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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Former SEC-registered adviser

H••••••••• W•••••

Former SEC-registered adviserFranklin, TennesseeCRD 165771SEC 801-79585IAPD
Legal name H••••••••• I••••••••• M••••••••• L••
Latest filing Mar 31, 2022
First filing on the tape Apr 3, 2014 · 29 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$595M as of Mar 30, 2021
Feb 11, 2015$163M then
HNW client RAUM$288M as of Mar 30, 2021
Mar 28, 2018$149M then
State-registered IARs (5.B.3)4 as of Mar 31, 2022
Feb 11, 20152 then
Employees (5.A)7 as of Mar 31, 2022
Feb 11, 20154 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••••• W•••••• C•••••• · President / Managing Partnercontrol
      since 08/2008 · owns less than 5%
    • H•••• C••••• A••••• · Chief Executive Officer / Managing Partner / Chief Compliance Officercontrol
      since 08/2008 · owns less than 5%
    • G••••••••• C•••••••• P• · Financial Advisor, Partner
      since 01/2020 · owns less than 5%
    Entity owners
    • M••••• G••••• A••••••• I••• · Parent Company
      direct · 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.
    What changed
    consecutive filings, newest first
    • Accounts · 694.0 to unset
      Mar 4, 2022 to Mar 31, 2022
    • HNW clients · 71.0 to unset
      Mar 4, 2022 to Mar 31, 2022
    • Individual clients · 212.0 to unset
      Mar 4, 2022 to Mar 31, 2022
    • Pension plan clients · 25.0 to unset
      Mar 4, 2022 to Mar 31, 2022
    • Pooled vehicle clients · 0.0 to unset
      Mar 4, 2022 to Mar 31, 2022
    • Assets in custody · 136830679.0 to unset
      Mar 4, 2022 to Mar 31, 2022
    • Custody of client assets · true to false
      Mar 4, 2022 to Mar 31, 2022
    • Financial planning clients · 251-500 to 0
      Mar 4, 2022 to Mar 31, 2022
    • Discretionary RAUM · 366891056.0 to unset
      Mar 4, 2022 to Mar 31, 2022
    • HNW RAUM · 287597543.0 to unset
      Mar 4, 2022 to Mar 31, 2022
    • Individual RAUM · 61542360.0 to unset
      Mar 4, 2022 to Mar 31, 2022
    • Non-discretionary RAUM · 228023771.0 to unset
      Mar 4, 2022 to Mar 31, 2022
    • Pension RAUM · 230111132.0 to unset
      Mar 4, 2022 to Mar 31, 2022
    • Pooled vehicle RAUM · 0.0 to unset
      Mar 4, 2022 to Mar 31, 2022
    • RAUM · 594914827.0 to unset
      Mar 4, 2022 to Mar 31, 2022
    • Accounts · 685 to 694
      Jun 23, 2020 to Mar 30, 2021
    • BD registered reps · 1 to 0
      Jun 23, 2020 to Mar 30, 2021
    • Charity clients · 6.0 to unset
      Jun 23, 2020 to Mar 30, 2021
    • HNW clients · 63 to 71
      Jun 23, 2020 to Mar 30, 2021
    • Individual clients · 209 to 212
      Jun 23, 2020 to Mar 30, 2021
    • Assets in custody · $90.0M to $137M
      Jun 23, 2020 to Mar 30, 2021
    • Discretionary RAUM · $297M to $367M
      Jun 23, 2020 to Mar 30, 2021
    • HNW RAUM · $235M to $288M
      Jun 23, 2020 to Mar 30, 2021
    • Individual RAUM · $45.9M to $61.5M
      Jun 23, 2020 to Mar 30, 2021
    • Non-discretionary RAUM · $203M to $228M
      Jun 23, 2020 to Mar 30, 2021
    • Pension RAUM · $204M to $230M
      Jun 23, 2020 to Mar 30, 2021
    • RAUM · $500M to $595M
      Jun 23, 2020 to Mar 30, 2021
    • Wrap assets (manager) · 0.0 to unset
      Jun 23, 2020 to Mar 30, 2021
    • Wrap assets (sponsor) · 4448597.0 to unset
      Jun 23, 2020 to Mar 30, 2021
    • Accounts · 633 to 685
      Sep 5, 2019 to Mar 25, 2020
    • Charity clients · unset to 6.0
      Sep 5, 2019 to Mar 25, 2020
    • HNW clients · 50 to 63
      Sep 5, 2019 to Mar 25, 2020
    • Individual clients · 181 to 209
      Sep 5, 2019 to Mar 25, 2020
    • Pension plan clients · 20 to 25
      Sep 5, 2019 to Mar 25, 2020
    • Financial planning clients · 0 to 251-500
      Sep 5, 2019 to Mar 25, 2020
    • Discretionary RAUM · $256M to $297M
      Sep 5, 2019 to Mar 25, 2020
    • HNW RAUM · $200M to $235M
      Sep 5, 2019 to Mar 25, 2020
    • Individual RAUM · $42.3M to $45.9M
      Sep 5, 2019 to Mar 25, 2020
    • Non-discretionary RAUM · $137M to $203M
      Sep 5, 2019 to Mar 25, 2020
    • Pension RAUM · $137M to $204M
      Sep 5, 2019 to Mar 25, 2020
    Signals
    8 dated events
    • C••••••• P••• D•••••• left H••••••••• W••••• for M••••• G••••• A••••••• I••• (registered 2022-02-17)
      May 5, 2022 · Advisor changed firm · fact
    • C•••• A••••• H••• left H••••••••• W••••• for M••••• G••••• A••••••• I••• (registered 2022-02-17)
      May 5, 2022 · Advisor changed firm · fact
    • W••••• C•••••• G•••••• left H••••••••• W••••• for M••••• G••••• A••••••• I••• (registered 2022-02-25)
      May 5, 2022 · Advisor changed firm · fact
    • R••••• A• N•••• left H••••••••• W••••• for M••••• G••••• A••••••• I••• (registered 2023-06-29)
      May 5, 2022 · Advisor changed firm · fact
    • H••••••••• W•••••'s advisors moved to M••••• G••••• A••••••• I••• (Franklin, TN): 5 of 5 registered, on the same day
      May 5, 2022 · Firm absorbed (people side) · derived
    • D•••• T••••• H••••••••• left H••••••••• W••••• for M••••• G••••• A••••••• I••• (registered 2022-02-17)
      May 5, 2022 · Advisor changed firm · fact
    • H••••••••• W••••• reported RAUM $499.6M, up 27% from $393.3M (2019-09-05 to 2020-03-25)
      Mar 25, 2020 · RAUM change · derived
    • H••••••••• F•••••••• filed its initial SEC registration (Form ADV)
      Apr 3, 2014 · 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