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••••• A•••••• I•••
Latest filing Aug 14, 2026
First filing on the tape Jan 13, 2020 · 20 filings
SEC status approved since Feb 13, 2020
RAUM
$9.2M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
100%
$9.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$9.2M as of Aug 14, 2026
Feb 17, 2021$4.6M then
HNW client RAUM$5.5M as of Aug 14, 2026
Feb 17, 2021$4.6M then
State-registered IARs (5.B.3)10 as of Aug 14, 2026
Feb 17, 20212 then
Employees (5.A)15 as of Aug 14, 2026
Feb 17, 20213 then
Private funds: no history
RAUM +44% over the last fiscal year+0.6% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Aug 14, 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
- $920,106derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $779,525derivedHNW RAUM over HNW clients
- Average account
- $383,377derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%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
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +44%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +57%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$5.5M59%
- Individuals$3.7M41%
- Individual clients
- 15reported
- HNW clients
- 7reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 24reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
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
- E••••• C•••••• A••••• · Chief Compliance Officercontrolsince 04/2022 · owns less than 5%
- S•••••••• L•••• P••••••• · Chief Financial Officercontrolsince 01/2020 · owns less than 5%
- P••••••• D•••••• R••••• · Chief Executive Officersince 11/2019 · owns less than 5%
Entity owners
- H••••••••• W••••• H••••••• I•• · Shareholderdirect · owns 75% or more
- A• H••••••••• H•••••••• L• · Shareholderindirect · owns 50% to 75% of H••••••••• W••••• H••••••• I••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 15 to 24May 26, 2025 to Feb 23, 2026
- HNW clients · 6 to 7May 26, 2025 to Feb 23, 2026
- Individual clients · 8 to 15May 26, 2025 to Feb 23, 2026
- Discretionary RAUM · $6.0M to $8.3MMay 26, 2025 to Feb 23, 2026
- HNW RAUM · $4.2M to $5.5MMay 26, 2025 to Feb 23, 2026
- Individual RAUM · $2.2M to $3.7MMay 26, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $364,484 to $888,526May 26, 2025 to Feb 23, 2026
- RAUM · $6.4M to $9.2MMay 26, 2025 to Feb 23, 2026
- Financial planning clients · unset to Mar 16, 2025 to May 26, 2025
- Accounts · 14 to 15Mar 8, 2024 to Mar 16, 2025
- HNW clients · 4 to 6Mar 8, 2024 to Mar 16, 2025
- Individual clients · 5 to 8Mar 8, 2024 to Mar 16, 2025
- HQ state · unset to Mar 8, 2024 to Mar 16, 2025
- Discretionary RAUM · $11.2M to $6.0MMar 8, 2024 to Mar 16, 2025
- HNW RAUM · $11.2M to $4.2MMar 8, 2024 to Mar 16, 2025
- Individual RAUM · $952,770 to $2.2MMar 8, 2024 to Mar 16, 2025
- Non-discretionary RAUM · $938,247 to $364,484Mar 8, 2024 to Mar 16, 2025
- RAUM · $12.1M to $6.4MMar 8, 2024 to Mar 16, 2025
- Accounts · 8 to 14Mar 10, 2023 to Mar 8, 2024
- Individual clients · 4 to 5Mar 10, 2023 to Mar 8, 2024
- Discretionary RAUM · $8.2M to $11.2MMar 10, 2023 to Mar 8, 2024
- HNW RAUM · $7.5M to $11.2MMar 10, 2023 to Mar 8, 2024
- Individual RAUM · $1.5M to $952,770Mar 10, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $801,803 to $938,247Mar 10, 2023 to Mar 8, 2024
- RAUM · $9.0M to $12.1MMar 10, 2023 to Mar 8, 2024
- Accounts · 7 to 8Apr 18, 2022 to Mar 10, 2023
- HNW clients · 3 to 4Apr 18, 2022 to Mar 10, 2023
- Individual clients · 3 to 4Apr 18, 2022 to Mar 10, 2023
- Discretionary RAUM · $10.8M to $8.2MApr 18, 2022 to Mar 10, 2023
- HNW RAUM · $10.1M to $7.5MApr 18, 2022 to Mar 10, 2023
- Individual RAUM · $872,592 to $1.5MApr 18, 2022 to Mar 10, 2023
- Non-discretionary RAUM · $228,939 to $801,803Apr 18, 2022 to Mar 10, 2023
- RAUM · $11.0M to $9.0MApr 18, 2022 to Mar 10, 2023
- Accounts · 2 to 7Jan 18, 2022 to Feb 24, 2022
- HNW clients · 2 to 3Jan 18, 2022 to Feb 24, 2022
- Individual clients · 0 to 3Jan 18, 2022 to Feb 24, 2022
- Discretionary RAUM · $3.9M to $10.8MJan 18, 2022 to Feb 24, 2022
- HNW RAUM · $4.6M to $10.1MJan 18, 2022 to Feb 24, 2022
- Individual RAUM · $0 to $872,592Jan 18, 2022 to Feb 24, 2022
- Non-discretionary RAUM · $635,889 to $228,939Jan 18, 2022 to Feb 24, 2022
Signals
3 dated events
- A••••• C••••• E•••• (Chief Compliance Officer) appeared on Schedule A of H••••••••• W••••• A•••••• I•••Apr 18, 2022 · Control person joined · fact
- A••• K••••••• B•••• (Chief Compliance Officer) no longer on Schedule A of H••••••••• W••••• A•••••• I••• (listed 2022-02-24, absent 2022-04-18)Apr 18, 2022 · Control person left · inference
- H••••••••• W••••• A•••••• I••• filed its initial SEC registration (Form ADV)Jan 13, 2020 · 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
- 877-588-6822reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 877-588-6822reportedpublic record, Form ADV, Aug 14, 2026
- Contact form
- h•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026