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•••••• W•••••• I•••
Latest filing Mar 13, 2026
First filing on the tape Jan 13, 2022 · 12 filings
SEC status approved since Feb 15, 2022
RAUM
$213M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$213M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$70.9M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$213M as of Mar 13, 2026
Feb 23, 2023$101M then
HNW client RAUM$155M as of Mar 13, 2026
Feb 23, 2023$73.6M then
State-registered IARs (5.B.3)2 as of Mar 13, 2026
Feb 23, 20231 then
Employees (5.A)4 as of Mar 13, 2026
Feb 23, 20232 then
Private funds: no history
RAUM +31% over the last fiscal year+28% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 13, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $70.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $371,071derivedRAUM 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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- yesreportedItem 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)
- compensates non-employees for client referrals (8.G.2)
- 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$155M73%
- Individuals$58.1M27%
- Individual clients
- 105reported
- HNW clients
- 64reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 573reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• C•••• H••••••Certified Financial Planner | Tempe, Az | Mar 16, 2021 | 15 y | 3 |
| D•••• A••••• Y••••Certified Financial Planner | Tempe, Az | Feb 2, 2024 | 13 y | 2 |
| C••••• E••• K•••••Certified Financial Planner, Chartered Financial Consultant | Tempe, Az | Feb 10, 2026 | 14 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- C••••• E••• K••••• from J••• A•••••• L••Feb 10, 2026 · RIA to RIA
- D•••• A••••• Y•••• from C••• P•••••••Feb 2, 2024 · RIA to RIA
- A••• C•••• H•••••• from A•••• F••••••••Mar 16, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• A•••• C•••• · Principal / Chief Compliance Officercontrolsince 01/2016 · 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 |
|---|---|---|---|---|---|
| Tempe, Az · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 475 to 573Feb 11, 2026 to Mar 13, 2026
- Advisory employees · 2 to 3Feb 11, 2026 to Mar 13, 2026
- HNW clients · 59 to 64Feb 11, 2026 to Mar 13, 2026
- Individual clients · 86 to 105Feb 11, 2026 to Mar 13, 2026
- Employees · 3 to 4Feb 11, 2026 to Mar 13, 2026
- Discretionary RAUM · $162M to $213MFeb 11, 2026 to Mar 13, 2026
- HNW RAUM · $120M to $155MFeb 11, 2026 to Mar 13, 2026
- Individual RAUM · $42.3M to $58.1MFeb 11, 2026 to Mar 13, 2026
- RAUM · $162M to $213MFeb 11, 2026 to Mar 13, 2026
- Accounts · 357 to 475Mar 21, 2024 to Feb 28, 2025
- Advisory employees · 4 to 2Mar 21, 2024 to Feb 28, 2025
- HNW clients · 50 to 59Mar 21, 2024 to Feb 28, 2025
- Individual clients · 68 to 86Mar 21, 2024 to Feb 28, 2025
- Employees · 5 to 3Mar 21, 2024 to Feb 28, 2025
- Financial planning clients · 1-10 to 101-250Mar 21, 2024 to Feb 28, 2025
- State-registered IARs · 4 to 2Mar 21, 2024 to Feb 28, 2025
- Discretionary RAUM · $124M to $162MMar 21, 2024 to Feb 28, 2025
- HNW RAUM · $89.3M to $120MMar 21, 2024 to Feb 28, 2025
- Individual RAUM · $35.1M to $42.3MMar 21, 2024 to Feb 28, 2025
- RAUM · $124M to $162MMar 21, 2024 to Feb 28, 2025
- Advisory employees · 3 to 4Mar 5, 2024 to Mar 21, 2024
- Employees · 4 to 5Mar 5, 2024 to Mar 21, 2024
- State-registered IARs · 3 to 4Mar 5, 2024 to Mar 21, 2024
- Accounts · 353 to 357Feb 7, 2024 to Mar 5, 2024
- HNW clients · 48 to 50Feb 7, 2024 to Mar 5, 2024
- Financial planning clients · 0 to 1-10Feb 7, 2024 to Mar 5, 2024
- Discretionary RAUM · $101M to $124MFeb 7, 2024 to Mar 5, 2024
- HNW RAUM · $73.6M to $89.3MFeb 7, 2024 to Mar 5, 2024
- Individual RAUM · $27.7M to $35.1MFeb 7, 2024 to Mar 5, 2024
- RAUM · $101M to $124MFeb 7, 2024 to Mar 5, 2024
- Advisory employees · 2 to 3May 9, 2023 to Feb 7, 2024
- Employees · 3 to 4May 9, 2023 to Feb 7, 2024
- State-registered IARs · 2 to 3May 9, 2023 to Feb 7, 2024
- Advisory employees · 1 to 2Mar 31, 2023 to May 9, 2023
- Employees · 2 to 3Mar 31, 2023 to May 9, 2023
- State-registered IARs · 1 to 2Mar 31, 2023 to May 9, 2023
- Accounts · 383 to 353Oct 10, 2022 to Feb 23, 2023
- HNW clients · 45 to 48Oct 10, 2022 to Feb 23, 2023
- Individual clients · 93 to 68Oct 10, 2022 to Feb 23, 2023
- Financial planning clients · 101-250 to 0Oct 10, 2022 to Feb 23, 2023
Signals
1 dated events
- H•••••• W•••••• I••• filed its initial SEC registration (Form ADV)Jan 13, 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
- 602-610-9545reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- hardingwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (602) 610-9545reportedpublic record, Form ADV, Mar 13, 2026
- Team page
- hardingwealth.com/teamreportedpublished 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
- $70.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026