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
T•• H••• N•• W•••• A••••••• G••••• L••
Latest filing Jan 22, 2026
First filing on the tape Jul 6, 2020 · 19 filings
SEC status approved since Aug 5, 2020
RAUM
$862M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
96%
$831M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$144M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$862M as of Jan 22, 2026
Mar 9, 2021$403M then
HNW client RAUM$592M as of Jan 22, 2026
Mar 9, 2021$369M then
State-registered IARs (5.B.3)6 as of Jan 22, 2026
Mar 9, 20214 then
Employees (5.A)9 as of Jan 22, 2026
Mar 9, 20215 then
Private funds: no history
RAUM +12% over the last fiscal year+14% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jan 22, 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
- RAUM per advisor
- $144MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.6MderivedHNW RAUM over HNW clients
- Average account
- $770,054derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%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
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $668M, 340 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$592M69%
- Individuals$239M28%
- Corporations and businesses$30.8M3.6%
- Individual clients
- 329reported
- HNW clients
- 89reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 1,119reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $668M for 340 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• M•••• P•••• S•••••••••Certified Financial Planner | Naples, Fl | Sep 28, 2020 | 11 y | 1 |
| D•••• T••••• M•••••Certified Financial Planner | Naples, Fl | Sep 28, 2020 | 31 y | 1 |
| H••••• J••••• J•••••Certified Financial Planner | Naples, Fl | Sep 28, 2020 | 30 y | 1 |
| K•••• K•••• H•••••• | Naples, Fl | Oct 6, 2021 | 37 y | 4 |
| D•••• C••• M••••• | Naples, Fl | May 20, 2022 | 14 y | 0 |
| K•••••••• L•••• | Naples, Fl | Jun 6, 2023 | 10 y | 0 |
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
- K•••• K•••• H•••••• from R•••••• J•••• • A••••••••• I•••Oct 6, 2021 · Affiliated broker-dealer or bank to independent RIA
- D•••• T••••• M••••• from R•••••• J•••• • A••••••••• I•••Sep 28, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- H••••• J••••• J••••• from R•••••• J•••• • A••••••••• I•••Sep 28, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- C•••• M•••• P•••• S••••••••• from R•••••• J•••• • A••••••••• I•••Sep 28, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from R•••••• J•••• • A••••••••• I•••Oct 2, 2020 · Naples, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••• H•••••• J••••• · Managing Membercontrolsince 11/2019 · owns 50% to 75%
- M•••••• D••••• T••••• · Managing Member/Ccocontrolsince 11/2019 · 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 |
|---|---|---|---|---|---|
| Naples, Fl · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Charity clients · 1.0 to unsetOct 1, 2025 to Jan 22, 2026
- Corporate clients · 9 to 8Oct 1, 2025 to Jan 22, 2026
- HNW clients · 130 to 89Oct 1, 2025 to Jan 22, 2026
- Individual clients · 335 to 329Oct 1, 2025 to Jan 22, 2026
- Assets in custody · $522M to $668MOct 1, 2025 to Jan 22, 2026
- Employees · 8 to 9Oct 1, 2025 to Jan 22, 2026
- Discretionary RAUM · $731M to $822MOct 1, 2025 to Jan 22, 2026
- HNW RAUM · $492M to $592MOct 1, 2025 to Jan 22, 2026
- Individual RAUM · $238M to $239MOct 1, 2025 to Jan 22, 2026
- Non-discretionary RAUM · $38.5M to $40.1MOct 1, 2025 to Jan 22, 2026
- RAUM · $770M to $862MOct 1, 2025 to Jan 22, 2026
- Related insurance company · false to trueJan 29, 2025 to Oct 1, 2025
- Accounts · 1,057 to 1,119Jan 25, 2024 to Jan 29, 2025
- Corporate clients · 0 to 9Jan 25, 2024 to Jan 29, 2025
- HNW clients · 122 to 130Jan 25, 2024 to Jan 29, 2025
- Individual clients · 288 to 335Jan 25, 2024 to Jan 29, 2025
- Assets in custody · $315M to $522MJan 25, 2024 to Jan 29, 2025
- Employees · 7 to 8Jan 25, 2024 to Jan 29, 2025
- Financial planning clients · 251-500 to 251-500Jan 25, 2024 to Jan 29, 2025
- Discretionary RAUM · $617M to $731MJan 25, 2024 to Jan 29, 2025
- HNW RAUM · $507M to $492MJan 25, 2024 to Jan 29, 2025
- Individual RAUM · $129M to $238MJan 25, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $31.2M to $38.5MJan 25, 2024 to Jan 29, 2025
- RAUM · $649M to $770MJan 25, 2024 to Jan 29, 2025
- Accounts · 991 to 1,057Nov 6, 2023 to Jan 25, 2024
- Charity clients · 0 to 1Nov 6, 2023 to Jan 25, 2024
- Corporate clients · 4 to 0Nov 6, 2023 to Jan 25, 2024
- HNW clients · 65 to 122Nov 6, 2023 to Jan 25, 2024
- Individual clients · 314 to 288Nov 6, 2023 to Jan 25, 2024
- Pension plan clients · 1 to 0Nov 6, 2023 to Jan 25, 2024
- Assets in custody · $374M to $315MNov 6, 2023 to Jan 25, 2024
- State-registered IARs · 5 to 6Nov 6, 2023 to Jan 25, 2024
- Discretionary RAUM · $550M to $617MNov 6, 2023 to Jan 25, 2024
- HNW RAUM · $383M to $507MNov 6, 2023 to Jan 25, 2024
- Individual RAUM · $175M to $129MNov 6, 2023 to Jan 25, 2024
- Non-discretionary RAUM · $29.0M to $31.2MNov 6, 2023 to Jan 25, 2024
- RAUM · $579M to $649MNov 6, 2023 to Jan 25, 2024
- Accounts · 984 to 991Nov 16, 2022 to Feb 6, 2023
- Corporate clients · 0 to 4Nov 16, 2022 to Feb 6, 2023
- HNW clients · 205 to 65Nov 16, 2022 to Feb 6, 2023
Signals
2 dated events
- T•• H••• N•• W•••• A••••••• G••••• L•• reported RAUM $581.0M, up 44% from $403.4M (2022-01-19 to 2022-03-16)Mar 16, 2022 · RAUM change · derived
- T•• H••• N•• W•••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)Jul 6, 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
- 239-631-7884reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 239-631-7886reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 239-631-7887reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/highnetworthadvisoryreportedpublic record, Form ADV, Sep 18, 2026
- Website
- Highnetworthadvisorygroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1-866-906-2325reportedpublic record, Form ADV, Jan 22, 2026
- Team page
- highnetworthadvisorygroup.com/meet-the-teamreportedpublished by the firm, firm site, Sep 15, 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
- $144Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026