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.
SEC-registered adviser
J. Hagan Capital, Inc.
Latest filing Jun 10, 2026
First filing on the tape Jun 8, 2021 · 21 filings
SEC status approved since Jul 9, 2021
RAUM
$342M
reported, Item 5.F
Discretionary
62%
of RAUM
Private clients
87%
$297M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$68.4M
derived; firm RAUM over IAPD count
Employees
12
10 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$342M as of Jun 10, 2026
Mar 31, 2022$175M then
HNW client RAUM$127M as of Jun 10, 2026
Mar 31, 2022$52.0M then
State-registered IARs (5.B.3)7 as of Jun 10, 2026
Mar 31, 20224 then
Employees (5.A)12 as of Jun 10, 2026
Mar 31, 20229 then
Private funds: no history
RAUM +31% over the last fiscal year+25% a year over threeIARs 7 to 7offices 2 to 5
Practice profile
derived from the filing of Jun 10, 2026; every figure names its basis
- RAUM per advisor
- $68.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 157derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $202,346derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 62%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 0.8derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $28.3M, 461 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)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$170M50%
- High-net-worth individuals$127M37%
- Pooled investment vehicles$44.7M13%
- Individual clients
- 713reported
- HNW clients
- 72reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,689reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.3M for 461 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.13 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mathew Alan Koole | Louisville, Ky | Jun 29, 2020 | 11 y | 0 |
| Jonathan Hagan Hicks | The Woodlands, Tx | Jun 29, 2020 | 24 y | 3 |
| Michael Joseph Ramser | Louisville, Ky | Apr 17, 2024 | 12 y | 0 |
| James Kevin Taylor Veillon | Louisville, Ky | Jul 22, 2024 | 10 y | 1 |
| Cameron Lee Wisley | Louisville, Ky | Nov 6, 2024 | 15 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- Chase M Rosche to Independent Financial PartnersJun 25, 2026 · RIA to affiliated broker-dealer or bank
- Patrick John Volk to Impact Partnership Wealth, LLCFeb 21, 2022 · RIA to RIA
- Adam Joseph Osborn to J.P. Morgan Securities LLCJun 30, 2021 · RIA to wirehouse
- Marcus George Warren to Gradient Advisors, LLCAug 13, 2018 · RIA to RIA
Joined, latest
- Cameron Lee Wisley from Strategic Wealth Investment Group, LLCNov 6, 2024 · RIA to RIA
- James Kevin Taylor Veillon from MML Investors Services, LLCJul 22, 2024 · Affiliated broker-dealer or bank to independent RIA
- Chase M Rosche from Strategic Wealth Investment Group, LLCJun 19, 2024 · RIA to RIA
- Patrick John Volk from Fountainhead Fiduciary, LLCSep 22, 2020 · Other
- Jonathan Hagan Hicks from Madison Avenue Securities, LLCJun 29, 2020 · Other
- Marcus George Warren from Madison Avenue Securities, LLCSep 17, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Hagan Jonathan Hicks · Chief Compliance Officer And Chief Executive Officercontrolsince 07/2013 · owns 75% or more
Related persons
Schedule D 7.A
- J. Hagan Capital, LLCreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 5 | 0 | 1 | ||
| The Woodlands, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Prospect, KY2 employees
- Lafayette, LA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 23, 2026discretionary share of RAUM moved from 100.0% to 62.0% between the annual amendments of 2025-03-30 and 2026-04-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Other offices · 2 to 5Apr 23, 2026 to May 27, 2026
- Accounts · 2,042 to 1,689Oct 7, 2025 to Mar 25, 2026
- Advisory employees · 7 to 10Oct 7, 2025 to Mar 25, 2026
- Advisory activities · 3 to 4Oct 7, 2025 to Mar 25, 2026
- HNW clients · 44 to 72Oct 7, 2025 to Mar 25, 2026
- Individual clients · 688 to 713Oct 7, 2025 to Mar 25, 2026
- Pooled vehicle clients · unset to 91.0Oct 7, 2025 to Mar 25, 2026
- Assets in custody · unset to 28294890.0Oct 7, 2025 to Mar 25, 2026
- Custody of client assets · false to trueOct 7, 2025 to Mar 25, 2026
- Employees · 9 to 12Oct 7, 2025 to Mar 25, 2026
- Insurance-licensed employees · 1 to 0Oct 7, 2025 to Mar 25, 2026
- Discretionary RAUM · $261M to $213MOct 7, 2025 to Mar 25, 2026
- HNW RAUM · $69.8M to $127MOct 7, 2025 to Mar 25, 2026
- Individual RAUM · $149M to $170MOct 7, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $0 to $129MOct 7, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · unset to 44683959.0Oct 7, 2025 to Mar 25, 2026
- RAUM · $261M to $342MOct 7, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Mar 30, 2025 to Oct 7, 2025
- Accounts · 1,718 to 2,042Jun 25, 2024 to Mar 30, 2025
- Advisory employees · 6 to 7Jun 25, 2024 to Mar 30, 2025
- HNW clients · 25 to 44Jun 25, 2024 to Mar 30, 2025
- Individual clients · 520 to 688Jun 25, 2024 to Mar 30, 2025
- Employees · 7 to 9Jun 25, 2024 to Mar 30, 2025
- Insurance-licensed employees · 0 to 1Jun 25, 2024 to Mar 30, 2025
- State-registered IARs · 6 to 7Jun 25, 2024 to Mar 30, 2025
- Discretionary RAUM · $169M to $261MJun 25, 2024 to Mar 30, 2025
- HNW RAUM · $38.6M to $69.8MJun 25, 2024 to Mar 30, 2025
- Individual RAUM · $147M to $149MJun 25, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $16.3M to $0Jun 25, 2024 to Mar 30, 2025
- RAUM · $186M to $261MJun 25, 2024 to Mar 30, 2025
- Accounts · 1,510 to 1,718May 17, 2023 to Mar 19, 2024
- Advisory employees · 3 to 6May 17, 2023 to Mar 19, 2024
- HNW clients · 30 to 25May 17, 2023 to Mar 19, 2024
- Individual clients · 428 to 520May 17, 2023 to Mar 19, 2024
- Employees · 5 to 7May 17, 2023 to Mar 19, 2024
- State-registered IARs · 3 to 6May 17, 2023 to Mar 19, 2024
- Other offices · 1 to 2May 17, 2023 to Mar 19, 2024
- Discretionary RAUM · $158M to $169MMay 17, 2023 to Mar 19, 2024
- HNW RAUM · $75.7M to $38.6MMay 17, 2023 to Mar 19, 2024
- Individual RAUM · $101M to $147MMay 17, 2023 to Mar 19, 2024
Signals
3 dated events
- Chase M Rosche left J. Hagan Capital, Inc. for Independent Financial Partners (registered 2025-12-03)Jun 25, 2026 · Advisor changed firm · fact
- Patrick John Volk left J. Hagan Capital, Inc. for Impact Partnership Wealth, Llc (registered 2022-02-23)Feb 21, 2022 · Advisor changed firm · fact
- J. Hagan Capital, Inc. filed its initial SEC registration (Form ADV)Jun 8, 2021 · 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
- Business email
- service@jhagancapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- servicetx@jhagancapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 502-690-5635reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 832-810-1200reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 843-977-1222reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/j-hagan-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- jhagancapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (502) 690-5635reportedpublic record, Form ADV, Jun 10, 2026
- Contact form
- jhagancapital.com/contactreportedpublished by the firm, firm site, Sep 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $68.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026