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.
SEC-registered adviser
H. L. Ormond & Company, LLC
Latest filing May 1, 2026
First filing on the tape Mar 17, 2021 · 16 filings
SEC status approved since Apr 16, 2021
RAUM
$401M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
90%
$361M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$80.3M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$401M as of May 1, 2026
Mar 11, 2022$337M then
HNW client RAUM$306M as of May 1, 2026
Mar 11, 2022$275M then
State-registered IARs (5.B.3)4 as of May 1, 2026
Mar 11, 20222 then
Employees (5.A)7 as of May 1, 2026
Mar 11, 20224 then
Private funds: no history
RAUM +12% over the last fiscal year+14% a year over threeIARs 2 to 4offices 0 to 1
Practice profile
derived from the filing of May 1, 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
- $80.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $334,760derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 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
- +8.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $16.0M, 26 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)
- 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$306M76%
- Individuals$54.3M14%
- Pension and profit-sharing plans$23.0M5.7%
- Corporations and businesses$11.9M3.0%
- Charitable organizations$5.8M1.5%
- Individual clients
- 179reported
- HNW clients
- 98reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,199reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $16.0M for 26 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Herbert Lyman Ormond | Greenville, Nc | Jun 28, 2021 | 40 y | 4 |
| Michelle Ann Corey | Greenville, Nc | Jun 29, 2021 | 24 y | 4 |
| John Keais HoytCertified Financial Planner | Greenville, Nc | Jul 9, 2026 | 26 y | 4 |
| Lisa Wooten Hardee | Greenville, Nc | Jul 9, 2026 | 19 y | 3 |
| Tanner Keais HoytCertified Financial Planner | Greenville, Nc | Jul 9, 2026 | 12 y | 2 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days3 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- John Keais Hoyt from Raymond James Financial Services Advisors, IncJul 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- Tanner Keais Hoyt from Raymond James Financial Services Advisors, IncJul 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- Lisa Wooten Hardee from Raymond James Financial Services Advisors, IncJul 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- Michelle Ann Corey from Raymond James Financial Services Advisors, IncJun 29, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- Herbert Lyman Ormond from Raymond James Financial Services Advisors, IncJun 28, 2021 · 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 Raymond James Financial Services Advisors, IncJul 2, 2026 · Greenville, Nc
- 2 joined from Raymond James Financial Services Advisors, IncJun 9, 2021 · Greenville, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Rouse Sharon Dew · Office Administrator And Client Service Associate / Chief Compliance Officercontrolsince 04/2021 · owns less than 5%
- Lyman Herbert Ormond · Managing Member / President & Chief Investment Officercontrolsince 04/2021 · 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 |
|---|---|---|---|---|---|
| Greenville, Nc · principal | 5 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing May 1, 2026financial planning (Item 5.G.1): no on the filing of 2026-03-11, yes on the filing of 2026-05-01peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 2 to 4Mar 11, 2026 to May 1, 2026
- Advisory activities · 2 to 3Mar 11, 2026 to May 1, 2026
- Employees · 3 to 7Mar 11, 2026 to May 1, 2026
- Financial planning clients · to 101-250Mar 11, 2026 to May 1, 2026
- State-registered IARs · 2 to 4Mar 11, 2026 to May 1, 2026
- Other offices · 0 to 1Mar 11, 2026 to May 1, 2026
- Accounts · 1,167 to 1,199Mar 10, 2025 to Mar 11, 2026
- Corporate clients · unset to 5.0Mar 10, 2025 to Mar 11, 2026
- HNW clients · 81 to 98Mar 10, 2025 to Mar 11, 2026
- Individual clients · 175 to 179Mar 10, 2025 to Mar 11, 2026
- Assets in custody · $16.5M to $16.0MMar 10, 2025 to Mar 11, 2026
- Discretionary RAUM · $345M to $384MMar 10, 2025 to Mar 11, 2026
- HNW RAUM · $262M to $306MMar 10, 2025 to Mar 11, 2026
- Individual RAUM · $59.2M to $54.3MMar 10, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $14.8M to $17.5MMar 10, 2025 to Mar 11, 2026
- Pension RAUM · $22.8M to $23.0MMar 10, 2025 to Mar 11, 2026
- RAUM · $360M to $401MMar 10, 2025 to Mar 11, 2026
- Accounts · 1,135 to 1,167Mar 22, 2024 to Mar 10, 2025
- HNW clients · 77 to 81Mar 22, 2024 to Mar 10, 2025
- Individual clients · 196 to 175Mar 22, 2024 to Mar 10, 2025
- Assets in custody · $10.9M to $16.5MMar 22, 2024 to Mar 10, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 10, 2025
- Discretionary RAUM · $304M to $345MMar 22, 2024 to Mar 10, 2025
- HNW RAUM · $229M to $262MMar 22, 2024 to Mar 10, 2025
- Individual RAUM · $56.5M to $59.2MMar 22, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $12.5M to $14.8MMar 22, 2024 to Mar 10, 2025
- Pension RAUM · $19.6M to $22.8MMar 22, 2024 to Mar 10, 2025
- RAUM · $317M to $360MMar 22, 2024 to Mar 10, 2025
- Accounts · 1,130 to 1,135Mar 23, 2023 to Mar 22, 2024
- HNW clients · 68 to 77Mar 23, 2023 to Mar 22, 2024
- Individual clients · 181 to 196Mar 23, 2023 to Mar 22, 2024
- Assets in custody · $27.7M to $10.9MMar 23, 2023 to Mar 22, 2024
- Employees · 4 to 3Mar 23, 2023 to Mar 22, 2024
- Discretionary RAUM · $263M to $304MMar 23, 2023 to Mar 22, 2024
- HNW RAUM · $173M to $229MMar 23, 2023 to Mar 22, 2024
- Individual RAUM · $74.1M to $56.5MMar 23, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $11.8M to $12.5MMar 23, 2023 to Mar 22, 2024
- Pension RAUM · $17.6M to $19.6MMar 23, 2023 to Mar 22, 2024
- RAUM · $274M to $317MMar 23, 2023 to Mar 22, 2024
- Accounts · 1,118 to 1,130Mar 11, 2022 to Mar 23, 2023
Signals
3 dated events
- 3 advisors left Raymond James Financial Services Advisors, Inc (Greenville, NC) for H. L. Ormond & Company, LLC on the same dayJul 2, 2026 · Team lift-out · derived
- Rouse Sharon Dew (Office Administrator And Client Service Associate / Chief Compliance Officer) appeared on Schedule A of H. L. Ormond & Company, LlcApr 6, 2021 · Control person joined · fact
- H. L. Ormond & Company, Llc filed its initial SEC registration (Form ADV)Mar 17, 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 email
- herb@hlormond.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- sharon@hlormond.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 252-756-4010reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 252-756-4090reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-343-3576reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- hlormond.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (252) 756-4010reportedpublic record, Form ADV, May 1, 2026
- Contact form
- hlormond.com/contact-usreportedpublished 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
- $80.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026