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.

Former SEC-registered adviser

Hayden Royal

Former SEC-registered adviserCharlotte, North CarolinaCRD 170037SEC 801-101516IAPD
Legal name Hayden Royal, LLC
Latest filing Aug 30, 2021
First filing on the tape Dec 12, 2013 · 97 filings
RAUM
$597M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
98%
$584M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
14 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
97 filings and snapshots on the tape
RAUM$597M as of Mar 31, 2021
Apr 23, 2014$0 then
HNW client RAUM$286M as of Mar 31, 2021
Feb 6, 2018$146M then
State-registered IARs (5.B.3)16 as of Mar 31, 2021
Apr 23, 20140 then
Employees (5.A)21 as of Mar 31, 2021
Apr 23, 20141 then
Private funds: 1
RAUM -56% over the last fiscal year-27% a year over threeIARs 19 to 16
Practice profile
derived from the filing of Aug 30, 2021; every figure names its basis
RAUM per advisor
$37.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
118derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$546,954derivedHNW RAUM over HNW clients
Average account
$183,683derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.8derived9 offices incl. principal (1.F.5)
RAUM growth, one year
-56%derivedbetween the last two annual amendments
Advisor growth, one year
-16%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$298M50%
  • High-net-worth individuals$286M48%
  • Pension and profit-sharing plans$8.3M1.4%
  • Corporations and businesses$4.2M0.7%
  • Charitable organizations$31,2890.0%
Individual clients
1,363reported
HNW clients
523reported
Pension plan clients
14reported
Charitable clients
1reported
Accounts
3,248reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourly, commissionsreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Everglades Global Opportunities Fund LPno longer reportedHedge Fund$5.1M17Jan 16, 2018
Owners and control persons
Schedule A and B, latest filing
  • David Louis Dworsky · Membercontrol
    since 01/2016 · owns 10% to 25%
  • David Louis Dworsky · Partnercontrol
    since 01/2018 · owns 25% to 50% of Zermatt Holdings, LLC
  • Phillip Joseph Arce · Chief Compliance Officer
    since 07/2020 · owns less than 5%
  • Scott Brian Langley · Member
    since 10/2014 · owns less than 5%
  • Christopher Brandon Oliver · Member
    since 01/2016 · owns less than 5%
Entity owners
  • Zermatt Holdings, LLC · Member
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Wilmington, NC2 employees
  • St. Louis, MO2 employees
  • Towson, MD2 employees
  • Corinth, MS2 employees
  • Scottsdale, AZ2 employees
  • Greenville, NC1 employees
  • Roseville, CA1 employees
  • Tampa, FL1 employees
What changed
consecutive filings, newest first
  • Accounts · 3,125 to 3,248
    Nov 20, 2020 to Mar 31, 2021
  • Advisory employees · 19 to 14
    Nov 20, 2020 to Mar 31, 2021
  • BD registered reps · 8 to 5
    Nov 20, 2020 to Mar 31, 2021
  • Charity clients · unset to 1.0
    Nov 20, 2020 to Mar 31, 2021
  • Corporate clients · unset to 19.0
    Nov 20, 2020 to Mar 31, 2021
  • HNW clients · unset to 523.0
    Nov 20, 2020 to Mar 31, 2021
  • Individual clients · 1,696 to 1,363
    Nov 20, 2020 to Mar 31, 2021
  • Pension plan clients · unset to 14.0
    Nov 20, 2020 to Mar 31, 2021
  • Commission compensation · false to true
    Nov 20, 2020 to Mar 31, 2021
  • Employees · 32 to 21
    Nov 20, 2020 to Mar 31, 2021
  • Insurance-licensed employees · 1 to 11
    Nov 20, 2020 to Mar 31, 2021
  • State-registered IARs · 19 to 16
    Nov 20, 2020 to Mar 31, 2021
  • Other offices · 9 to 8
    Nov 20, 2020 to Mar 31, 2021
  • Discretionary RAUM · $635M to $545M
    Nov 20, 2020 to Mar 31, 2021
  • HNW RAUM · unset to 286056707.0
    Nov 20, 2020 to Mar 31, 2021
  • Individual RAUM · $635M to $298M
    Nov 20, 2020 to Mar 31, 2021
  • Non-discretionary RAUM · $0 to $51.3M
    Nov 20, 2020 to Mar 31, 2021
  • Pension RAUM · unset to 8269853.0
    Nov 20, 2020 to Mar 31, 2021
  • RAUM · $635M to $597M
    Nov 20, 2020 to Mar 31, 2021
  • Wrap assets (manager) · 445034.0 to unset
    Nov 20, 2020 to Mar 31, 2021
  • Wrap assets (sponsor) · 0.0 to unset
    Nov 20, 2020 to Mar 31, 2021
  • Accounts · 2,601 to 3,125
    Aug 20, 2020 to Sep 21, 2020
  • Individual clients · 1,325 to 1,696
    Aug 20, 2020 to Sep 21, 2020
  • Discretionary RAUM · $1.4B to $635M
    Aug 20, 2020 to Sep 21, 2020
  • Individual RAUM · $1.4B to $635M
    Aug 20, 2020 to Sep 21, 2020
  • RAUM · $1.4B to $635M
    Aug 20, 2020 to Sep 21, 2020
  • Other offices · 8 to 9
    May 14, 2020 to May 29, 2020
  • Accounts · 3,080 to 2,601
    Feb 13, 2020 to Mar 31, 2020
  • Charity clients · 1.0 to unset
    Feb 13, 2020 to Mar 31, 2020
  • Corporate clients · 56.0 to unset
    Feb 13, 2020 to Mar 31, 2020
  • HNW clients · 56.0 to unset
    Feb 13, 2020 to Mar 31, 2020
  • Individual clients · 2,943 to 1,325
    Feb 13, 2020 to Mar 31, 2020
  • Pension plan clients · 24.0 to unset
    Feb 13, 2020 to Mar 31, 2020
  • Discretionary RAUM · $546M to $1.4B
    Feb 13, 2020 to Mar 31, 2020
  • HNW RAUM · 99714006.0 to unset
    Feb 13, 2020 to Mar 31, 2020
  • Individual RAUM · $399M to $1.4B
    Feb 13, 2020 to Mar 31, 2020
  • Pension RAUM · 10323819.0 to unset
    Feb 13, 2020 to Mar 31, 2020
  • RAUM · $546M to $1.4B
    Feb 13, 2020 to Mar 31, 2020
  • Other offices · 12 to 8
    Nov 8, 2019 to Jan 7, 2020
  • Related broker-dealer · false to true
    Nov 8, 2019 to Jan 7, 2020
Signals
23 dated events
  • Randy G Kolenda left Hayden Royal for Resurgent Advisors (registered 2022-02-17)
    Mar 31, 2022 · Advisor changed firm · fact
  • Michelle L Cavallero left Hayden Royal for Resurgent Advisors (registered 2022-02-16)
    Mar 31, 2022 · Advisor changed firm · fact
  • Louis David Dworsky left Hayden Royal for Zermatt Wealth Partners (registered 2021-12-12)
    Mar 31, 2022 · Advisor changed firm · fact
  • Matthew Thomas Nadeau left Hayden Royal for Resurgent Advisors (registered 2022-02-16)
    Mar 31, 2022 · Advisor changed firm · fact
  • 2 advisors left Hayden Royal (Roseville, CA) for Resurgent Advisors on the same day
    Mar 31, 2022 · Team lift-out · derived
  • Gary G Garcia left Hayden Royal for Resurgent Advisors (registered 2022-01-31)
    Feb 25, 2022 · Advisor changed firm · fact
  • Daniel Leroy Taylor left Hayden Royal for Resurgent Advisors (registered 2022-01-31)
    Feb 25, 2022 · Advisor changed firm · fact
  • Thomas Ralph Mayes (Member) no longer on Schedule A of Hayden Royal (listed 2021-03-31, absent 2021-04-28)
    Apr 28, 2021 · Control person left · inference
  • Meyer Dworsky (Member) no longer on Schedule A of Hayden Royal (listed 2021-03-31, absent 2021-04-28)
    Apr 28, 2021 · Control person left · inference
  • Hayden Royal reported RAUM $634.9M, down 53% from $1.4B (2020-08-20 to 2020-09-21)
    Sep 21, 2020 · RAUM change · derived
  • Hayden Royal reported RAUM $1.4B, up 148% from $546.4M (2020-02-13 to 2020-03-31)
    Mar 31, 2020 · RAUM change · derived
  • Margaret Sarah Westbrook (Cco) no longer on Schedule A of Hayden Royal (listed 2020-01-07, absent 2020-02-13)
    Feb 13, 2020 · Control person left · inference
  • Hayden Royal reported 12 offices beyond its principal office, down from 23 (2018-11-05 to 2019-02-08)
    Feb 8, 2019 · Office count change · derived
  • Margaret Sarah Westbrook (Cco) appeared on Schedule A of Hayden Royal
    Feb 8, 2019 · Control person joined · fact
  • Thomas Ralph Mayes (Member) appeared on Schedule A of Hayden Royal
    Feb 8, 2019 · Control person joined · fact
  • Meyer Dworsky (Member) appeared on Schedule A of Hayden Royal
    Feb 8, 2019 · Control person joined · fact
  • Michael Justin Hines (Cco) no longer on Schedule A of Hayden Royal (listed 2018-11-05, absent 2019-02-08)
    Feb 8, 2019 · Control person left · inference
  • Hayden Royal reported 26 state-registered advisory representatives, up from 1 (2018-07-27 to 2018-07-30)
    Jul 30, 2018 · Advisor headcount change · derived
  • Hayden Royal reported 23 offices beyond its principal office, down from 37 (2018-06-05 to 2018-07-27)
    Jul 27, 2018 · Office count change · derived
  • Hayden Royal reported RAUM $745.9M, down 50% from $1.5B (2018-06-05 to 2018-07-27)
    Jul 27, 2018 · RAUM change · derived
  • Hayden Royal reported RAUM $1.5B, up 49% from $1.0B (2018-02-01 to 2018-02-06)
    Feb 6, 2018 · RAUM change · derived
  • Great Lakes & Atlantic Wealth Management And Advisory Partners filed its initial SEC registration (Form ADV)
    Jul 13, 2015 · First SEC registration · fact
  • Great Lakes Wealth Management And Advisory Partners, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Aug 29, 2014 · Succession (Item 4) · 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