Mar 27, 2025
- Pension plan clients · 72 to 78Jan 24, 2025 to Mar 27, 2025
- Employees · 8 to 9Jan 24, 2025 to Mar 27, 2025
- Financial planning clients · 51-100 to 51-100Jan 24, 2025 to Mar 27, 2025
- State-registered IARs · 8 to 9Jan 24, 2025 to Mar 27, 2025
- Discretionary RAUM · $290M to $480MJan 24, 2025 to Mar 27, 2025
- HNW RAUM · $277M to $305MJan 24, 2025 to Mar 27, 2025
- Individual RAUM · $10.6M to $17.8MJan 24, 2025 to Mar 27, 2025
- Non-discretionary RAUM · $1.2B to $1.6BJan 24, 2025 to Mar 27, 2025
- Pension RAUM · $1.2B to $1.7BJan 24, 2025 to Mar 27, 2025
- RAUM · $1.5B to $2.1BJan 24, 2025 to Mar 27, 2025
- Accounts · 500 to 493Nov 11, 2023 to Mar 21, 2024
- Corporate clients · 9 to 8Nov 11, 2023 to Mar 21, 2024
- HNW clients · 92 to 76Nov 11, 2023 to Mar 21, 2024
- Individual clients · 50 to 61Nov 11, 2023 to Mar 21, 2024
- Pension plan clients · 79 to 72Nov 11, 2023 to Mar 21, 2024
- Discretionary RAUM · $261M to $290MNov 11, 2023 to Mar 21, 2024
- HNW RAUM · $255M to $277MNov 11, 2023 to Mar 21, 2024
- Individual RAUM · $7.4M to $10.6MNov 11, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $1.1B to $1.2BNov 11, 2023 to Mar 21, 2024
- Pension RAUM · $1.0B to $1.2BNov 11, 2023 to Mar 21, 2024
- RAUM · $1.3B to $1.5BNov 11, 2023 to Mar 21, 2024
- Accounts · 501 to 500Mar 23, 2023 to Apr 12, 2023
- Non-discretionary RAUM · $1.1B to $1.1BMar 23, 2023 to Apr 12, 2023
- Pension RAUM · $1.1B to $1.0BMar 23, 2023 to Apr 12, 2023
- RAUM · $1.3B to $1.3BMar 23, 2023 to Apr 12, 2023
- Accounts · 455 to 501Dec 13, 2022 to Mar 23, 2023
- BD registered reps · 7 to 6Dec 13, 2022 to Mar 23, 2023
- Corporate clients · 8 to 9Dec 13, 2022 to Mar 23, 2023
- HNW clients · 74 to 92Dec 13, 2022 to Mar 23, 2023
- Individual clients · 60 to 50Dec 13, 2022 to Mar 23, 2023
- Pension plan clients · 70 to 79Dec 13, 2022 to Mar 23, 2023
- Employees · 7 to 8Dec 13, 2022 to Mar 23, 2023
- State-registered IARs · 7 to 8Dec 13, 2022 to Mar 23, 2023
- Discretionary RAUM · $310M to $261MDec 13, 2022 to Mar 23, 2023
Signals
27 dated events
- Hub Investment Advisors, Inc no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $2.1B)Apr 1, 2026 · Left the SEC roster · derived
- Julia T Rasell left Hub Investment Advisors, Inc for Hub Investment Partners, Llc (registered 2026-01-26)Mar 30, 2026 · Advisor changed firm · fact
- Josef Nazir Ghaussy left Hub Investment Advisors, Inc for Hub Investment Partners, Llc (registered 2026-01-06)Mar 30, 2026 · Advisor changed firm · fact
- Patrick Michael Fay left Hub Investment Advisors, Inc for Hub Investment Partners, Llc (registered 2026-01-06)Mar 30, 2026 · Advisor changed firm · fact
- Thomas John Von Riesen left Hub Investment Advisors, Inc for Hub Investment Partners, Llc (registered 2026-01-28)Mar 30, 2026 · Advisor changed firm · fact
- Christopher Ryan Tooker left Hub Investment Advisors, Inc for Hub Investment Partners, Llc (registered 2026-01-06)Mar 30, 2026 · Advisor changed firm · fact
- Brian Lynch Collins left Hub Investment Advisors, Inc for Global Retirement Partners Llc (registered 2023-11-06)Mar 30, 2026 · Advisor changed firm · fact
- Jeffrey Donald Sharp left Hub Investment Advisors, Inc for Hub Investment Partners, Llc (registered 2026-01-06)Mar 30, 2026 · Advisor changed firm · fact
- Gary Michael Smith left Hub Investment Advisors, Inc for Hub Investment Partners, Llc (registered 2026-01-06)Mar 30, 2026 · Advisor changed firm · fact
- Hub Investment Advisors, Inc's advisors moved to Hub Investment Partners, LLC (Omaha, NE): 6 of 8 registered, on the same dayMar 30, 2026 · Firm absorbed (people side) · derived
- Kevin William Novak left Hub Investment Advisors, Inc for Hub Investment Partners, Llc (registered 2026-03-17)Jan 28, 2026 · Advisor changed firm · fact
- Hub Investment Advisors, Inc reported RAUM $2.1B, up 37% from $1.5B (2025-01-24 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Elisabeth M Mays left Hub Investment Advisors, Inc for Hub Investment Partners, Llc (registered 2021-09-01)Dec 13, 2022 · Advisor changed firm · fact
- Ashley Mariane Lee (Interim Chief Compliance Officer) appeared on Schedule A of Hub Investment Advisors, IncDec 13, 2022 · Control person joined · fact
- Donald Jeffrey Sharp (Chief Executive Officer And President) appeared on Schedule A of Hub Investment Advisors, IncDec 13, 2022 · Control person joined · fact
- Marie Elisabeth Mays (Chief Compliance Officer) no longer on Schedule A of Hub Investment Advisors, Inc (listed 2022-11-09, absent 2022-12-13)Dec 13, 2022 · Control person left · inference
- Fredrick Joseph Denoyior (President, Hub Retirement And Private Wealth) no longer on Schedule A of Hub Investment Advisors, Inc (listed 2022-11-09, absent 2022-12-13)Dec 13, 2022 · Control person left · inference
- Donald Jeffrey Sharp (Principal) no longer on Schedule A of Hub Investment Advisors, Inc (listed 2020-08-14, absent 2021-03-18)Mar 18, 2021 · Control person left · inference
- Andrew David Reich (President) no longer on Schedule A of Hub Investment Advisors, Inc (listed 2020-08-14, absent 2021-03-18)Mar 18, 2021 · Control person left · inference
- Fredrick Joseph Denoyior (President, Hub Retirement And Private Wealth) appeared on Schedule A of Hub Investment Advisors, IncMar 18, 2021 · Control person joined · fact
- Joseph Anthony Sorrentino (Chief Compliance Officer, Secretary) no longer on Schedule A of Hub Investment Advisors, Inc (listed 2019-07-29, absent 2020-01-02)Jan 2, 2020 · Control person left · inference
- John Thomas Vonriesen (Treasurer) no longer on Schedule A of Hub Investment Advisors, Inc (listed 2019-07-29, absent 2020-01-02)Jan 2, 2020 · Control person left · inference
- H John Nelson (Shareholder) no longer on Schedule A of Hub Investment Advisors, Inc (listed 2019-07-29, absent 2020-01-02)Jan 2, 2020 · Control person left · inference
- Marie Elisabeth Mays (Chief Compliance Officer) appeared on Schedule A of Hub Investment Advisors, IncJan 2, 2020 · Control person joined · fact
- Andrew David Reich (President) appeared on Schedule A of Hub Investment Advisors, IncJan 2, 2020 · Control person joined · fact
- Adam Sokolic (Vice President) appeared on Schedule A of Hub Investment Advisors, IncJan 2, 2020 · Control person joined · fact
- Silverstone Asset Management Inc filed its initial SEC registration (Form ADV)Jul 3, 2012 · 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