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•••• S••••• W••••• A•••••••
Legal name H••••• C•••••• M••••••••• L••
Latest filing Mar 29, 2019
First filing on the tape Mar 21, 2013 · 29 filings
RAUM
$145M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
85%
$123M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$145M as of Mar 29, 2019
Mar 21, 2016$86.0M then
HNW client RAUM$93.8M as of Mar 29, 2019
Mar 2, 2018$100M then
State-registered IARs (5.B.3)9 as of Mar 29, 2019
Mar 21, 201610 then
Employees (5.A)9 as of Mar 29, 2019
Mar 21, 201611 then
Private funds: no history
RAUM +7.2% over the last fiscal year+19% a year over threeIARs 10 to 9
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
- RAUM per advisor
- $16.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $275,175derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -50%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $131M, 471 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
- 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)
- 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$93.8M65%
- Individuals$29.6M20%
- Corporations and businesses$15.3M11%
- Charitable organizations$4.0M2.8%
- Pension and profit-sharing plans$2.0M1.4%
- Individual clients
- 180reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 526reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $131M for 471 clientsreported
- 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
Left, latest
- D•••• J•• K•• C•••• to S••••••• A•••• M••••••• L•••••Jan 2, 2020 · RIA to RIA
- A•••••••• H•••• H••••••• to S••••••• A•••• M••••••• L•••••Jan 2, 2020 · RIA to RIA
- H••••• B••••• P••••• to S••••••• A•••• M••••••• L•••••Jan 2, 2020 · RIA to RIA
- C••••••• S••••••• T•••• to S••••••• A•••• M••••••• L•••••Jan 2, 2020 · RIA to RIA
- T••••• W••••••• H••••• to S••••••• A•••• M••••••• L•••••Jan 2, 2020 · RIA to RIA
- R•••••• B••••• to S••••••• A•••• M••••••• L•••••Oct 21, 2019 · Other
- K•••••• R••••• M•••••• to N••• C•••••••••Jul 18, 2019 · RIA to affiliated broker-dealer or bank
- B•••• J••• J••••• to S••••••• A•••• M••••••• L•••••Jan 23, 2019 · Other
- G•••••• S• M••••• to S••••••• A•••• M••••••• L•••••Sep 11, 2018 · RIA to RIA
- R•••••• K••• B•••• to D•••• W••••• A•••••••Sep 29, 2017 · Other
- C•••••• M••••• C•••••• to N••••• D••••• W•••••Dec 1, 2016 · Other
- A••• M•••••• G•••• to S••••• C•••••• P•••••••• L••Aug 3, 2016 · Other
- P•••• J••• H•••• to C•••••••• M••••••••• G••••Mar 15, 2016 · Other
Joined, latest
- D•••• J•• K•• C•••• from W•••• F•••• A•••••••Aug 8, 2018 · Wirehouse to independent RIA
- A•••••••• H•••• H••••••• from F••••••••• C•••••• M••••••••• L••Jun 21, 2018 · Other
- R•••••• K••• B•••• from Y••••••••• P•••••••Apr 10, 2017 · Other
- A••• M•••••• G•••• from K••••••• C•••••• C•••••••••Jun 3, 2016 · Other
- H••••• B••••• P••••• from W•••••• I••••••••• S•••••••••May 23, 2016 · Other
- P•••• J••• H•••• from P••••••• A•••••••• L••Oct 7, 2015 · Other
- B•••• J••• J••••• from E•••••• P•••••••• L••Apr 1, 2015 · Other
- T••••• W••••••• H••••• from W•••••••••Apr 24, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for S••••••• A•••• M••••••• L•••••Jan 2, 2020 · Pasadena, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• T•••••• W••••••• · Managing Member And Chief Compliance Officercontrolsince 03/2013 · owns 25% to 50%
- G•••••• F•••• · Minority Ownersince 12/2015 · owns 5% to 10%
- H•••••• C•••• W•••••• · Advisory Board Member And Class B Membersince 03/2014 · owns 10% to 25%
- H•••••• J••• · Minority Ownersince 12/2015 · owns less than 5%
- M••••••• M••••••• P•••• · Class A Membersince 03/2014 · owns 5% to 10%
- M••••••••• W••••••• C•••••• · Advisory Board Member And Class B Membersince 03/2014 · owns less than 5%
- R••••••• K•••• C•••••• · Class B Membersince 03/2014 · owns less than 5%
- T•••••••• H•••••• H••• · Minority Ownersince 12/2015 · owns less than 5%
- W•••• D•••• · Advisory Board Membersince 12/2015 · owns less than 5%
- W•••••••• L•••• · Minority Ownersince 12/2015 · owns 5% to 10%
- B•••••••• G•••••• · Ownersince 03/2014 · owns 50% to 75% of D•••• I••••••••, LLC
- B•••••••• M••• · Ownersince 03/2014 · owns 50% to 75% of D•••• I••••••••, LLC
Entity owners
- D•••• I•••••••• L•• · Advisory Board Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- S••••••• A•••• M••••••• L•••••investment advisernRAUM $930M
Offices
Schedule D 1.F, the 25 largest
- Woodcliff Lake, NJ1 employees
What changed
consecutive filings, newest first
- Accounts · 430 to 526Sep 10, 2018 to Mar 29, 2019
- Advisory employees · 10 to 9Sep 10, 2018 to Mar 29, 2019
- BD registered reps · 7 to 3Sep 10, 2018 to Mar 29, 2019
- Corporate clients · unset to 16.0Sep 10, 2018 to Mar 29, 2019
- HNW clients · 42 to 34Sep 10, 2018 to Mar 29, 2019
- Individual clients · 388 to 180Sep 10, 2018 to Mar 29, 2019
- Assets in custody · $38.5M to $131MSep 10, 2018 to Mar 29, 2019
- Employees · 10 to 9Sep 10, 2018 to Mar 29, 2019
- Insurance-licensed employees · 2 to 3Sep 10, 2018 to Mar 29, 2019
- State-registered IARs · 10 to 9Sep 10, 2018 to Mar 29, 2019
- Discretionary RAUM · $135M to $126MSep 10, 2018 to Mar 29, 2019
- HNW RAUM · $100M to $93.8MSep 10, 2018 to Mar 29, 2019
- Individual RAUM · $29.0M to $29.6MSep 10, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $0 to $19.2MSep 10, 2018 to Mar 29, 2019
- Pension RAUM · unset to 2000000.0Sep 10, 2018 to Mar 29, 2019
- RAUM · $135M to $145MSep 10, 2018 to Mar 29, 2019
- Insurance-licensed employees · 0 to 2Mar 2, 2018 to Apr 3, 2018
- Accounts · 375 to 430May 26, 2017 to Mar 2, 2018
- Advisory employees · 12 to 10May 26, 2017 to Mar 2, 2018
- Advisory activities · 5 to 4May 26, 2017 to Mar 2, 2018
- BD registered reps · 5 to 7May 26, 2017 to Mar 2, 2018
- HNW clients · unset to 42.0May 26, 2017 to Mar 2, 2018
- Individual clients · unset to 388.0May 26, 2017 to Mar 2, 2018
- Assets in custody · unset to 38546496.0May 26, 2017 to Mar 2, 2018
- Custody of client assets · false to trueMay 26, 2017 to Mar 2, 2018
- Employees · 14 to 10May 26, 2017 to Mar 2, 2018
- State-registered IARs · 12 to 10May 26, 2017 to Mar 2, 2018
- Other offices · unset to 2.0May 26, 2017 to Mar 2, 2018
- Discretionary RAUM · $105M to $135MMay 26, 2017 to Mar 2, 2018
- HNW RAUM · unset to 100000000.0May 26, 2017 to Mar 2, 2018
- Individual RAUM · unset to 29000000.0May 26, 2017 to Mar 2, 2018
- RAUM · $105M to $135MMay 26, 2017 to Mar 2, 2018
- Accounts · 310 to 375Sep 6, 2016 to Mar 17, 2017
- Advisory employees · 10 to 12Sep 6, 2016 to Mar 17, 2017
- Advisory activities · 4 to 5Sep 6, 2016 to Mar 17, 2017
- BD registered reps · 3 to 5Sep 6, 2016 to Mar 17, 2017
- Employees · 11 to 14Sep 6, 2016 to Mar 17, 2017
- State-registered IARs · 10 to 12Sep 6, 2016 to Mar 17, 2017
- Discretionary RAUM · $71.0M to $105MSep 6, 2016 to Mar 17, 2017
- Non-discretionary RAUM · $15.0M to $0Sep 6, 2016 to Mar 17, 2017
Signals
1 dated events
- H•••• S••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Mar 21, 2013 · 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