DFX Intelligence
RIA Intelligence
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SEC-registered adviser
H•••• • H•••••
Legal name H•••• • H•••••• L••
Latest filing Mar 3, 2026
First filing on the tape Mar 13, 2017 · 25 filings
SEC status approved since Mar 28, 2017
RAUM
$284M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
87%
$247M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$142M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$284M as of Mar 3, 2026
Mar 16, 2018$123M then
HNW client RAUM$157M as of Mar 3, 2026
Mar 16, 2018$65.8M then
State-registered IARs (5.B.3)2 as of Mar 3, 2026
Mar 16, 20180 then
Employees (5.A)5 as of Mar 3, 2026
Mar 16, 20183 then
Private funds: no history
RAUM +13% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 3, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $142MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $440,464derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $247MreportedItem 5.I
- Custody
- $14.4M, 14 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$157M55%
- Individuals$90.5M32%
- Pension and profit-sharing plans$36.7M13%
- Individual clients
- 196reported
- HNW clients
- 65reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 644reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $14.4M for 14 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• H•••• H••••Certified Financial Planner, Chartered Financial Consultant | Woodland Hills, Ca | May 27, 2014 | 44 y | 2 |
| R••• O• H•••••Certified Financial Planner | Pasadena, Ca | May 28, 2014 | 24 y | 2 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• R•••• O• · Managing Membercontrolsince 03/2014 · owns 50% to 75%
- H••••• M•••••••• H•••• · Managing Member And Chief Compliance Officercontrolsince 03/2014 · 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 |
|---|---|---|---|---|---|
| Woodland Hills, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 664 to 644Jul 14, 2025 to Mar 3, 2026
- HNW clients · 90 to 65Jul 14, 2025 to Mar 3, 2026
- Individual clients · 205 to 196Jul 14, 2025 to Mar 3, 2026
- Pension plan clients · 9 to 8Jul 14, 2025 to Mar 3, 2026
- Assets in custody · $7.9M to $14.4MJul 14, 2025 to Mar 3, 2026
- Discretionary RAUM · $209M to $247MJul 14, 2025 to Mar 3, 2026
- HNW RAUM · $142M to $157MJul 14, 2025 to Mar 3, 2026
- Individual RAUM · $67.2M to $90.5MJul 14, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $40.8M to $36.7MJul 14, 2025 to Mar 3, 2026
- Pension RAUM · $40.8M to $36.7MJul 14, 2025 to Mar 3, 2026
- RAUM · $250M to $284MJul 14, 2025 to Mar 3, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Jul 14, 2025
- Related broker-dealer · true to falseMar 28, 2025 to Jul 14, 2025
- Accounts · 612 to 664Jun 20, 2024 to Mar 28, 2025
- HNW clients · 85 to 90Jun 20, 2024 to Mar 28, 2025
- Individual clients · 200 to 205Jun 20, 2024 to Mar 28, 2025
- Pension plan clients · 6 to 9Jun 20, 2024 to Mar 28, 2025
- Assets in custody · $7.6M to $7.9MJun 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $174M to $209MJun 20, 2024 to Mar 28, 2025
- HNW RAUM · $128M to $142MJun 20, 2024 to Mar 28, 2025
- Individual RAUM · $45.4M to $67.2MJun 20, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $20.2M to $40.8MJun 20, 2024 to Mar 28, 2025
- Pension RAUM · $20.2M to $40.8MJun 20, 2024 to Mar 28, 2025
- RAUM · $194M to $250MJun 20, 2024 to Mar 28, 2025
- Wrap assets (manager) · $172M to $0Jun 20, 2024 to Mar 28, 2025
- Wrap assets (sponsor) · $174M to $0Jun 20, 2024 to Mar 28, 2025
- Related broker-dealer · false to trueMar 12, 2024 to Jun 18, 2024
- Accounts · 514 to 612Aug 10, 2023 to Mar 12, 2024
- Advisory employees · 2 to 3Aug 10, 2023 to Mar 12, 2024
- Advisory activities · 4 to 5Aug 10, 2023 to Mar 12, 2024
- HNW clients · 63 to 85Aug 10, 2023 to Mar 12, 2024
- Individual clients · 191 to 200Aug 10, 2023 to Mar 12, 2024
- Pension plan clients · 4 to 6Aug 10, 2023 to Mar 12, 2024
- Assets in custody · $43.8M to $7.6MAug 10, 2023 to Mar 12, 2024
- Discretionary RAUM · $162M to $174MAug 10, 2023 to Mar 12, 2024
- HNW RAUM · $118M to $128MAug 10, 2023 to Mar 12, 2024
- Individual RAUM · $44.4M to $45.4MAug 10, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $15.0M to $20.2MAug 10, 2023 to Mar 12, 2024
- Pension RAUM · $15.0M to $20.2MAug 10, 2023 to Mar 12, 2024
- RAUM · $177M to $194MAug 10, 2023 to Mar 12, 2024
Signals
2 dated events
- Janelle Christine Kuether (Chief Compliance Officer) no longer on Schedule A of H•••• • H••••• (listed 2019-03-22, absent 2020-01-28)Jan 28, 2020 · Control person left · inference
- H•••• • H••••• filed its initial SEC registration (Form ADV)Mar 13, 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 phone
- 818-200-1107reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 818-275-8130reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 818-275-8132reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/H••••-&-H•••••-THE-RETIREMENT-INCOME-SPreportedpublic record, Form ADV, Sep 21, 2026
- Website
- H••••-H•••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 818-200-1107reportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- hhretirement.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- hhretirement.com/team/mitchell-h-hesen-cfp-chfcreportedpublished 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
- $142Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026