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RIA Intelligence

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SEC-registered adviser

H•••• • A••••••••• W••••• M•••••••••

Independent wealth managerThousand Oaks, CaliforniaCRD 282005SEC 801-125790websiteIAPD
Legal name H•••• • A••••••••• I•••
Latest filing Feb 20, 2026
First filing on the tape May 3, 2022 · 7 filings
SEC status approved since Jun 2, 2022
RAUM
$216M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$216M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$72.1M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$216M as of Feb 20, 2026
Feb 22, 2023$119M then
HNW client RAUM$75.5M as of Feb 20, 2026
Feb 22, 2023$55.1M then
State-registered IARs (5.B.3)2 as of Feb 20, 2026
Feb 22, 20232 then
Employees (5.A)4 as of Feb 20, 2026
Feb 22, 20233 then
Private funds: no history
RAUM +24% over the last fiscal year+22% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 20, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$72.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
100derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$721,285derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-14%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$141M65%
  • High-net-worth individuals$75.5M35%
Individual clients
245reported
HNW clients
55reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
300reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••••• R••••• H••••Certified Financial Planner, Chartered Financial ConsultantThousand Oaks, CaFeb 22, 201621 y2
M•••• L••• V••••••Thousand Oaks, Ca Feb 22, 201619 y1
R••• L••• C•••Thousand Oaks, CaAug 26, 202610 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
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••• J•••••• R••••• · President/Chief Compliance Officercontrol
      since 10/2015 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Thousand Oaks, Ca · principal310
    Offices
    Schedule D 1.F, the 25 largest
    • Rohnert Park, CA1 employees
    ADV anomalies
    3 against comparable advisers; where to look, not conclusions
    • custody status changedChange between filings · filing Feb 20, 2026
      custody of client assets (Item 9.A): yes on the filing of 2025-01-31, no on the filing of 2026-02-20
      peers: independent wealth managers, $100M to $500M (5,678)
    • account count collapseChange between filings · filing Feb 20, 2026
      accounts (Item 5.F.2.f) moved from 749.0 to 300.0 (-60.0%) between the annual amendments of 2025-01-31 and 2026-02-20; the peer median change was +5.0% (3685 comparable advisers, 2.0th percentile of changes)
      peers: independent wealth managers, $100M to $500M (3,685) · 2.1% percentile
    • HNW share shiftChange between filings · filing Feb 20, 2026
      HNW share of RAUM moved from 63.0% to 35.0% between the annual amendments of 2025-01-31 and 2026-02-20
      peers: independent wealth managers, $100M to $500M (5,678)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 749 to 300
      Jan 31, 2025 to Feb 20, 2026
    • HNW clients · 54 to 55
      Jan 31, 2025 to Feb 20, 2026
    • Individual clients · 294 to 245
      Jan 31, 2025 to Feb 20, 2026
    • Assets in custody · 174810075.0 to unset
      Jan 31, 2025 to Feb 20, 2026
    • Custody of client assets · true to false
      Jan 31, 2025 to Feb 20, 2026
    • Financial planning clients · 0 to 1-10
      Jan 31, 2025 to Feb 20, 2026
    • Discretionary RAUM · $175M to $216M
      Jan 31, 2025 to Feb 20, 2026
    • HNW RAUM · $111M to $75.5M
      Jan 31, 2025 to Feb 20, 2026
    • Individual RAUM · $63.9M to $141M
      Jan 31, 2025 to Feb 20, 2026
    • RAUM · $175M to $216M
      Jan 31, 2025 to Feb 20, 2026
    • Accounts · 287 to 749
      Mar 4, 2024 to Jan 31, 2025
    • Advisory employees · 2 to 3
      Mar 4, 2024 to Jan 31, 2025
    • HNW clients · 33 to 54
      Mar 4, 2024 to Jan 31, 2025
    • Individual clients · 254 to 294
      Mar 4, 2024 to Jan 31, 2025
    • Assets in custody · $149M to $175M
      Mar 4, 2024 to Jan 31, 2025
    • Employees · 3 to 4
      Mar 4, 2024 to Jan 31, 2025
    • Financial planning clients · 0 to 0
      Mar 4, 2024 to Jan 31, 2025
    • Discretionary RAUM · $149M to $175M
      Mar 4, 2024 to Jan 31, 2025
    • HNW RAUM · $74.6M to $111M
      Mar 4, 2024 to Jan 31, 2025
    • Individual RAUM · $74.0M to $63.9M
      Mar 4, 2024 to Jan 31, 2025
    • RAUM · $149M to $175M
      Mar 4, 2024 to Jan 31, 2025
    • Accounts · 288 to 287
      Aug 24, 2023 to Mar 4, 2024
    • HNW clients · 24 to 33
      Aug 24, 2023 to Mar 4, 2024
    • Individual clients · 264 to 254
      Aug 24, 2023 to Mar 4, 2024
    • Assets in custody · $288 to $149M
      Aug 24, 2023 to Mar 4, 2024
    • Financial planning clients · 11-25 to 0
      Aug 24, 2023 to Mar 4, 2024
    • Discretionary RAUM · $119M to $149M
      Aug 24, 2023 to Mar 4, 2024
    • HNW RAUM · $55.1M to $74.6M
      Aug 24, 2023 to Mar 4, 2024
    • Individual RAUM · $64.0M to $74.0M
      Aug 24, 2023 to Mar 4, 2024
    • RAUM · $119M to $149M
      Aug 24, 2023 to Mar 4, 2024
    • Assets in custody · unset to 288.0
      Feb 22, 2023 to Mar 13, 2023
    • Custody of client assets · false to true
      Feb 22, 2023 to Mar 13, 2023
    • Accounts · 671 to 288
      May 3, 2022 to Feb 22, 2023
    • HNW clients · 35 to 24
      May 3, 2022 to Feb 22, 2023
    • Individual clients · 239 to 264
      May 3, 2022 to Feb 22, 2023
    • Discretionary RAUM · $134M to $119M
      May 3, 2022 to Feb 22, 2023
    • HNW RAUM · $73.1M to $55.1M
      May 3, 2022 to Feb 22, 2023
    • Individual RAUM · $61.0M to $64.0M
      May 3, 2022 to Feb 22, 2023
    • RAUM · $134M to $119M
      May 3, 2022 to Feb 22, 2023
    Signals
    1 dated events
    • H•••• • A••••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
      May 3, 2022 · 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 phone
    707-528-1053reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    707-588-8045reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    805-557-8054reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    H••••WM.COMreportedpublic record, Form ADV, Sep 21, 2026
    Principal office phone
    805-557-8054reportedpublic record, Form ADV, Feb 20, 2026
    Contact form
    h••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
    Team page
    h••••••.comreportedpublished by the firm, firm site, Sep 16, 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
    $72.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026