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••••• M••••••••• L••

Independent wealth managerFishers, IndianaCRD 170839SEC 801-120494websiteIAPD
Latest filing Feb 27, 2026
First filing on the tape Feb 9, 2021 · 19 filings
SEC status approved since Mar 11, 2021
RAUM
$306M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$303M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$51.0M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$306M as of Feb 27, 2026
Mar 23, 2021$113M then
HNW client RAUM$266M as of Feb 27, 2026
Mar 23, 2021$80.5M then
State-registered IARs (5.B.3)6 as of Feb 27, 2026
Mar 23, 20213 then
Employees (5.A)9 as of Feb 27, 2026
Mar 23, 20214 then
Private funds: no history
RAUM +30% over the last fiscal year+29% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Feb 27, 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
  • 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
$51.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
26derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$507,929derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+30%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+11%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$266M87%
  • Individuals$36.6M12%
  • Corporations and businesses$2.8M0.9%
Individual clients
85reported
HNW clients
72reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
602reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
H••••• M••••• H•••••••••Certified Financial PlannerSan Juan, Pr Jul 16, 201618 y1
J••••••• K•• R•••Certified Financial PlannerFishers, In Nov 30, 201718 y2
A••••• N••••• H••••Certified Financial PlannerFishers, In Apr 21, 202014 y0
A••••• B•••••••Certified Financial PlannerCovington, Ga Sep 4, 202412 y1
H•••••• K•• W••••••••Certified Financial PlannerBend, Or Sep 4, 202410 y1
R••••• J•••• H•••••••••Dorado, Pr Feb 24, 202533 y1
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 headcount1 left over 36 months
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H••••••••• H•••••• M••••• · Managing Membercontrol
    since 04/2014 · owns 75% or more
  • R•••• J•••••••• K•• · Senior Advisor And Chief Compliance Officercontrol
    since 03/2021 · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Fishers, In · principal600
Dorado, Pr200
Offices
Schedule D 1.F, the 25 largest
  • San Jose, CA3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • low discretionary shareStatic outlier · filing Feb 27, 2026
    discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)
    peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 522 to 602
    Oct 22, 2025 to Feb 27, 2026
  • Advisory employees · 5 to 6
    Oct 22, 2025 to Feb 27, 2026
  • HNW clients · 51 to 72
    Oct 22, 2025 to Feb 27, 2026
  • Individual clients · 91 to 85
    Oct 22, 2025 to Feb 27, 2026
  • Employees · 7 to 9
    Oct 22, 2025 to Feb 27, 2026
  • State-registered IARs · 5 to 6
    Oct 22, 2025 to Feb 27, 2026
  • HNW RAUM · $193M to $266M
    Oct 22, 2025 to Feb 27, 2026
  • Individual RAUM · $40.4M to $36.6M
    Oct 22, 2025 to Feb 27, 2026
  • Non-discretionary RAUM · $236M to $306M
    Oct 22, 2025 to Feb 27, 2026
  • RAUM · $236M to $306M
    Oct 22, 2025 to Feb 27, 2026
  • Financial planning clients · 0 to 0
    Jan 31, 2025 to Oct 22, 2025
  • Accounts · 485 to 522
    Nov 19, 2024 to Jan 31, 2025
  • Corporate clients · 3 to 1
    Nov 19, 2024 to Jan 31, 2025
  • HNW clients · 41 to 51
    Nov 19, 2024 to Jan 31, 2025
  • Individual clients · 98 to 91
    Nov 19, 2024 to Jan 31, 2025
  • Financial planning clients · 1-10 to 0
    Nov 19, 2024 to Jan 31, 2025
  • HNW RAUM · $123M to $193M
    Nov 19, 2024 to Jan 31, 2025
  • Individual RAUM · $40.6M to $40.4M
    Nov 19, 2024 to Jan 31, 2025
  • Non-discretionary RAUM · $169M to $236M
    Nov 19, 2024 to Jan 31, 2025
  • RAUM · $169M to $236M
    Nov 19, 2024 to Jan 31, 2025
  • Related adviser · false to true
    Sep 4, 2024 to Nov 19, 2024
  • Advisory employees · 3 to 5
    May 20, 2024 to Sep 4, 2024
  • Employees · 5 to 7
    May 20, 2024 to Sep 4, 2024
  • State-registered IARs · 3 to 5
    May 20, 2024 to Sep 4, 2024
  • Advisory employees · 4 to 3
    Mar 24, 2024 to May 20, 2024
  • Employees · 6 to 5
    Mar 24, 2024 to May 20, 2024
  • State-registered IARs · 4 to 3
    Mar 24, 2024 to May 20, 2024
  • Accounts · 466 to 485
    Jan 22, 2024 to Mar 24, 2024
  • HNW clients · 40 to 41
    Jan 22, 2024 to Mar 24, 2024
  • Individual clients · 99 to 98
    Jan 22, 2024 to Mar 24, 2024
  • Employees · 5 to 6
    Jan 22, 2024 to Mar 24, 2024
  • Financial planning clients · 11-25 to 1-10
    Jan 22, 2024 to Mar 24, 2024
  • HQ city · SAN JOSE to FISHERS
    Jan 22, 2024 to Mar 24, 2024
  • HQ state · CA to IN
    Jan 22, 2024 to Mar 24, 2024
  • Other offices · 0 to 1
    Jan 22, 2024 to Mar 24, 2024
  • HNW RAUM · $101M to $123M
    Jan 22, 2024 to Mar 24, 2024
  • Individual RAUM · $37.7M to $40.6M
    Jan 22, 2024 to Mar 24, 2024
  • Non-discretionary RAUM · $143M to $169M
    Jan 22, 2024 to Mar 24, 2024
  • RAUM · $143M to $169M
    Jan 22, 2024 to Mar 24, 2024
  • Succession · true to false
    Dec 5, 2023 to Jan 22, 2024
Signals
5 dated events
  • B••••• A•• R•••••• left H••••••••• W••••• M••••••••• L•• for B• W••••• M••••••••• (registered 2025-09-29)
    Mar 28, 2024 · Advisor changed firm · fact
  • H••••••••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Dec 5, 2023 · Succession (Item 4) · fact
  • S•••••• B•••••• G••••••• left H••••••••• W••••• M••••••••• L•• for Facet (registered 2023-05-17)
    May 14, 2023 · Advisor changed firm · fact
  • Kay Jennifer Rupp (Senior Advisor And Chief Compliance Officer) appeared on Schedule A of H••••••••• W••••• M••••••••• L••
    Mar 23, 2021 · Control person joined · fact
  • H••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Feb 9, 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
Website
hendershottwealth.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
877-743-6500reportedpublic record, Form ADV, Feb 27, 2026
Team page
hendershottwealth.com/who-we-are/our-teamreportedpublished by the firm, firm site, 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
$51.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026