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
H••••• W•••••
Legal name H••••• P•••••• C••••••• L••
Latest filing Jun 30, 2026
First filing on the tape Feb 19, 2016 · 36 filings
SEC status approved since Feb 29, 2016
RAUM
$558M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$558M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$46.5M
derived; firm RAUM over IAPD count
Employees
18
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$558M as of Jun 30, 2026
Mar 30, 2017$135M then
HNW client RAUM$243M as of Jun 30, 2026
Mar 30, 2018$45.5M then
State-registered IARs (5.B.3)11 as of Jun 30, 2026
Mar 30, 20176 then
Employees (5.A)18 as of Jun 30, 2026
Mar 30, 20176 then
Private funds: no history
RAUM +30% over the last fiscal year+28% a year over threeIARs 8 to 11
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $46.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $269,156derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +38%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, publications, educational seminarsreportedItem 5.G
- Custody
- $178M, 352 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
- Individuals$315M57%
- High-net-worth individuals$243M43%
- Charitable organizations$126,7420.0%
- Corporations and businesses$14,6270.0%
- Individual clients
- 558reported
- HNW clients
- 167reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 2,074reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $178M for 352 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• S•••• H••••• | Charlotte, Nc | Sep 5, 2013 | 22 y | 2 |
| S••••• A••••• G••••Certified Financial Planner | Charlotte, Nc | Sep 5, 2013 | 16 y | 2 |
| C•••• S•••• S•••••••Certified Financial Planner | Charlotte, Nc | Feb 6, 2015 | 13 y | 2 |
| J••• W•••••• T••••••• | Charlotte, Nc | Apr 4, 2016 | 43 y | 3 |
| J•••• D••••• W••••••Certified Financial Planner | Charlotte, Nc | Jul 28, 2017 | 11 y | 0 |
| T••••• R•• H••••••• | Charlotte, Nc | Feb 5, 2019 | 15 y | 6 |
| N••••••• A•••••Certified Financial Planner | Charlotte, Nc | May 18, 2023 | 12 y | 2 |
| J••••• M•••••• P••• | Charlotte, Nc | Sep 5, 2025 | 11 y | 1 |
| C•••••• H• R•••••• | Charlotte, Nc | Nov 3, 2025 | 16 y | 3 |
| B•••• M•••••• C•••• | Charlotte, Nc | Jan 20, 2026 | 11 y | 0 |
| S•••• B••••• | Charlotte, Nc | Mar 30, 2026 | 11 y | 0 |
| N••••••• M••••••• | Charlotte, Nc | Jul 15, 2026 | 11 y | 0 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount2 left over 36 months
Left, latest
- R••••• B••••• to L•••••••• A•••• M••••••••• I•••May 1, 2026 · RIA to RIA
- P•••••• G••••• S•••••• to C• F• P•••• • C••• I•••Jan 15, 2025 · Other
- D•••• S•••• W••••• to C••• I••••••••• A•••••••• I•••Jun 9, 2021 · RIA to RIA
- M•••••• P• L••• to J••• M••••• S••••••••• L••Nov 10, 2020 · RIA to wirehouse
- K•••• M•••• H•••••• to C••• I••••••••• A•••••••• I•••Nov 4, 2019 · RIA to RIA
- M•••••• C•••••• M••••• to H••••• S••••• I••••••••• A••••••• L••Sep 30, 2019 · RIA to RIA
- J••• H•••• F•••• to V••••• C•••••• M••••••••• L••Sep 29, 2016 · Other
Joined, latest
- C•••••• H• R•••••• from R•• C•••••• M••••••• L••Nov 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••••• M•••••• P••• from E• W••••• A•••••••Sep 5, 2025 · RIA to RIA
- P•••••• G••••• S•••••• from N•••••••• B••••• B• L••Sep 5, 2024 · Other
- N••••••• A••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 18, 2023 · Affiliated broker-dealer or bank to independent RIA
- R••••• B••••• from P•••• S••••••••• L••May 16, 2023 · Affiliated broker-dealer or bank to independent RIA
- M•••••• C•••••• M••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jun 6, 2019 · Affiliated broker-dealer or bank to independent RIA
- T••••• R•• H••••••• from P•• W••••• M•••••••••Feb 5, 2019 · Affiliated broker-dealer or bank to independent RIA
- M•••••• P• L••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 17, 2018 · Wirehouse to independent RIA
- K•••• M•••• H•••••• from G••••• F•••••••• P•••••• C••••••• I•••Feb 15, 2018 · Other
- D•••• S•••• W••••• from G••••• F•••••••• P•••••• C••••••• I•••Apr 4, 2016 · Other
- J••• W•••••• T••••••• from G••••• F•••••••• P•••••• C••••••• I•••Apr 4, 2016 · Other
- C•••• S•••• S••••••• from G••••• F•••••••• P•••••• C••••••• I•••Feb 6, 2015 · Other
- J••• H•••• F•••• from G••••• F•••••••• P•••••• C••••••• I•••Jan 27, 2015 · Other
- C••••••••• S•••• H••••• from G••••• F•••••••• P•••••• C••••••• I•••Sep 5, 2013 · Other
- S••••• A••••• G•••• from G••••• F•••••••• P•••••• C••••••• I•••Sep 5, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from G••••• F•••••••• P•••••• C••••••• I•••Nov 29, 2017 · Sarasota, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• R•••••• R•• · Chief Operating Officercontrolsince 05/2023 · owns less than 5%
- H•••••••• T•••••• R•• · Chief Compliance Officercontrolsince 09/2018 · owns less than 5%
- H•••••• C••••••••• S•••• · Managing Member, President, Ceocontrolsince 07/2013 · owns 75% or more
Related persons
Schedule D 7.A
- H••••• I•••••••• S•••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 12 | 4 | 1 |
Offices
Schedule D 1.F, the 25 largest
- D••••Son, NC7 employees
- Charlotte, NC1 employees
What changed
consecutive filings, newest first
- Accounts · 1,891 to 2,074Jan 6, 2026 to Mar 26, 2026
- Advisory employees · 8 to 11Jan 6, 2026 to Mar 26, 2026
- Corporate clients · unset to 1.0Jan 6, 2026 to Mar 26, 2026
- HNW clients · 113 to 167Jan 6, 2026 to Mar 26, 2026
- Individual clients · 563 to 558Jan 6, 2026 to Mar 26, 2026
- Assets in custody · $118M to $178MJan 6, 2026 to Mar 26, 2026
- Employees · 16 to 18Jan 6, 2026 to Mar 26, 2026
- State-registered IARs · 8 to 11Jan 6, 2026 to Mar 26, 2026
- Discretionary RAUM · $427M to $555MJan 6, 2026 to Mar 26, 2026
- HNW RAUM · $194M to $243MJan 6, 2026 to Mar 26, 2026
- Individual RAUM · $236M to $315MJan 6, 2026 to Mar 26, 2026
- Non-discretionary RAUM · $3.1M to $3.7MJan 6, 2026 to Mar 26, 2026
- RAUM · $430M to $558MJan 6, 2026 to Mar 26, 2026
- Accounts · 1,862 to 1,891Nov 8, 2024 to Apr 25, 2025
- HNW clients · 84 to 113Nov 8, 2024 to Apr 25, 2025
- Individual clients · 570 to 563Nov 8, 2024 to Apr 25, 2025
- Assets in custody · $84.5M to $118MNov 8, 2024 to Apr 25, 2025
- Employees · 15 to 16Nov 8, 2024 to Apr 25, 2025
- Financial planning clients · 1-10 to 1-10Nov 8, 2024 to Apr 25, 2025
- Discretionary RAUM · $325M to $427MNov 8, 2024 to Apr 25, 2025
- HNW RAUM · $122M to $194MNov 8, 2024 to Apr 25, 2025
- Individual RAUM · $204M to $236MNov 8, 2024 to Apr 25, 2025
- Non-discretionary RAUM · $1.5M to $3.1MNov 8, 2024 to Apr 25, 2025
- RAUM · $326M to $430MNov 8, 2024 to Apr 25, 2025
- Accounts · 1,816 to 1,862Nov 14, 2023 to Mar 13, 2024
- Advisory employees · 9 to 8Nov 14, 2023 to Mar 13, 2024
- HNW clients · 58 to 84Nov 14, 2023 to Mar 13, 2024
- Individual clients · 562 to 570Nov 14, 2023 to Mar 13, 2024
- Assets in custody · $58.9M to $84.5MNov 14, 2023 to Mar 13, 2024
- Employees · 14 to 15Nov 14, 2023 to Mar 13, 2024
- State-registered IARs · 9 to 8Nov 14, 2023 to Mar 13, 2024
- Discretionary RAUM · $268M to $325MNov 14, 2023 to Mar 13, 2024
- HNW RAUM · $81.7M to $122MNov 14, 2023 to Mar 13, 2024
- Individual RAUM · $187M to $204MNov 14, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $0 to $1.5MNov 14, 2023 to Mar 13, 2024
- RAUM · $268M to $326MNov 14, 2023 to Mar 13, 2024
- Accounts · 1,550 to 1,816Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 10 to 9Mar 31, 2022 to Mar 31, 2023
- Business name · H••••• P•••••• C••••••• L•• to H••••• W•••••Mar 31, 2022 to Mar 31, 2023
- HNW clients · 70 to 58Mar 31, 2022 to Mar 31, 2023
Signals
6 dated events
- R••••• B••••• left H••••• W••••• for L•••••••• A•••• M••••••••• I••• (registered 2026-08-10)May 1, 2026 · Advisor changed firm · fact
- H••••• W••••• reported RAUM $558.2M, up 30% from $429.7M (2026-01-06 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- H••••• W••••• reported RAUM $429.7M, up 32% from $326.2M (2024-11-08 to 2025-04-25)Apr 25, 2025 · RAUM change · derived
- P•••••• G••••• S•••••• left H••••• W••••• for C• F• P•••• • C••• I••• (registered 2025-01-15)Jan 15, 2025 · Advisor changed firm · fact
- Rae R••••• B••••• (Chief Operating Officer) appeared on Schedule A of H••••• W•••••May 12, 2023 · Control person joined · fact
- H••••• P•••••• C••••••• L•• filed its initial SEC registration (Form ADV)Feb 19, 2016 · 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 phone
- 704-553-0123reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-553-0122reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/hobartfinancialgroupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- hobart.ninjareportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-553-0122reportedpublic record, Form ADV, Jun 30, 2026
- Contact form
- hobartwealth.com/contact-usreportedpublished 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
- $46.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026