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••••• A•••••••
Legal name S••••••••• F••••••• • C••••••••• L••
Latest filing Jul 10, 2026
First filing on the tape Nov 12, 2019 · 32 filings
SEC status approved since Dec 12, 2019
RAUM
$610M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
95%
$578M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$55.5M
derived; firm RAUM over IAPD count
Employees
11
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$610M as of Jul 10, 2026
Mar 25, 2020$134M then
HNW client RAUM$531M as of Jul 10, 2026
Mar 25, 2020$88.2M then
State-registered IARs (5.B.3)9 as of Jul 10, 2026
Mar 25, 20203 then
Employees (5.A)11 as of Jul 10, 2026
Mar 25, 20206 then
Private funds: no history
RAUM +12% over the last fiscal year+36% a year over threeIARs 9 to 9offices 1 to 2
Practice profile
derived from the filing of Jul 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $55.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $974,410derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $583MreportedItem 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
- 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$531M87%
- Individuals$47.2M7.7%
- Charitable organizations$24.1M4.0%
- Pension and profit-sharing plans$7.6M1.2%
- Individual clients
- 349reported
- HNW clients
- 236reported
- Pension plan clients
- 15reported
- Charitable clients
- 26reported
- Accounts
- 626reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=true related_bank=false bd_reps=8.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••••• A•• | Boston, Ma | Mar 23, 2016 | 22 y | 1 |
| M••••••• B•••• K••••• | Boston, Ma | Nov 29, 2016 | 10 y | 1 |
| A•••••••• A•• | Boston, Ma | Oct 12, 2017 | 19 y | 1 |
| J•••• A• W••••••• | Dorchester, Ma | Oct 13, 2017 | 26 y | 1 |
| S••••• A• A•••Certified Financial Planner | Boston, Ma | Aug 20, 2019 | 12 y | 0 |
| J•••• K••••• | Boston, Ma | Sep 11, 2020 | 11 y | 0 |
| J••• E••••• R•••••• | Boston, Ma | Oct 13, 2022 | 11 y | 0 |
| A••• S••• | Boston, Ma | Nov 2, 2022 | 13 y | 0 |
| M••••••• A••• P••••• | Boston, Ma | Mar 27, 2023 | 10 y | 0 |
| S•••• A••••• Q•••• | Boston, Ma | Jan 2, 2024 | 13 y | 0 |
| A••••••• N••••• M•••••• | Boston, Ma | Aug 13, 2024 | 13 y | 0 |
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
- M••••••• Z•••••• to C••••••• S••••••••• I•••Nov 1, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- M••••••• Z•••••• from S•••••••• S•••••••••Sep 28, 2020 · Affiliated broker-dealer or bank to independent RIA
- J•••• A• W••••••• from L•• F•••••••• L••Oct 13, 2017 · Other
- A•••••••• A•• from L•• F•••••••• L••Oct 12, 2017 · Other
- M••••••• B•••• K••••• from L•• F•••••••• L••Nov 29, 2016 · Other
- S••••••• A•• from L•• F•••••••• L••Mar 23, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••Jul 25, 2017 · Boston, Ma
- 2 joined from L•• F•••••••• L••May 22, 2017 · Boston, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••• S••••••• · Chief Compliance Officercontrolsince 01/2016 · owns less than 5%
- K•••••• M•••••••• B•••• · Presidentcontrolsince 11/2016 · owns less than 5%
- A••• S••••••• · Ownercontrolsince 07/2017 · owns 25% to 50% of H••••• C•••••• L••
- K•••••• M•••••••• B•••• · Ownercontrolsince 07/2017 · owns 25% to 50% of H••••• C•••••• L••
Entity owners
- H••••• C•••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- H••••• C•••••• M••••••• L••broker-dealern
- H••••• R••• E••••• I••••••••• L••n
- H••••• R•••••• L••investment companyn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 10 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Doha, Qatar
What changed
consecutive filings, newest first
- Accounts · 553 to 626Aug 6, 2025 to Mar 23, 2026
- Charity clients · 16 to 26Aug 6, 2025 to Mar 23, 2026
- HNW clients · 184 to 236Aug 6, 2025 to Mar 23, 2026
- Individual clients · 353 to 349Aug 6, 2025 to Mar 23, 2026
- Pension plan clients · 12 to 15Aug 6, 2025 to Mar 23, 2026
- Other offices · 1 to 2Aug 6, 2025 to Mar 23, 2026
- Discretionary RAUM · $517M to $594MAug 6, 2025 to Mar 23, 2026
- HNW RAUM · $440M to $531MAug 6, 2025 to Mar 23, 2026
- Individual RAUM · $76.4M to $47.2MAug 6, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $26.9M to $16.3MAug 6, 2025 to Mar 23, 2026
- Pension RAUM · $5.9M to $7.6MAug 6, 2025 to Mar 23, 2026
- RAUM · $544M to $610MAug 6, 2025 to Mar 23, 2026
- Accounts · 472 to 553Nov 11, 2024 to Mar 26, 2025
- Charity clients · 14 to 16Nov 11, 2024 to Mar 26, 2025
- HNW clients · 208 to 184Nov 11, 2024 to Mar 26, 2025
- Individual clients · 246 to 353Nov 11, 2024 to Mar 26, 2025
- Pension plan clients · 7 to 12Nov 11, 2024 to Mar 26, 2025
- Financial planning clients · 251-500 to 251-500Nov 11, 2024 to Mar 26, 2025
- Discretionary RAUM · $386M to $517MNov 11, 2024 to Mar 26, 2025
- HNW RAUM · $348M to $440MNov 11, 2024 to Mar 26, 2025
- Individual RAUM · $23.3M to $76.4MNov 11, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $16.0M to $26.9MNov 11, 2024 to Mar 26, 2025
- Pension RAUM · $16.0M to $5.9MNov 11, 2024 to Mar 26, 2025
- RAUM · $402M to $544MNov 11, 2024 to Mar 26, 2025
- Advisory employees · 5 to 9Aug 29, 2024 to Nov 11, 2024
- BD registered reps · 7 to 8Aug 29, 2024 to Nov 11, 2024
- State-registered IARs · 5 to 9Aug 29, 2024 to Nov 11, 2024
- Advisory employees · 4 to 5Aug 14, 2024 to Aug 29, 2024
- Employees · 10 to 11Aug 14, 2024 to Aug 29, 2024
- State-registered IARs · 4 to 5Aug 14, 2024 to Aug 29, 2024
- Advisory employees · 5 to 4Mar 12, 2024 to Aug 14, 2024
- Employees · 11 to 10Mar 12, 2024 to Aug 14, 2024
- State-registered IARs · 5 to 4Mar 12, 2024 to Aug 14, 2024
- Accounts · 1,052 to 472Jan 29, 2024 to Mar 12, 2024
- Charity clients · 13 to 14Jan 29, 2024 to Mar 12, 2024
- Corporate clients · 1 to 0Jan 29, 2024 to Mar 12, 2024
- HNW clients · 144 to 208Jan 29, 2024 to Mar 12, 2024
- Individual clients · 223 to 246Jan 29, 2024 to Mar 12, 2024
- Pension plan clients · 4 to 7Jan 29, 2024 to Mar 12, 2024
- Discretionary RAUM · $243M to $386MJan 29, 2024 to Mar 12, 2024
Signals
4 dated events
- H••••• A••••••• reported RAUM $543.6M, up 35% from $402.5M (2024-11-11 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- H••••• A••••••• reported RAUM $402.5M, up 65% from $244.0M (2024-01-29 to 2024-03-12)Mar 12, 2024 · RAUM change · derived
- M••••••• Z•••••• left H••••• A••••••• for C••••••• S••••••••• I••• (registered 2022-11-14)Nov 1, 2022 · Advisor changed firm · fact
- H••••• A••••••• filed its initial SEC registration (Form ADV)Nov 12, 2019 · 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
- 617-708-0639reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/hoopoeadvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- hoopoeadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-708-0639reportedpublic record, Form ADV, Jul 10, 2026
- Contact form
- hoopoeadvisors.com/contactreportedpublished 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
- $55.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026