DFX Intelligence
RIA Intelligence
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SEC-registered adviser
H•••••• G••••• A•••••••
Legal name H•••••• G••••• A•••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Feb 6, 2020 · 10 filings
SEC status approved since Mar 6, 2020
RAUM
$221M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
90%
$200M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$221M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$221M as of Mar 12, 2026
Feb 22, 2021$121M then
HNW client RAUM$173M as of Mar 12, 2026
Feb 22, 2021$91.9M then
State-registered IARs (5.B.3)1 as of Mar 12, 2026
Feb 22, 20211 then
Employees (5.A)2 as of Mar 12, 2026
Feb 22, 20212 then
Private funds: no history
RAUM +14% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 12, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $221MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 144derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $492,872derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $213MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$173M78%
- Individuals$27.1M12%
- Corporations and businesses$15.0M6.8%
- Pension and profit-sharing plans$6.0M2.7%
- Individual clients
- 92reported
- HNW clients
- 52reported
- Pension plan clients
- 3reported
- Charitable clients
- 0reported
- Accounts
- 449reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• W••••• P•••••••• | Dallas, Tx | May 20, 2014 | 34 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J•••••• W••••• P•••••••• from L•• F•••••••• L••May 20, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• J••••••• W••••• · President And Chief Compliance Officercontrolsince 01/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 466 to 449Mar 3, 2025 to Feb 27, 2026
- BD registered reps · 1 to 0Mar 3, 2025 to Feb 27, 2026
- Individual clients · 76 to 92Mar 3, 2025 to Feb 27, 2026
- Discretionary RAUM · $187M to $213MMar 3, 2025 to Feb 27, 2026
- HNW RAUM · $158M to $173MMar 3, 2025 to Feb 27, 2026
- Individual RAUM · $24.1M to $27.1MMar 3, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $7.3M to $8.5MMar 3, 2025 to Feb 27, 2026
- Pension RAUM · $5.0M to $6.0MMar 3, 2025 to Feb 27, 2026
- RAUM · $194M to $221MMar 3, 2025 to Feb 27, 2026
- Accounts · 480 to 466Feb 7, 2024 to Mar 3, 2025
- Corporate clients · 6 to 7Feb 7, 2024 to Mar 3, 2025
- HNW clients · 53 to 52Feb 7, 2024 to Mar 3, 2025
- Individual clients · 82 to 76Feb 7, 2024 to Mar 3, 2025
- Financial planning clients · 0 to 0Feb 7, 2024 to Mar 3, 2025
- Discretionary RAUM · $159M to $187MFeb 7, 2024 to Mar 3, 2025
- HNW RAUM · $132M to $158MFeb 7, 2024 to Mar 3, 2025
- Individual RAUM · $21.0M to $24.1MFeb 7, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $5.9M to $7.3MFeb 7, 2024 to Mar 3, 2025
- Pension RAUM · $4.0M to $5.0MFeb 7, 2024 to Mar 3, 2025
- RAUM · $165M to $194MFeb 7, 2024 to Mar 3, 2025
- Accounts · 481 to 480Feb 22, 2023 to Feb 7, 2024
- Corporate clients · 1 to 6Feb 22, 2023 to Feb 7, 2024
- HNW clients · 54 to 53Feb 22, 2023 to Feb 7, 2024
- Individual clients · 98 to 82Feb 22, 2023 to Feb 7, 2024
- Discretionary RAUM · $133M to $159MFeb 22, 2023 to Feb 7, 2024
- HNW RAUM · $116M to $132MFeb 22, 2023 to Feb 7, 2024
- Individual RAUM · $16.8M to $21.0MFeb 22, 2023 to Feb 7, 2024
- Non-discretionary RAUM · $5.2M to $5.9MFeb 22, 2023 to Feb 7, 2024
- Pension RAUM · $5.2M to $4.0MFeb 22, 2023 to Feb 7, 2024
- RAUM · $138M to $165MFeb 22, 2023 to Feb 7, 2024
- Accounts · 411 to 481Aug 24, 2022 to Feb 22, 2023
- HNW clients · 59 to 54Aug 24, 2022 to Feb 22, 2023
- Individual clients · 76 to 98Aug 24, 2022 to Feb 22, 2023
- Discretionary RAUM · $142M to $133MAug 24, 2022 to Feb 22, 2023
- HNW RAUM · $120M to $116MAug 24, 2022 to Feb 22, 2023
- Individual RAUM · $21.2M to $16.8MAug 24, 2022 to Feb 22, 2023
- Non-discretionary RAUM · $5.9M to $5.2MAug 24, 2022 to Feb 22, 2023
- Pension RAUM · $5.9M to $5.2MAug 24, 2022 to Feb 22, 2023
- RAUM · $148M to $138MAug 24, 2022 to Feb 22, 2023
- Accounts · 403 to 411Feb 22, 2021 to Feb 12, 2022
Signals
1 dated events
- H•••••• G••••• A••••••• filed its initial SEC registration (Form ADV)Feb 6, 2020 · 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
- i•••@h••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 972-499-8275reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- h••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (972) 499-8278reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- h••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $221Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026