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•••••••• S•••••••• L••

Independent wealth managerHerndon, VirginiaCRD 173195SEC 801-80866websiteIAPD
Latest filing Jul 9, 2026
First filing on the tape Jan 9, 2015 · 35 filings
SEC status approved since Feb 2, 2015
RAUM
$760M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$760M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$84.4M
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$760M as of Jul 9, 2026
Feb 9, 2016$139M then
HNW client RAUM$574M as of Jul 9, 2026
Feb 27, 2018$119M then
State-registered IARs (5.B.3)7 as of Jul 9, 2026
Feb 9, 20163 then
Employees (5.A)12 as of Jul 9, 2026
Feb 9, 20166 then
Private funds: no history
RAUM +23% over the last fiscal year+24% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Jul 9, 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
  • PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$84.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
93derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$326,512derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Financial planning clients
700reportedItem 5.H
Wrap fee program
$760MreportedItem 5.I
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$574M76%
  • Individuals$186M24%
  • Charitable organizations$268,6050.0%
Individual clients
557reported
HNW clients
282reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
2,327reported
Financial planning clients
700reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
P••• T••••• H•••••Herndon, VaFeb 5, 201543 y2
D••••• S•••• H•••••Certified Financial PlannerHerndon, VaFeb 5, 201529 y2
P•••••• T••••• H•••••Certified Financial PlannerHerndon, VaSep 28, 201511 y0
J• A•• C•••• W••••••••Herndon, VaNov 9, 201732 y0
B••••••• B•••• M•••••••Certified Financial PlannerHerndon, VaAug 17, 201813 y0
P•••••• M••••Herndon, VaOct 19, 201810 y0
H•••••• L• W•••••Certified Financial PlannerHerndon, VaSep 20, 202122 y0
E•••• M•••••••Herndon, VaMay 1, 202610 y0
K••••••• A••••••• F••••••••Herndon, VaMay 28, 202613 y0
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••••• D•••••• S•••• · Managing Membercontrol
      since 05/2009 · owns less than 5%
    • H•••••• P••••••• T••••• · Managing Membercontrol
      since 06/2016 · owns less than 5%
    • H•••••• P•••• T••••• · Managing Membercontrol
      since 05/2009 · owns less than 5%
    • W••••••••• J• A••• C•••• · Chief Compliance Officercontrol
      since 10/2017 · owns less than 5%
    Entity owners
    • B••••••••• W••••• P•••••••• L•• · Partnership
      direct · owns 75% or more
    • K••••• A•••••• S••••••• H••••••• A• I••• · Owner
      indirect · owns 75% or more of K••••• A•••••• S••••••• H••••••• B• I•••
    • K••••• A•••••• S••••••• H••••••• B• I••• · Owner
      indirect · owns 75% or more of K••••• A•••••• S••••••• H••••••• C• I•••
    • K••••• A•••••• S••••••• H••••••• C• I••• · Owner
      indirect · owns 75% or more of K••••• F••••••••• I•••
    • K••••• F••••••••• I••• · Owner
      indirect · owns 75% or more of B••••••••• W••••• P•••••••• L••
    • K••••••••• H•••••• G•• L•• · General Partner
      indirect · owns F of K••••••••• H•••••• L•••
    • K••••••••• H•••••• L••• · Owner
      indirect · owns 75% or more of K••••••••• A• I•••
    • K••••••••• A• I••• · Owner
      indirect · owns 75% or more of K••••••••• B• I•••
    • K••••••••• B• I••• · Owner
      indirect · owns 75% or more of K••••• A•••••• S••••••• H••••••• A• I•••
    • O•• H••• C•••••• P••••••• V• ••••••••• L••• · Limited Partner
      indirect · owns 25% to 50% of O••• V• E••• A••••••••• L•••
    • O•• H••• C•••••• P••••••• V• ••••••• L••• · Limited Partner
      indirect · owns 25% to 50% of O••• V• E••• A••••••••• L•••
    • O••• V• E••• A••••••••• L••• · Limited Partner
      indirect · owns 25% to 50% of K••••••••• H•••••• L•••
    • W•••••• P••••• F•••••••• S•••••• L••• · Limited Partner
      indirect · owns 25% to 50% of K••••••••• H•••••• L•••
    Related persons
    Schedule D 7.A
    Advisers that list H••••• F•••••••• S•••••••• L•• as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Herndon, Va · principal920
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 2,110 to 2,327
      Oct 3, 2025 to Feb 10, 2026
    • Charity clients · unset to 1.0
      Oct 3, 2025 to Feb 10, 2026
    • HNW clients · 243 to 282
      Oct 3, 2025 to Feb 10, 2026
    • Individual clients · 527 to 557
      Oct 3, 2025 to Feb 10, 2026
    • Employees · 10 to 12
      Oct 3, 2025 to Feb 10, 2026
    • Discretionary RAUM · $606M to $748M
      Oct 3, 2025 to Feb 10, 2026
    • HNW RAUM · $442M to $574M
      Oct 3, 2025 to Feb 10, 2026
    • Individual RAUM · $175M to $186M
      Oct 3, 2025 to Feb 10, 2026
    • Non-discretionary RAUM · $10.4M to $12.1M
      Oct 3, 2025 to Feb 10, 2026
    • RAUM · $616M to $760M
      Oct 3, 2025 to Feb 10, 2026
    • Financial planning clients · More than 500 to More than 500
      Mar 21, 2025 to Jul 7, 2025
    • Accounts · 2,739 to 2,110
      Oct 10, 2024 to Mar 21, 2025
    • Advisory employees · 7 to 6
      Oct 10, 2024 to Mar 21, 2025
    • Advisory activities · 2 to 4
      Oct 10, 2024 to Mar 21, 2025
    • HNW clients · 94 to 243
      Oct 10, 2024 to Mar 21, 2025
    • Individual clients · 622 to 527
      Oct 10, 2024 to Mar 21, 2025
    • Discretionary RAUM · $470M to $606M
      Oct 10, 2024 to Mar 21, 2025
    • HNW RAUM · $214M to $442M
      Oct 10, 2024 to Mar 21, 2025
    • Individual RAUM · $296M to $175M
      Oct 10, 2024 to Mar 21, 2025
    • Non-discretionary RAUM · $40.3M to $10.4M
      Oct 10, 2024 to Mar 21, 2025
    • RAUM · $510M to $616M
      Oct 10, 2024 to Mar 21, 2025
    • Related adviser · false to true
      May 2, 2024 to Jul 16, 2024
    • Related broker-dealer · false to true
      May 2, 2024 to Jul 16, 2024
    • Succession · true to false
      Jan 30, 2024 to Apr 19, 2024
    • Accounts · 1,740 to 2,739
      Mar 16, 2023 to Jan 30, 2024
    • Advisory employees · 6 to 7
      Mar 16, 2023 to Jan 30, 2024
    • HNW clients · 160 to 94
      Mar 16, 2023 to Jan 30, 2024
    • Individual clients · 516 to 622
      Mar 16, 2023 to Jan 30, 2024
    • Financial planning clients · unset to More than 500
      Mar 16, 2023 to Jan 30, 2024
    • Discretionary RAUM · $392M to $470M
      Mar 16, 2023 to Jan 30, 2024
    • HNW RAUM · $259M to $214M
      Mar 16, 2023 to Jan 30, 2024
    • Individual RAUM · $141M to $296M
      Mar 16, 2023 to Jan 30, 2024
    • Non-discretionary RAUM · $8.2M to $40.3M
      Mar 16, 2023 to Jan 30, 2024
    • RAUM · $400M to $510M
      Mar 16, 2023 to Jan 30, 2024
    • Succession · false to true
      Mar 16, 2023 to Jan 30, 2024
    • Accounts · 2,107 to 1,740
      Aug 4, 2022 to Mar 10, 2023
    • HNW clients · 155 to 160
      Aug 4, 2022 to Mar 10, 2023
    • Individual clients · 458 to 516
      Aug 4, 2022 to Mar 10, 2023
    • Employees · 9 to 10
      Aug 4, 2022 to Mar 10, 2023
    • Discretionary RAUM · $425M to $392M
      Aug 4, 2022 to Mar 10, 2023
    Signals
    3 dated events
    • H••••• F•••••••• S•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jan 30, 2024 · Succession (Item 4) · fact
    • H••••• F•••••••• S•••••••• L•• reported RAUM $510.0M, up 28% from $399.8M (2023-03-16 to 2024-01-30)
      Jan 30, 2024 · RAUM change · derived
    • H••••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
      Jan 9, 2015 · 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
    clientservices@h4fs.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business email
    mhughes@h4fs.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business email
    edwyer@h4fs.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business email
    kdelgallo@h4fs.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business email
    shughes@h4fs.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business phone
    703-669-3660reportedpublished by the firm, firm site, Sep 15, 2026
    Website
    H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    703-669-3660reportedpublic record, Form ADV, Jul 9, 2026
    Contact form
    h4fs.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
    Team page
    h4fs.com/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
    $84.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026