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••••••• W••••• A••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Nov 25, 2024 · 5 filings
SEC status approved since Jan 6, 2025
RAUM
$167M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
100%
$167M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$83.6M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$167M as of Mar 10, 2026
Jan 29, 2025$145M then
HNW client RAUM$147M as of Mar 10, 2026
Jan 29, 2025$126M then
State-registered IARs (5.B.3)2 as of Mar 10, 2026
Jan 29, 20252 then
Employees (5.A)3 as of Mar 10, 2026
Jan 29, 20253 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 10, 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
- $83.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $534,464derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$147M88%
- Individuals$20.2M12%
- Individual clients
- 52reported
- HNW clients
- 47reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 313reported
- Financial planning clients
- 51-100reported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• F•••••• H••••Certified Financial Planner | San Francisco, Ca | Mar 14, 2017 | 42 y | 1 |
| M••••• R••••• A•••••••Certified Financial Planner | San Francisco, Ca | Jul 31, 2017 | 11 y | 1 |
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
- M••••• R••••• A••••••• from L•• F•••••••• L••Jul 31, 2017 · Other
- M••• F•••••• H•••• from L•• F•••••••• L••Mar 14, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••Mar 10, 2017 · San Francisco, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• M•••••• R••••• · Partnercontrolsince 01/2024 · owns 10% to 25%
- H••••• M•••• F•••••• · Managing Member/Chief Compliance Officercontrolsince 08/2016 · 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 |
|---|---|---|---|---|---|
| San Francisco, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 256 to 313Jul 15, 2025 to Mar 10, 2026
- HNW clients · 37 to 47Jul 15, 2025 to Mar 10, 2026
- Individual clients · 57 to 52Jul 15, 2025 to Mar 10, 2026
- Financial planning clients · 1-10 to 51-100Jul 15, 2025 to Mar 10, 2026
- Discretionary RAUM · $121M to $138MJul 15, 2025 to Mar 10, 2026
- HNW RAUM · $126M to $147MJul 15, 2025 to Mar 10, 2026
- Individual RAUM · $19.7M to $20.2MJul 15, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $24.1M to $29.7MJul 15, 2025 to Mar 10, 2026
- RAUM · $145M to $167MJul 15, 2025 to Mar 10, 2026
- Financial planning clients · 1-10 to 1-10Apr 28, 2025 to Jul 15, 2025
- Business name · H•••• • C•• W••••• M••••••••• L•• to H•••• • A••••••• W••••• A••••••• L••Jan 29, 2025 to Apr 28, 2025
- Legal name · H•••• • C•• W••••• M••••••••• L•• to H•••• • A••••••• W••••• A••••••• L••Jan 29, 2025 to Apr 28, 2025
- Accounts · 272 to 256Nov 25, 2024 to Jan 29, 2025
- HNW clients · 36 to 37Nov 25, 2024 to Jan 29, 2025
- Individual clients · 54 to 57Nov 25, 2024 to Jan 29, 2025
- Financial planning clients · 51-100 to 1-10Nov 25, 2024 to Jan 29, 2025
- Discretionary RAUM · $113M to $121MNov 25, 2024 to Jan 29, 2025
- HNW RAUM · $118M to $126MNov 25, 2024 to Jan 29, 2025
- Individual RAUM · $19.0M to $19.7MNov 25, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $24.4M to $24.1MNov 25, 2024 to Jan 29, 2025
- RAUM · $137M to $145MNov 25, 2024 to Jan 29, 2025
Signals
1 dated events
- H•••• • C•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 25, 2024 · 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
- 415-781-6300reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- haawealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-781-6300reportedpublic record, Form ADV, Mar 10, 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
- $83.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026