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••••• A•••• M••••••••• L••
Latest filing Jan 9, 2026
First filing on the tape Mar 30, 2021 · 9 filings
SEC status approved since May 4, 2021
RAUM
$178M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$176M 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
9 filings and snapshots on the tape
RAUM$178M as of Jan 9, 2026
Jan 24, 2022$174M then
HNW client RAUM$176M as of Jan 9, 2026
Jan 24, 2022$172M then
State-registered IARs (5.B.3)1 as of Jan 9, 2026
Jan 24, 20221 then
Employees (5.A)1 as of Jan 9, 2026
Jan 24, 20221 then
Private funds: no history
RAUM -8.9% over the last fiscal year+4.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $178MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.5MderivedHNW RAUM over HNW clients
- Average account
- $6.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +145%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$176M99%
- Pension and profit-sharing plans$1.8M1.0%
- Individual clients
- 0reported
- HNW clients
- 27reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 27reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
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
- H•••••• W••••••• T••••• · Managing Member And Chief Compliance Officercontrolsince 01/2021 · 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.
What changed
consecutive filings, newest first
- Accounts · 34 to 27Jan 16, 2025 to Jan 9, 2026
- HNW clients · 11 to 27Jan 16, 2025 to Jan 9, 2026
- Discretionary RAUM · $195M to $178MJan 16, 2025 to Jan 9, 2026
- HNW RAUM · $194M to $176MJan 16, 2025 to Jan 9, 2026
- Pension RAUM · $1.4M to $1.8MJan 16, 2025 to Jan 9, 2026
- RAUM · $195M to $178MJan 16, 2025 to Jan 9, 2026
- Accounts · 30 to 34Jan 16, 2024 to Jan 16, 2025
- Financial planning clients · unset to Jan 16, 2024 to Jan 16, 2025
- HQ city · unset to Jan 16, 2024 to Jan 16, 2025
- HQ state · unset to Jan 16, 2024 to Jan 16, 2025
- Discretionary RAUM · $170M to $195MJan 16, 2024 to Jan 16, 2025
- HNW RAUM · $169M to $194MJan 16, 2024 to Jan 16, 2025
- Pension RAUM · $900,000 to $1.4MJan 16, 2024 to Jan 16, 2025
- RAUM · $170M to $195MJan 16, 2024 to Jan 16, 2025
- Accounts · 25 to 30Nov 15, 2023 to Jan 16, 2024
- Discretionary RAUM · $155M to $170MNov 15, 2023 to Jan 16, 2024
- HNW RAUM · $154M to $169MNov 15, 2023 to Jan 16, 2024
- Pension RAUM · $525,000 to $900,000Nov 15, 2023 to Jan 16, 2024
- RAUM · $155M to $170MNov 15, 2023 to Jan 16, 2024
- Accounts · 28 to 25Jan 24, 2022 to Feb 7, 2023
- HNW clients · 7 to 11Jan 24, 2022 to Feb 7, 2023
- Pension plan clients · 2 to 1Jan 24, 2022 to Feb 7, 2023
- Discretionary RAUM · $174M to $155MJan 24, 2022 to Feb 7, 2023
- HNW RAUM · $172M to $154MJan 24, 2022 to Feb 7, 2023
- Pension RAUM · $2.3M to $525,000Jan 24, 2022 to Feb 7, 2023
- RAUM · $174M to $155MJan 24, 2022 to Feb 7, 2023
- Charity clients · unset to 0.0Jul 14, 2021 to Jan 24, 2022
- Corporate clients · unset to 0.0Jul 14, 2021 to Jan 24, 2022
- HNW clients · 9 to 7Jul 14, 2021 to Jan 24, 2022
- Individual clients · unset to 0.0Jul 14, 2021 to Jan 24, 2022
- Pooled vehicle clients · unset to 0.0Jul 14, 2021 to Jan 24, 2022
- Discretionary RAUM · $139M to $174MJul 14, 2021 to Jan 24, 2022
- HNW RAUM · $136M to $172MJul 14, 2021 to Jan 24, 2022
- Individual RAUM · unset to 0.0Jul 14, 2021 to Jan 24, 2022
- Pension RAUM · $3.0M to $2.3MJul 14, 2021 to Jan 24, 2022
- Pooled vehicle RAUM · unset to 0.0Jul 14, 2021 to Jan 24, 2022
- RAUM · $139M to $174MJul 14, 2021 to Jan 24, 2022
- Accounts · 0 to 28May 25, 2021 to Jul 14, 2021
- HNW clients · unset to 9.0May 25, 2021 to Jul 14, 2021
- Pension plan clients · unset to 2.0May 25, 2021 to Jul 14, 2021
Signals
1 dated events
- H••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 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
- Principal office phone
- 775-843-2069reportedpublic record, Form ADV, Jan 9, 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