DFX Intelligence

RIA Intelligence

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SEC-registered adviser

H•••••• F•••••••• G••••

Independent wealth managerCincinnati, OhioCRD 282027SEC 801-111082website IAPD

Legal name H•• A•••••••• I•••

Latest filing Aug 4, 2026

First filing on the tape Aug 2, 2017 · 20 filings

SEC status approved since Sep 1, 2017

RAUM

$427M

reported, Item 5.F

Discretionary

81%

of RAUM

Private clients

96%

$411M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$85.3M

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM$427M as of Aug 4, 2026

Feb 15, 2018$115M then

HNW client RAUM$340M as of Aug 4, 2026

Feb 15, 2018$75.0M then

State-registered IARs (5.B.3)5 as of Aug 4, 2026

Feb 15, 20183 then

Employees (5.A)9 as of Aug 4, 2026

Feb 15, 20188 then

Private funds: no history

RAUM +40% over the last fiscal year+17% a year over threeIARs 5 to 5

Practice profile

derived from the filing of Aug 4, 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
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $85.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 133derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $204,077derivedRAUM over accounts (5.F.2.f)
Discretionary: 81%derivedof RAUM
Institutional: 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.8derivedItem 5.A over advisors
Advisors per office: 5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +40%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +69%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program: $347MreportedItem 5.I
Custody: $360,023, 2 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)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$340M80%
Individuals$70.2M16%
Corporations and businesses$10.4M2.4%
Pension and profit-sharing plans$4.3M1.0%
Charitable organizations$1.5M0.4%

Individual clients: 471reported
HNW clients: 196reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2,091reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $360,023 for 2 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=7.0derived

Advisors registered through the firm

5 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M•••••• R••••• H••••••	Cincinnati, Oh	Jun 13, 2016	32 y	1
S••••• D•• N•••••	Cincinnati, Oh	Jun 13, 2016	32 y	1
J••• C•••••• S••••••	Cincinnati, Oh	Jun 13, 2016	30 y	3
S•••••• M•••••• H••••••	Cincinnati, Oh	Jun 23, 2022	10 y	0
J••••• L••• J••••	Cincinnati, Oh	Jun 27, 2022	28 y	4

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••••• L••• J•••• from A••••••••• F•••••••• S•••••••• L••
Jun 27, 2022 · Affiliated broker-dealer or bank to independent RIA
S••••• D•• N••••• from M••••• S•••••• C•••••••••
Jun 13, 2016 · Other
J••• C•••••• S•••••• from A••••••••• F•••••••• S•••••••• L••
Jun 13, 2016 · Other
M•••••• R••••• H•••••• from M••••• S•••••• C•••••••••
Jun 13, 2016 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H••••••• M••••••• R••••• · President And Chief Compliance Officercontrol
since 11/2015 · owns 75% or more

Related persons

Schedule D 7.A

H•••••• F•••••••• G••••• I•••
real estaten

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Cincinnati, Oh · principal	5	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

4 against comparable advisers; where to look, not conclusions

RAUM up 25 %Change between filings · filing Apr 14, 2026
RAUM (Item 5.F) moved from $305,336,158 to $426,724,964 (+40.0%) between the annual amendments of 2025-02-03 and 2026-04-14; the peer median change was +15.0% (4548 comparable advisers, 93.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (4,548) · 93% percentile
client count surgeChange between filings · filing Apr 14, 2026
individual and HNW clients (Item 5.D) moved from 395.0 to 667.0 (+69.0%) between the annual amendments of 2025-02-03 and 2026-04-14; the peer median change was +3.0% (3309 comparable advisers, 98.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (3,309) · 98% percentile
account count surgeChange between filings · filing Apr 14, 2026
accounts (Item 5.F.2.f) moved from 655.0 to 2,091.0 (+219.0%) between the annual amendments of 2025-02-03 and 2026-04-14; the peer median change was +5.0% (3685 comparable advisers, 99.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (3,685) · 99% percentile
discretionary share shiftChange between filings · filing Apr 14, 2026
discretionary share of RAUM moved from 100.0% to 81.0% between the annual amendments of 2025-02-03 and 2026-04-14
peers: independent wealth managers, $100M to $500M (5,678)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 718 to 2,091
Feb 6, 2026 to Apr 14, 2026
Corporate clients · 7 to 8
Feb 6, 2026 to Apr 14, 2026
HNW clients · 187 to 196
Feb 6, 2026 to Apr 14, 2026
Individual clients · 245 to 471
Feb 6, 2026 to Apr 14, 2026
Discretionary RAUM · $337M to $347M
Feb 6, 2026 to Apr 14, 2026
HNW RAUM · $264M to $340M
Feb 6, 2026 to Apr 14, 2026
Individual RAUM · $56.3M to $70.2M
Feb 6, 2026 to Apr 14, 2026
Non-discretionary RAUM · $0 to $80.0M
Feb 6, 2026 to Apr 14, 2026
RAUM · $337M to $427M
Feb 6, 2026 to Apr 14, 2026
Accounts · 655 to 718
Oct 10, 2025 to Feb 6, 2026
Advisory employees · 5 to 6
Oct 10, 2025 to Feb 6, 2026
Corporate clients · 6 to 7
Oct 10, 2025 to Feb 6, 2026
HNW clients · 175 to 187
Oct 10, 2025 to Feb 6, 2026
Individual clients · 220 to 245
Oct 10, 2025 to Feb 6, 2026
Assets in custody · $1.0M to $360,023
Oct 10, 2025 to Feb 6, 2026
Employees · 10 to 9
Oct 10, 2025 to Feb 6, 2026
Financial planning clients · 1-10 to 0
Oct 10, 2025 to Feb 6, 2026
Discretionary RAUM · $305M to $337M
Oct 10, 2025 to Feb 6, 2026
HNW RAUM · $240M to $264M
Oct 10, 2025 to Feb 6, 2026
Individual RAUM · $51.4M to $56.3M
Oct 10, 2025 to Feb 6, 2026
Pension RAUM · $3.5M to $4.3M
Oct 10, 2025 to Feb 6, 2026
RAUM · $305M to $337M
Oct 10, 2025 to Feb 6, 2026
Accounts · 603 to 655
Nov 20, 2024 to Feb 3, 2025
HNW clients · 161 to 175
Nov 20, 2024 to Feb 3, 2025
Individual clients · 208 to 220
Nov 20, 2024 to Feb 3, 2025
Assets in custody · $1.3M to $1.0M
Nov 20, 2024 to Feb 3, 2025
Insurance-licensed employees · 2 to 0
Nov 20, 2024 to Feb 3, 2025
Financial planning clients · 1-10 to 1-10
Nov 20, 2024 to Feb 3, 2025
Discretionary RAUM · $272M to $305M
Nov 20, 2024 to Feb 3, 2025
HNW RAUM · $215M to $240M
Nov 20, 2024 to Feb 3, 2025
Individual RAUM · $44.9M to $51.4M
Nov 20, 2024 to Feb 3, 2025
Pension RAUM · $2.8M to $3.5M
Nov 20, 2024 to Feb 3, 2025
RAUM · $272M to $305M
Nov 20, 2024 to Feb 3, 2025
Accounts · 533 to 603
May 25, 2023 to Jan 31, 2024
Corporate clients · 8 to 6
May 25, 2023 to Jan 31, 2024
HNW clients · 140 to 161
May 25, 2023 to Jan 31, 2024
Individual clients · 182 to 208
May 25, 2023 to Jan 31, 2024
Assets in custody · $1.1M to $1.3M
May 25, 2023 to Jan 31, 2024
Financial planning clients · 0 to 1-10
May 25, 2023 to Jan 31, 2024
Discretionary RAUM · $235M to $272M
May 25, 2023 to Jan 31, 2024

Signals

1 dated events

H•••••• F•••••••• G•••• filed its initial SEC registration (Form ADV)
Aug 2, 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: k•••••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 513-891-5300reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 513-891-5334reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 877-890-5300reportedpublished by the firm, firm site, Sep 15, 2026
Website: H••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (513) 891-5300reportedpublic record, Form ADV, Aug 4, 2026
Contact form: h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Team page: h•••••••••.comreportedpublished 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: $85.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026