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••••••••• C•••••• A•••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Nov 3, 2017 · 25 filings
SEC status approved since Dec 7, 2017
RAUM
$206M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$190M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$206M as of Mar 23, 2026
Feb 28, 2018$130M then
HNW client RAUM$114M as of Mar 23, 2026
Feb 28, 2018$67.7M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Feb 28, 20183 then
Employees (5.A)2 as of Mar 23, 2026
Feb 28, 20187 then
Private funds: no history
RAUM +7.2% over the last fiscal year+8.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 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
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 135derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $236,490derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $862,781, 5 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$114M55%
- Individuals$76.3M37%
- Pension and profit-sharing plans$15.8M7.7%
- Corporations and businesses$138,3450.1%
- Charitable organizations$73,1550.0%
- Individual clients
- 216reported
- HNW clients
- 53reported
- Pension plan clients
- 13reported
- Charitable clients
- 1reported
- Accounts
- 871reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $862,781 for 5 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• A••• M••••••Certified Financial Planner | Palm Desert, Ca | Sep 2, 2015 | 28 y | 3 |
| J•••• E••••• E••••• | Oxnard, Ca | Jun 15, 2017 | 18 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•••• E••••• E••••• from K••• F•••••••• G••••• I•••Jun 15, 2017 · Other
- M••••• A••• M•••••• from G••••• S••••••••• I•••Sep 2, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• M•••••• A••• · Managing Partner/Chief Compliance Officercontrolsince 07/2021 · owns less than 5%
- M••••••• M•••••• A••• · President/Ceo/Secretary/Cfo/Director/Ownercontrolsince 05/2016 · owns 75% or more of H•• H••••••• C•••
Entity owners
- H•• H••••••• C••• · Memberdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Palm Desert, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Oxnard, CA3 employees
- Torrance, CA2 employees
What changed
consecutive filings, newest first
- Accounts · 811 to 871Mar 26, 2025 to Mar 23, 2026
- HNW clients · 55 to 53Mar 26, 2025 to Mar 23, 2026
- Individual clients · 211 to 216Mar 26, 2025 to Mar 23, 2026
- Pension plan clients · 12 to 13Mar 26, 2025 to Mar 23, 2026
- Assets in custody · $861,309 to $862,781Mar 26, 2025 to Mar 23, 2026
- Discretionary RAUM · $192M to $206MMar 26, 2025 to Mar 23, 2026
- HNW RAUM · $105M to $114MMar 26, 2025 to Mar 23, 2026
- Individual RAUM · $74.0M to $76.3MMar 26, 2025 to Mar 23, 2026
- Pension RAUM · $12.5M to $15.8MMar 26, 2025 to Mar 23, 2026
- RAUM · $192M to $206MMar 26, 2025 to Mar 23, 2026
- Accounts · 782 to 811Mar 28, 2024 to Mar 26, 2025
- Advisory employees · 3 to 2Mar 28, 2024 to Mar 26, 2025
- Corporate clients · 0 to 1Mar 28, 2024 to Mar 26, 2025
- HNW clients · 50 to 55Mar 28, 2024 to Mar 26, 2025
- Individual clients · 208 to 211Mar 28, 2024 to Mar 26, 2025
- Pension plan clients · 10 to 12Mar 28, 2024 to Mar 26, 2025
- Assets in custody · $582,164 to $861,309Mar 28, 2024 to Mar 26, 2025
- Employees · 3 to 2Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · 51-100 to 51-100Mar 28, 2024 to Mar 26, 2025
- State-registered IARs · 3 to 2Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $171M to $192MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $89.0M to $105MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $76.6M to $74.0MMar 28, 2024 to Mar 26, 2025
- Pension RAUM · $5.4M to $12.5MMar 28, 2024 to Mar 26, 2025
- RAUM · $171M to $192MMar 28, 2024 to Mar 26, 2025
- Accounts · 804 to 782Mar 29, 2023 to Mar 28, 2024
- HNW clients · 60 to 50Mar 29, 2023 to Mar 28, 2024
- Individual clients · 236 to 208Mar 29, 2023 to Mar 28, 2024
- Pension plan clients · 0 to 10Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $5.8M to $582,164Mar 29, 2023 to Mar 28, 2024
- Financial planning clients · 101-250 to 51-100Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $160M to $171MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $87.1M to $89.0MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $73.4M to $76.6MMar 29, 2023 to Mar 28, 2024
- Pension RAUM · $0 to $5.4MMar 29, 2023 to Mar 28, 2024
- RAUM · $160M to $171MMar 29, 2023 to Mar 28, 2024
- Accounts · 705 to 804Nov 7, 2022 to Mar 29, 2023
- HNW clients · 56 to 60Nov 7, 2022 to Mar 29, 2023
- Individual clients · 226 to 236Nov 7, 2022 to Mar 29, 2023
- Assets in custody · $5.7M to $5.8MNov 7, 2022 to Mar 29, 2023
Signals
2 dated events
- Martin Vance Boucher (Managing Member/President) no longer on Schedule A of H••••••••• C•••••• A•••••••• L•• (listed 2021-08-09, absent 2021-12-15)Dec 15, 2021 · Control person left · inference
- H••••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 3, 2017 · 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
- hardworking_capital_team@hardworkingcapital.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 310-601-7832reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 760-340-3277reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 805-650-7654reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/hardworking-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- hardworkingcapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (760) 340-3277reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- hardworkingcapital.com/contactreportedpublished 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
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026