DFX Intelligence
RIA Intelligence
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SEC-registered adviser
H• C•••••• M••••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Nov 3, 2020 · 8 filings
SEC status approved since Dec 4, 2020
RAUM
$851M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$851M as of Mar 25, 2026
Mar 29, 2021$651M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 29, 20210 then
Employees (5.A)1 as of Mar 25, 2026
Mar 29, 20211 then
Private funds: no history
RAUM +0.4% over the last fiscal year+2.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $851MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 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
- F••••••• J•••• F•••••••• · President, Chief Compliance Officercontrolsince 02/2020 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 25, 2026discretionary share of RAUM of 0% against a peer median of 100% (95 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $500M to $1B (95) · 0.0% percentile
What changed
consecutive filings, newest first
- Non-discretionary RAUM · $848M to $851MMar 25, 2025 to Mar 25, 2026
- RAUM · $848M to $851MMar 25, 2025 to Mar 25, 2026
- Financial planning clients · 1-10 to 1-10Mar 20, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $826M to $848MMar 20, 2024 to Mar 25, 2025
- RAUM · $826M to $848MMar 20, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $793M to $826MMar 29, 2023 to Mar 20, 2024
- RAUM · $793M to $826MMar 29, 2023 to Mar 20, 2024
- Business name · H••••• H••••• C•••••• M••••••••• I••• to H• C•••••• M••••••••• I•••Mar 24, 2022 to Mar 29, 2023
- Legal name · H••••• H••••• C•••••• M••••••••• I••• to H• C•••••• M••••••••• I•••Mar 24, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $724M to $793MMar 24, 2022 to Mar 29, 2023
- RAUM · $724M to $793MMar 24, 2022 to Mar 29, 2023
- HQ city · LAKE ARROWHEAD to HERMOSA BEACHJan 14, 2022 to Mar 24, 2022
- Non-discretionary RAUM · $651M to $724MJan 14, 2022 to Mar 24, 2022
- RAUM · $651M to $724MJan 14, 2022 to Mar 24, 2022
- Discretionary RAUM · $651M to $0Mar 29, 2021 to Jan 14, 2022
- Non-discretionary RAUM · $0 to $651MMar 29, 2021 to Jan 14, 2022
- Discretionary RAUM · $589M to $651MNov 3, 2020 to Mar 29, 2021
- RAUM · $589M to $651MNov 3, 2020 to Mar 29, 2021
Signals
1 dated events
- H••••• H••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Nov 3, 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
- Principal office phone
- 917-328-0169reportedpublic record, Form ADV, Mar 25, 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
- Other adviserderiveda 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