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••••••• F•••••••• L••
Legal name H••••••• F••••••••• L••
Latest filing Jun 9, 2026
First filing on the tape Oct 26, 2018 · 28 filings
SEC status approved since Nov 26, 2018
RAUM
$408M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
92%
$376M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$58.3M
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$408M as of Jun 9, 2026
Jan 29, 2019$102M then
HNW client RAUM$304M as of Jun 9, 2026
Jan 29, 2019$65.0M then
State-registered IARs (5.B.3)7 as of Jun 9, 2026
Jan 29, 20195 then
Employees (5.A)8 as of Jun 9, 2026
Jan 29, 20196 then
Private funds: no history
RAUM +22% over the last fiscal year+21% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Jun 9, 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
- $58.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $270,721derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 7.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%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
- $153M, 218 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$304M74%
- Individuals$71.9M18%
- Pension and profit-sharing plans$26.1M6.4%
- Charitable organizations$6.1M1.5%
- Individual clients
- 218reported
- HNW clients
- 132reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,507reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $153M for 218 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=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• K••••• M••••• | Bethesda, Md | Oct 20, 2016 | 21 y | 3 |
| E•••••••• L••••• C•••• | Gainesville, Va | Oct 20, 2016 | 19 y | 1 |
| D•••• J••• O••••••Certified Financial Planner | Gainesville, Va | Oct 11, 2018 | 16 y | 1 |
| A•••• W•••• C•••••Certified Financial Planner | Gainesville, Va | Oct 25, 2022 | 10 y | 3 |
| A••••• T•••• D••••• | Gainesville, Va | May 31, 2024 | 12 y | 0 |
| E••• E••••• T••••• | Gainesville, Va | Jan 27, 2026 | 12 y | 0 |
| Y•••• A••••••••• | Gainesville, Va | May 26, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount1 left over 36 months
Left, latest
- J••••••• L••• J•••• to W•••• F•••• A•••••••Oct 1, 2025 · RIA to wirehouse
Joined, latest
- A•••• W•••• C••••• from O••••• I••••••••• A••••••• L••Oct 25, 2022 · RIA to RIA
- J••••••• L••• J•••• from A••••••• F•••••••• A•••••••• L••Oct 13, 2020 · Affiliated broker-dealer or bank to independent RIA
- D•••• J••• O•••••• from S•••• W••••• M••••••••• L••Oct 11, 2018 · RIA to RIA
- D•••• K••••• M••••• from A•••• F•••••••• A••••••• S•••••••• I•••Oct 20, 2016 · Other
- E•••••••• L••••• C•••• from O••••••• I••••••••• W••••• M••••••••• L••Oct 20, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• E••••••••• L••••• · Principal, Chief Compliance Officer, Chief Operations Officer, Membercontrolsince 01/2019 · owns 25% to 50%
- M•••••• D••••• K••••• · Principal, Ceo, Membercontrolsince 10/2016 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Gainesville, Va · principal | 7 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Mclean, VA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 6 to 7Mar 30, 2026 to May 4, 2026
- Employees · 7 to 8Mar 30, 2026 to May 4, 2026
- State-registered IARs · 6 to 7Mar 30, 2026 to May 4, 2026
- Accounts · 1,380 to 1,507Oct 1, 2025 to Mar 30, 2026
- Advisory employees · 5 to 6Oct 1, 2025 to Mar 30, 2026
- HNW clients · 90 to 132Oct 1, 2025 to Mar 30, 2026
- Individual clients · 245 to 218Oct 1, 2025 to Mar 30, 2026
- Assets in custody · $120M to $153MOct 1, 2025 to Mar 30, 2026
- Employees · 6 to 7Oct 1, 2025 to Mar 30, 2026
- State-registered IARs · 5 to 6Oct 1, 2025 to Mar 30, 2026
- Discretionary RAUM · $308M to $365MOct 1, 2025 to Mar 30, 2026
- HNW RAUM · $224M to $304MOct 1, 2025 to Mar 30, 2026
- Individual RAUM · $87.0M to $71.9MOct 1, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $26.8M to $43.2MOct 1, 2025 to Mar 30, 2026
- Pension RAUM · $20.5M to $26.1MOct 1, 2025 to Mar 30, 2026
- RAUM · $335M to $408MOct 1, 2025 to Mar 30, 2026
- Advisory employees · 6 to 5Mar 27, 2025 to Oct 1, 2025
- Employees · 7 to 6Mar 27, 2025 to Oct 1, 2025
- State-registered IARs · 6 to 5Mar 27, 2025 to Oct 1, 2025
- Accounts · 1,286 to 1,380Aug 20, 2024 to Mar 27, 2025
- Advisory employees · 7 to 6Aug 20, 2024 to Mar 27, 2025
- HNW clients · 71 to 90Aug 20, 2024 to Mar 27, 2025
- Individual clients · 264 to 245Aug 20, 2024 to Mar 27, 2025
- Assets in custody · $94.4M to $120MAug 20, 2024 to Mar 27, 2025
- Employees · 8 to 7Aug 20, 2024 to Mar 27, 2025
- Financial planning clients · 251-500 to 251-500Aug 20, 2024 to Mar 27, 2025
- State-registered IARs · 7 to 6Aug 20, 2024 to Mar 27, 2025
- Discretionary RAUM · $257M to $308MAug 20, 2024 to Mar 27, 2025
- HNW RAUM · $171M to $224MAug 20, 2024 to Mar 27, 2025
- Individual RAUM · $90.3M to $87.0MAug 20, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $23.8M to $26.8MAug 20, 2024 to Mar 27, 2025
- Pension RAUM · $16.9M to $20.5MAug 20, 2024 to Mar 27, 2025
- RAUM · $281M to $335MAug 20, 2024 to Mar 27, 2025
- Legal name · H••••••• F•••••••• L•• to H••••••• FINANCIAL, LLCJun 4, 2024 to Aug 20, 2024
- Advisory employees · 6 to 7Mar 25, 2024 to Jun 4, 2024
- Employees · 7 to 8Mar 25, 2024 to Jun 4, 2024
- State-registered IARs · 6 to 7Mar 25, 2024 to Jun 4, 2024
- Accounts · 1,228 to 1,286Aug 15, 2023 to Mar 25, 2024
- Advisory employees · 7 to 6Aug 15, 2023 to Mar 25, 2024
- HNW clients · 61 to 71Aug 15, 2023 to Mar 25, 2024
Signals
3 dated events
- J••••••• L••• J•••• left H••••••• F•••••••• L•• for W•••• F•••• A••••••• (registered 2026-01-13)Oct 1, 2025 · Advisor changed firm · fact
- Grisham Mark Cooke (Principal) no longer on Schedule A of H••••••• F•••••••• L•• (listed 2023-08-15, absent 2024-03-25)Mar 25, 2024 · Control person left · inference
- H••••••• F•••••••• L•• filed its initial SEC registration (Form ADV)Oct 26, 2018 · 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
- 703-754-1233reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 703-754-2122reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- heritagefin.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (703) 754-1233reportedpublic record, Form ADV, Jun 9, 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
- $58.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026