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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
H••••• C•••••• A•••••••• I•••
Latest filing Mar 26, 2026
First filing on the tape May 12, 2021 · 20 filings
SEC status approved since Jun 14, 2021
RAUM
$328M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$326M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$65.5M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$328M as of Mar 26, 2026
Mar 21, 2022$80.0M then
HNW client RAUM$296M as of Mar 26, 2026
Mar 21, 2022$65.6M then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 21, 20220 then
Employees (5.A)5 as of Mar 26, 2026
Mar 21, 20223 then
Private funds: no history
RAUM +146% over the last fiscal year+63% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $65.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $543,413derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +146%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +56%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$296M90%
- Individuals$30.0M9.2%
- Pension and profit-sharing plans$901,5380.3%
- Charitable organizations$296,8360.1%
- State and municipal entities$197,3210.1%
- Individual clients
- 102reported
- HNW clients
- 142reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 603reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- J••••• C••••• H••••• from H••••• A•••••• S•••••••• I•••Mar 28, 2022 · RIA to RIA
- E••• J••• C•••••• from H••••• A•••••• S•••••••• I•••Mar 21, 2022 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from H••••• A•••••• S•••••••• I•••Dec 31, 2024 · Buffalo, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• W••••••• N••••• · President And Chief Compliance Officercontrolsince 05/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list H••••• C•••••• A•••••••• I••• as a related person
- 107769 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Buffalo, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 26, 2026accounts (Item 5.F.2.f) moved from 379.0 to 603.0 (+59.0%) between the annual amendments of 2025-03-19 and 2026-03-26; the peer median change was +5.0% (3686 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 96% percentile
- client count surgeChange between filings · filing Mar 26, 2026individual and HNW clients (Item 5.D) moved from 156.0 to 244.0 (+56.0%) between the annual amendments of 2025-03-19 and 2026-03-26; the peer median change was +3.0% (3309 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 97% percentile
- RAUM up 50 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $133,013,980 to $327,678,324 (+146.0%) between the annual amendments of 2025-03-19 and 2026-03-26; the peer median change was +15.0% (4549 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 99% percentile
- custody status changedChange between filings · filing Mar 26, 2026custody of client assets (Item 9.A): yes on the filing of 2026-01-11, no on the filing of 2026-03-26peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 379 to 603Jan 11, 2026 to Mar 26, 2026
- HNW clients · 88 to 142Jan 11, 2026 to Mar 26, 2026
- Individual clients · 68 to 102Jan 11, 2026 to Mar 26, 2026
- Assets in custody · $85.6M to $239MJan 11, 2026 to Mar 26, 2026
- Custody of client assets · true to falseJan 11, 2026 to Mar 26, 2026
- Discretionary RAUM · $118M to $299MJan 11, 2026 to Mar 26, 2026
- HNW RAUM · $119M to $296MJan 11, 2026 to Mar 26, 2026
- Individual RAUM · $13.3M to $30.0MJan 11, 2026 to Mar 26, 2026
- Non-discretionary RAUM · $15.1M to $28.9MJan 11, 2026 to Mar 26, 2026
- Pension RAUM · $339,105 to $901,538Jan 11, 2026 to Mar 26, 2026
- RAUM · $133M to $328MJan 11, 2026 to Mar 26, 2026
- Other offices · 0 to 1Jul 29, 2025 to Jan 11, 2026
- Financial planning clients · 51-100 to 51-100Jun 30, 2025 to Jul 29, 2025
- Related adviser · false to trueMar 19, 2025 to Jun 30, 2025
- HNW clients · 87 to 88Apr 3, 2024 to Mar 19, 2025
- Individual clients · 59 to 68Apr 3, 2024 to Mar 19, 2025
- Assets in custody · $83.1M to $85.6MApr 3, 2024 to Mar 19, 2025
- Discretionary RAUM · $107M to $118MApr 3, 2024 to Mar 19, 2025
- HNW RAUM · $108M to $119MApr 3, 2024 to Mar 19, 2025
- Individual RAUM · $10.9M to $13.3MApr 3, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $11.7M to $15.1MApr 3, 2024 to Mar 19, 2025
- Pension RAUM · $322,238 to $339,105Apr 3, 2024 to Mar 19, 2025
- RAUM · $119M to $133MApr 3, 2024 to Mar 19, 2025
- Accounts · 369 to 379Apr 3, 2024 to Mar 19, 2025
- Accounts · 304 to 369Sep 20, 2023 to Mar 28, 2024
- Charity clients · 1.0 to unsetSep 20, 2023 to Mar 28, 2024
- HNW clients · 67 to 87Sep 20, 2023 to Mar 28, 2024
- Individual clients · 49 to 59Sep 20, 2023 to Mar 28, 2024
- Pension plan clients · 6.0 to unsetSep 20, 2023 to Mar 28, 2024
- Assets in custody · $48.8M to $83.1MSep 20, 2023 to Mar 28, 2024
- Employees · 3 to 5Sep 20, 2023 to Mar 28, 2024
- Financial planning clients · 11-25 to 51-100Sep 20, 2023 to Mar 28, 2024
- Discretionary RAUM · $68.8M to $107MSep 20, 2023 to Mar 28, 2024
- HNW RAUM · $66.7M to $108MSep 20, 2023 to Mar 28, 2024
- Individual RAUM · $8.9M to $10.9MSep 20, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $7.5M to $11.7MSep 20, 2023 to Mar 28, 2024
- Pension RAUM · $486,923 to $322,238Sep 20, 2023 to Mar 28, 2024
- RAUM · $76.3M to $119MSep 20, 2023 to Mar 28, 2024
- Accounts · 239 to 304Jun 26, 2022 to Mar 20, 2023
- Charity clients · unset to 1.0Jun 26, 2022 to Mar 20, 2023
Signals
3 dated events
- H••••• C•••••• A•••••••• I••• reported RAUM $327.7M, up 146% from $133.0M (2026-01-11 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- 2 advisors left H••••• A•••••• S•••••••• I••• (Buffalo, NY) for H••••• C•••••• A•••••••• I••• on the same dayDec 31, 2024 · Team lift-out · derived
- H••••• C•••••• A•••••••• I••• filed its initial SEC registration (Form ADV)May 12, 2021 · 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
- 877-504-1964reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 716-505-1500reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 716-277-2717reportedpublic record, Form ADV, Mar 26, 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
- $65.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026