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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Former SEC-registered adviser
H••• • P•••••••• F•••••••• G••••
Legal name H••• • P•••••••• F•••••••• G••••• L••
Latest filing Mar 7, 2025
First filing on the tape Sep 8, 2020 · 21 filings
SEC status approved since Oct 29, 2020
RAUM
$276M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$265M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$276M as of Mar 7, 2025
Mar 2, 2021$239M then
HNW client RAUM$234M as of Mar 7, 2025
Mar 2, 2021$85.2M then
State-registered IARs (5.B.3)2 as of Mar 7, 2025
Mar 2, 20212 then
Employees (5.A)4 as of Mar 7, 2025
Mar 2, 20214 then
Private funds: no history
RAUM +9.7% over the last fiscal year+3.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 7, 2025; every figure names its basis
- RAUM per advisor
- $138MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $448,200derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$234M85%
- Individuals$31.1M11%
- Charitable organizations$7.2M2.6%
- Pension and profit-sharing plans$3.2M1.1%
- Individual clients
- 72reported
- HNW clients
- 125reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 615reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- V•••• D•••• L•••••• to B••••• P••••• A•••••••• L••Dec 15, 2025 · RIA to RIA
- L•••• B••••••• S••• to B••••• P••••• A•••••••• L••Jun 2, 2025 · RIA to RIA
- M••• K••• F•••••• to S•• G•••••• I••••••••• M•••••••••May 18, 2022 · RIA to RIA
Joined, latest
- M••• K••• F•••••• from M•• I•••••••• S•••••••• L••Mar 11, 2021 · Affiliated broker-dealer or bank to independent RIA
- V•••• D•••• L•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 12, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• V••••• D•••• · Member, Ccocontrolsince 09/2020 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Amherst, Ma · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 622 to 615Aug 29, 2024 to Mar 7, 2025
- Charity clients · 6.0 to unsetAug 29, 2024 to Mar 7, 2025
- HNW clients · 102 to 125Aug 29, 2024 to Mar 7, 2025
- Individual clients · 94 to 72Aug 29, 2024 to Mar 7, 2025
- Financial planning clients · 101-250 to 101-250Aug 29, 2024 to Mar 7, 2025
- Discretionary RAUM · $251M to $276MAug 29, 2024 to Mar 7, 2025
- HNW RAUM · $184M to $234MAug 29, 2024 to Mar 7, 2025
- Individual RAUM · $55.5M to $31.1MAug 29, 2024 to Mar 7, 2025
- Pension RAUM · $4.4M to $3.2MAug 29, 2024 to Mar 7, 2025
- RAUM · $251M to $276MAug 29, 2024 to Mar 7, 2025
- BD registered reps · 1 to 0Apr 5, 2024 to Apr 26, 2024
- Business name · H••• • P•••••••• F•••••••• G•••• L•• to H••• • P•••••••• F•••••••• G••••Apr 5, 2024 to Apr 26, 2024
- Legal name · H••• • P•••••••• F•••••••• G•••• L•• to H••• • P•••••••• F•••••••• G••••• L••Mar 28, 2024 to Apr 5, 2024
- Succession · true to falseMar 28, 2024 to Apr 5, 2024
- Accounts · 626 to 622Feb 3, 2023 to Mar 28, 2024
- Advisory activities · 2 to 4Feb 3, 2023 to Mar 28, 2024
- Charity clients · 4 to 6Feb 3, 2023 to Mar 28, 2024
- Corporate clients · unset to 0.0Feb 3, 2023 to Mar 28, 2024
- HNW clients · 70 to 102Feb 3, 2023 to Mar 28, 2024
- Individual clients · 137 to 94Feb 3, 2023 to Mar 28, 2024
- Pooled vehicle clients · unset to 0.0Feb 3, 2023 to Mar 28, 2024
- Insurance-licensed employees · 1 to 0Feb 3, 2023 to Mar 28, 2024
- Organization form · Limited Liability Partnership to Limited Liability CompanyFeb 3, 2023 to Mar 28, 2024
- Discretionary RAUM · $225M to $251MFeb 3, 2023 to Mar 28, 2024
- HNW RAUM · $145M to $184MFeb 3, 2023 to Mar 28, 2024
- Individual RAUM · $73.2M to $55.5MFeb 3, 2023 to Mar 28, 2024
- Pension RAUM · unset to 4403755.0Feb 3, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · unset to 0.0Feb 3, 2023 to Mar 28, 2024
- RAUM · $225M to $251MFeb 3, 2023 to Mar 28, 2024
- Succession · false to trueFeb 3, 2023 to Mar 28, 2024
- Accounts · 609 to 626May 23, 2022 to Feb 3, 2023
- HNW clients · 91 to 70May 23, 2022 to Feb 3, 2023
- Individual clients · 119 to 137May 23, 2022 to Feb 3, 2023
- Insurance-licensed employees · 0 to 1May 23, 2022 to Feb 3, 2023
- Discretionary RAUM · $249M to $225MMay 23, 2022 to Feb 3, 2023
- HNW RAUM · $178M to $145MMay 23, 2022 to Feb 3, 2023
- Individual RAUM · $63.8M to $73.2MMay 23, 2022 to Feb 3, 2023
- RAUM · $249M to $225MMay 23, 2022 to Feb 3, 2023
- Accounts · 573 to 609Dec 16, 2021 to Mar 15, 2022
- Charity clients · unset to 4.0Dec 16, 2021 to Mar 15, 2022
Signals
7 dated events
- H••• • P•••••••• F•••••••• G•••• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $275.6M)Jan 2, 2026 · Left the SEC roster · derived
- V•••• D•••• L•••••• left H••• • P•••••••• F•••••••• G•••• for B••••• P••••• A•••••••• L•• (registered 2025-07-03)Dec 15, 2025 · Advisor changed firm · fact
- L•••• B••••••• S••• left H••• • P•••••••• F•••••••• G•••• for B••••• P••••• A•••••••• L•• (registered 2025-07-10)Jun 2, 2025 · Advisor changed firm · fact
- H••• • P•••••••• F•••••••• G•••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 28, 2024 · Succession (Item 4) · fact
- Marie Susan Patterson (Limited Partner) no longer on Schedule A of H••• • P•••••••• F•••••••• G•••• (listed 2023-02-03, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- M••• K••• F•••••• left H••• • P•••••••• F•••••••• G•••• for S•• G•••••• I••••••••• M••••••••• (registered 2022-05-10)May 18, 2022 · Advisor changed firm · fact
- H••• • P•••••••• F•••••••• G•••• L•• filed its initial SEC registration (Form ADV)Sep 8, 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.
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
- Former SEC-registered 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