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••••••••• F•••••••• A•••••••
Legal name H••••••••• F•••••••• A••••••• L••
Latest filing Sep 15, 2026
First filing on the tape Apr 9, 2024 · 12 filings
SEC status approved since May 10, 2024
RAUM
$229M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$229M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$57.3M
derived; firm RAUM over IAPD count
Employees
29
5 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$229M as of May 7, 2026
Apr 11, 2025$170M then
HNW client RAUM$132M as of May 7, 2026
Apr 11, 2025$89.1M then
State-registered IARs (5.B.3)4 as of May 7, 2026
Apr 11, 20252 then
Employees (5.A)29 as of May 7, 2026
Apr 11, 20259 then
Private funds: no history
RAUM +35% over the last fiscal yearIARs 2 to 4offices 2 to 5
Practice profile
derived from the filing of Sep 15, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $57.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $139,215derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.3derivedItem 5.A over advisors
- Advisors per office
- 0.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $83.0M, 261 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$132M58%
- Individuals$96.9M42%
- Individual clients
- 321reported
- HNW clients
- 61reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,645reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $83.0M for 261 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• D••••Certified Financial Planner | Westlake Village, Ca | Jan 4, 2021 | 12 y | 4 |
| A••••• M•••••• V•• T•••••Certified Financial Planner | Westlake Village, Ca | May 23, 2024 | 10 y | 0 |
| S•••• R• C•••••••Certified Financial Planner | Westlake Village, Ca | Apr 11, 2025 | 14 y | 4 |
| D•••• D•••Certified Financial Planner | San Pedro, Ca | Oct 3, 2025 | 15 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- T••• L•• L•••••• to B••••••••• F••••••••Sep 20, 2024 · RIA to a state-registered adviser
- R••• D•••• to V•••••• A•••••••• I•••Dec 31, 2015 · Other
Joined, latest
- D•••• D••• from R•••••• I••••••••• S•••••••• L••Oct 3, 2025 · Other
- S•••• R• C••••••• from A•••••• P••••••• P•••••••• I•••Apr 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- T••• L•• L•••••• from P••••••• C•••••• A••••••• C•••••••••Jun 7, 2021 · RIA to RIA
- R••• D•••• from A••••••• P••••••• A•••••••• L••Feb 11, 2016 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• R••• · Presidentcontrolsince 11/2013 · owns 75% or more
- M••••••••• G••••••• B••••••• · Chief Compliance Officersince 11/2023 · owns less than 5%
Related persons
Schedule D 7.A
- H••••••••• I•••••••• S•••••••• L••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westlake Village, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 24, 2026RAUM (Item 5.F) moved from $170,227,989 to $229,008,823 (+35.0%) between the annual amendments of 2025-04-11 and 2026-03-24; the peer median change was +15.0% (4550 comparable advisers, 90.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 90% percentile
What changed
consecutive filings, newest first
- Other offices · 4 to 5Sep 2, 2026 to Sep 15, 2026
- Financial planning clients · 51-100 to 51-100May 7, 2026 to Sep 2, 2026
- Other offices · 3 to 4May 7, 2026 to Sep 2, 2026
- Succession · false to unsetMay 7, 2026 to Sep 2, 2026
- Accounts · 1,245 to 1,645Dec 22, 2025 to Feb 20, 2026
- Advisory employees · 3 to 5Dec 22, 2025 to Feb 20, 2026
- HNW clients · 42 to 61Dec 22, 2025 to Feb 20, 2026
- Individual clients · 278 to 321Dec 22, 2025 to Feb 20, 2026
- Assets in custody · $38.9M to $83.0MDec 22, 2025 to Feb 20, 2026
- Employees · 9 to 29Dec 22, 2025 to Feb 20, 2026
- Financial planning clients · 11-25 to 51-100Dec 22, 2025 to Feb 20, 2026
- State-registered IARs · 2 to 4Dec 22, 2025 to Feb 20, 2026
- Other offices · 4 to 3Dec 22, 2025 to Feb 20, 2026
- Discretionary RAUM · $170M to $229MDec 22, 2025 to Feb 20, 2026
- HNW RAUM · $89.1M to $132MDec 22, 2025 to Feb 20, 2026
- Individual RAUM · $81.1M to $96.9MDec 22, 2025 to Feb 20, 2026
- RAUM · $170M to $229MDec 22, 2025 to Feb 20, 2026
- Other offices · 3 to 4Oct 3, 2025 to Dec 22, 2025
- Other offices · 2 to 3Aug 19, 2025 to Oct 3, 2025
- Accounts · 949 to 1,245Sep 24, 2024 to Apr 11, 2025
- Advisory employees · 4 to 3Sep 24, 2024 to Apr 11, 2025
- HNW clients · 28 to 42Sep 24, 2024 to Apr 11, 2025
- Individual clients · 268 to 278Sep 24, 2024 to Apr 11, 2025
- Assets in custody · $47.9M to $38.9MSep 24, 2024 to Apr 11, 2025
- Employees · 11 to 9Sep 24, 2024 to Apr 11, 2025
- Financial planning clients · 51-100 to 11-25Sep 24, 2024 to Apr 11, 2025
- State-registered IARs · 3 to 2Sep 24, 2024 to Apr 11, 2025
- Other offices · 1 to 2Sep 24, 2024 to Apr 11, 2025
- Discretionary RAUM · $123M to $170MSep 24, 2024 to Apr 11, 2025
- HNW RAUM · $58.0M to $89.1MSep 24, 2024 to Apr 11, 2025
- Individual RAUM · $65.0M to $81.1MSep 24, 2024 to Apr 11, 2025
- RAUM · $123M to $170MSep 24, 2024 to Apr 11, 2025
- Other offices · 2 to 1May 24, 2024 to Sep 24, 2024
Signals
2 dated events
- T••• L•• L•••••• left H••••••••• F•••••••• A••••••• for B••••••••• F•••••••• (registered 2024-08-08)Sep 20, 2024 · Advisor changed firm · fact
- H••••••••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)Apr 9, 2024 · 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
- 866-447-2380reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- hippocratic.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-447-2380reportedpublic record, Form ADV, Sep 15, 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
- $57.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026