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••••• M••••••••• I•••
Latest filing Jun 5, 2026
First filing on the tape Mar 7, 2019 · 30 filings
SEC status approved since Apr 10, 2019
RAUM
$293M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$288M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$73.1M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$293M as of Jun 5, 2026
Mar 27, 2020$126M then
HNW client RAUM$190M as of Jun 5, 2026
Mar 27, 2020$70.0M then
State-registered IARs (5.B.3)4 as of Jun 5, 2026
Mar 27, 20203 then
Employees (5.A)9 as of Jun 5, 2026
Mar 27, 202011 then
Private funds: no history
RAUM +16% over the last fiscal year+18% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 5, 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
- $73.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $181,277derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $121M, 246 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$190M65%
- Individuals$98.1M34%
- Corporations and businesses$4.5M1.5%
- Individual clients
- 323reported
- HNW clients
- 113reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,614reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $121M for 246 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••• M••••••• H•••••• | Traverse City, Mi | Jul 24, 2020 | 34 y | 1 |
| T•••••• B••• | Traverse City, Mi | May 15, 2023 | 11 y | 0 |
| J••• C••••• P•••• | Traverse City, Mi | Sep 18, 2023 | 16 y | 0 |
| A••••• C• S••••••••Certified Financial Planner | Traverse City, Mi | Jan 2, 2025 | 22 y | 3 |
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
- A••••• C• S•••••••• from S•••••••• F••••••••• I•••Jan 2, 2025 · Affiliated broker-dealer or bank to independent RIA
- D••• M••••••• H•••••• from S•••••••• F••••••••• I•••Jul 24, 2020 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•••••••• F••••••••• I•••May 6, 2019 · Traverse City, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• D•••• M••••••• · Founder And Presidentcontrolsince 02/2019 · owns 75% or more
- P••••• J•••• C••••• · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- S••••••••• A•••••• C• · Vice President, Financial Advisorcontrolsince 02/2019 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Traverse City, Mi · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,525 to 1,614Jul 16, 2025 to Mar 6, 2026
- Corporate clients · unset to 10.0Jul 16, 2025 to Mar 6, 2026
- HNW clients · 103 to 113Jul 16, 2025 to Mar 6, 2026
- Individual clients · 356 to 323Jul 16, 2025 to Mar 6, 2026
- Pension plan clients · 5.0 to unsetJul 16, 2025 to Mar 6, 2026
- Assets in custody · $16.2M to $121MJul 16, 2025 to Mar 6, 2026
- Discretionary RAUM · $243M to $288MJul 16, 2025 to Mar 6, 2026
- HNW RAUM · $154M to $190MJul 16, 2025 to Mar 6, 2026
- Individual RAUM · $86.8M to $98.1MJul 16, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $10.4M to $4.5MJul 16, 2025 to Mar 6, 2026
- Pension RAUM · 10385415.0 to unsetJul 16, 2025 to Mar 6, 2026
- RAUM · $253M to $293MJul 16, 2025 to Mar 6, 2026
- Financial planning clients · 0 to 0Feb 19, 2025 to Jul 16, 2025
- Accounts · 1,418 to 1,525Jan 7, 2025 to Feb 19, 2025
- HNW clients · 75 to 103Jan 7, 2025 to Feb 19, 2025
- Individual clients · 366 to 356Jan 7, 2025 to Feb 19, 2025
- Pension plan clients · unset to 5.0Jan 7, 2025 to Feb 19, 2025
- Assets in custody · $13.7M to $16.2MJan 7, 2025 to Feb 19, 2025
- Employees · 8 to 9Jan 7, 2025 to Feb 19, 2025
- Discretionary RAUM · $188M to $243MJan 7, 2025 to Feb 19, 2025
- HNW RAUM · $102M to $154MJan 7, 2025 to Feb 19, 2025
- Individual RAUM · $87.9M to $86.8MJan 7, 2025 to Feb 19, 2025
- Non-discretionary RAUM · $2.5M to $10.4MJan 7, 2025 to Feb 19, 2025
- Pension RAUM · $545,654 to $10.4MJan 7, 2025 to Feb 19, 2025
- RAUM · $190M to $253MJan 7, 2025 to Feb 19, 2025
- Advisory activities · 4 to 3Apr 16, 2024 to Aug 20, 2024
- Employees · 9 to 8Apr 16, 2024 to Aug 20, 2024
- Accounts · 1,508 to 1,418Oct 25, 2023 to Feb 16, 2024
- Advisory employees · 3 to 4Oct 25, 2023 to Feb 16, 2024
- HNW clients · 138 to 75Oct 25, 2023 to Feb 16, 2024
- Individual clients · 579 to 366Oct 25, 2023 to Feb 16, 2024
- Assets in custody · $48.0M to $13.7MOct 25, 2023 to Feb 16, 2024
- State-registered IARs · 3 to 4Oct 25, 2023 to Feb 16, 2024
- Discretionary RAUM · $171M to $188MOct 25, 2023 to Feb 16, 2024
- HNW RAUM · $84.5M to $102MOct 25, 2023 to Feb 16, 2024
- Individual RAUM · $89.0M to $87.9MOct 25, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $6.2M to $2.5MOct 25, 2023 to Feb 16, 2024
- Pension RAUM · $3.8M to $545,654Oct 25, 2023 to Feb 16, 2024
- RAUM · $178M to $190MOct 25, 2023 to Feb 16, 2024
- Advisory employees · 2 to 3Mar 8, 2023 to May 19, 2023
Signals
2 dated events
- Corrin Jena Posey (Chief Compliance Officer) appeared on Schedule A of H••••••• W••••• M••••••••• I•••Apr 16, 2024 · Control person joined · fact
- H•••••• • W••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 7, 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 email
- e••••••@h••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 231-922-2900reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/hemming-wealth-management/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- h••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (231) 922-2900reportedpublic record, Form ADV, Jun 5, 2026
- Contact form
- h••••••••.comreportedpublished 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
- $73.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026