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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Former SEC-registered adviser
H••• P•••••• W••••• A•••••••
Legal name H••• P•••••• W••••• A•••••••• L••
Latest filing Sep 28, 2023
First filing on the tape Mar 23, 2015 · 23 filings
RAUM
$240M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$236M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$240M as of Feb 16, 2023
Mar 21, 2018$106M then
HNW client RAUM$222M as of Feb 16, 2023
Mar 21, 2018$71.0M then
State-registered IARs (5.B.3)4 as of Feb 16, 2023
Mar 21, 20184 then
Employees (5.A)7 as of Feb 16, 2023
Mar 21, 20185 then
Private funds: no history
RAUM +9.9% over the last fiscal year+23% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Sep 28, 2023; every figure names its basis
- RAUM per advisor
- $60.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $686,474derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 0.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.6%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $240MreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$222M92%
- Individuals$13.9M5.8%
- Pension and profit-sharing plans$4.3M1.8%
- Individual clients
- 45reported
- HNW clients
- 79reported
- Pension plan clients
- 20reported
- Charitable clients
- 0reported
- Accounts
- 350reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- 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
- R•••••• M••••• H••• to A••••••• F••••••••• L•••Dec 7, 2023 · RIA to affiliated broker-dealer or bank
- N•••••• L••• Q••••••• to A••••••• F••••••••• L•••Dec 7, 2023 · RIA to affiliated broker-dealer or bank
- C•••• C•••••••• E•••• to H••••••• W••••• P•••••••Oct 31, 2023 · RIA to RIA
Joined, latest
- N•••••• L••• Q••••••• from E•••• S••••••••• L••Jan 13, 2016 · Other
- R•••••• M••••• H••• from M••••• S••••••Apr 20, 2015 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• A••• H• · Membercontrolsince 08/2023 · owns 50% to 75%
- H•••• R••••••• M••••• · Managing Director And Chief Compliance Officercontrolsince 04/2015 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 0 | 0 | 0 | ||
| Waxhaw, Nc | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 260 to 350Feb 22, 2022 to Feb 16, 2023
- HNW clients · 53 to 79Feb 22, 2022 to Feb 16, 2023
- Individual clients · 73 to 45Feb 22, 2022 to Feb 16, 2023
- Pension plan clients · 14 to 20Feb 22, 2022 to Feb 16, 2023
- Employees · 6 to 7Feb 22, 2022 to Feb 16, 2023
- Financial planning clients · 11-25 to 26-50Feb 22, 2022 to Feb 16, 2023
- Discretionary RAUM · $219M to $240MFeb 22, 2022 to Feb 16, 2023
- HNW RAUM · $182M to $222MFeb 22, 2022 to Feb 16, 2023
- Individual RAUM · $32.2M to $13.9MFeb 22, 2022 to Feb 16, 2023
- Pension RAUM · $4.3M to $4.3MFeb 22, 2022 to Feb 16, 2023
- RAUM · $219M to $240MFeb 22, 2022 to Feb 16, 2023
- Accounts · 237 to 260Mar 26, 2021 to Feb 22, 2022
- Charity clients · unset to 0.0Mar 26, 2021 to Feb 22, 2022
- Corporate clients · unset to 0.0Mar 26, 2021 to Feb 22, 2022
- HNW clients · 75 to 53Mar 26, 2021 to Feb 22, 2022
- Individual clients · 45 to 73Mar 26, 2021 to Feb 22, 2022
- Pension plan clients · 8 to 14Mar 26, 2021 to Feb 22, 2022
- Pooled vehicle clients · unset to 0.0Mar 26, 2021 to Feb 22, 2022
- Financial planning clients · 1-10 to 11-25Mar 26, 2021 to Feb 22, 2022
- Other offices · 1 to 5Mar 26, 2021 to Feb 22, 2022
- Discretionary RAUM · $193M to $219MMar 26, 2021 to Feb 22, 2022
- HNW RAUM · $163M to $182MMar 26, 2021 to Feb 22, 2022
- Individual RAUM · $25.9M to $32.2MMar 26, 2021 to Feb 22, 2022
- Pension RAUM · $4.3M to $4.3MMar 26, 2021 to Feb 22, 2022
- Pooled vehicle RAUM · unset to 0.0Mar 26, 2021 to Feb 22, 2022
- RAUM · $193M to $219MMar 26, 2021 to Feb 22, 2022
- HQ city · SAND DIEGO to SAN DIEGOMar 16, 2021 to Mar 26, 2021
- Accounts · 203 to 237Dec 7, 2020 to Mar 12, 2021
- Advisory employees · 4 to 3Dec 7, 2020 to Mar 12, 2021
- HNW clients · 80 to 75Dec 7, 2020 to Mar 12, 2021
- Individual clients · 22 to 45Dec 7, 2020 to Mar 12, 2021
- Pension plan clients · 4 to 8Dec 7, 2020 to Mar 12, 2021
- Employees · 5 to 6Dec 7, 2020 to Mar 12, 2021
- HQ city · SOLANA BEACH to SAND DIEGODec 7, 2020 to Mar 12, 2021
- Discretionary RAUM · $130M to $193MDec 7, 2020 to Mar 12, 2021
- HNW RAUM · $124M to $163MDec 7, 2020 to Mar 12, 2021
- Individual RAUM · $5.0M to $25.9MDec 7, 2020 to Mar 12, 2021
- Pension RAUM · $1.4M to $4.3MDec 7, 2020 to Mar 12, 2021
- RAUM · $130M to $193MDec 7, 2020 to Mar 12, 2021
- Other offices · 0 to 1Jun 29, 2020 to Dec 7, 2020
Signals
4 dated events
- R•••••• M••••• H••• left H••• P•••••• W••••• A••••••• for A••••••• F••••••••• L••• (registered 2023-11-09)Dec 7, 2023 · Advisor changed firm · fact
- N•••••• L••• Q••••••• left H••• P•••••• W••••• A••••••• for A••••••• F••••••••• L••• (registered 2025-01-01)Dec 7, 2023 · Advisor changed firm · fact
- C•••• C•••••••• E•••• left H••• P•••••• W••••• A••••••• for H••••••• W••••• P••••••• (registered 2023-10-31)Oct 31, 2023 · Advisor changed firm · fact
- H••• P•••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Mar 23, 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.
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