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••••• C••• W••••• M•••••••••
Legal name H••••• C••• W••••• M••••••••• L••
Latest filing Feb 3, 2026
First filing on the tape Feb 23, 2022 · 12 filings
SEC status approved since Mar 25, 2022
RAUM
$404M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
81%
$327M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$57.6M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$404M as of Feb 3, 2026
Apr 10, 2023$205M then
HNW client RAUM$264M as of Feb 3, 2026
Apr 10, 2023$103M then
State-registered IARs (5.B.3)6 as of Feb 3, 2026
Apr 10, 20237 then
Employees (5.A)7 as of Feb 3, 2026
Apr 10, 20238 then
Private funds: no history
RAUM +20% over the last fiscal year+25% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Feb 3, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $57.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $373,272derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $325M, 273 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$264M65%
- Pension and profit-sharing plans$76.2M19%
- Individuals$63.7M16%
- Individual clients
- 192reported
- HNW clients
- 81reported
- Pension plan clients
- 49reported
- Charitable clients
- n/areported
- Accounts
- 1,081reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $325M for 273 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• A•••••• B•••••• | Bainbridge Island, Wa | Mar 25, 2022 | 9 y | 3 |
| A••••• K•••••• G•••••• | Bainbridge Island, Wa | Mar 25, 2022 | 20 y | 2 |
| S•••• D••• D•• | Bainbridge Island, Wa | Mar 25, 2022 | 20 y | 2 |
| C••• B•••••• | Bainbridge Island, Wa | Mar 25, 2022 | 24 y | 1 |
| J••••••• N••••• M•••• | Bainbridge Island, Wa | Mar 25, 2022 | 12 y | 2 |
| R•• E••••• E•••• | Bainbridge Island, Wa | Mar 25, 2022 | 36 y | 3 |
| A••••• N••••••• T••••• | Bainbridge Island, Wa | Sep 30, 2022 | 12 y | 2 |
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
- A••••• N••••••• T••••• from O•••• W•••••• I•••Sep 30, 2022 · Affiliated broker-dealer or bank to independent RIA
- R•• E••••• E•••• from O•••••••••Mar 25, 2022 · Other
- A••••• K•••••• G•••••• from M••••• S••••••Mar 25, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C••• B•••••• from O•••••••••Mar 25, 2022 · Other
- J••••• A•••••• B•••••• from O•••••••••Mar 25, 2022 · Other
- S•••• D••• D•• from O•••••••••Mar 25, 2022 · Other
- J••••••• N••••• M•••• from O•••••••••Mar 25, 2022 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from O•••••••••May 4, 2022 · Overland Park, Ks
- 2 joined from O•••••••••May 4, 2022 · Bainbridge Island, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••• S••••• D••• · Principal/Investment Advisor Representativecontrolsince 02/2022 · owns 75% or more
- E••••• R••• E••••• · Principal/Investment Advisor Representativecontrolsince 02/2022 · owns 10% to 25%
- G••••••• A•••••• K•••••• · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
Related persons
Schedule D 7.A
- O•• S•••••••• C••••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bainbridge Island, Wa · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 949 to 1,081Mar 26, 2025 to Feb 3, 2026
- Charity clients · 0.0 to unsetMar 26, 2025 to Feb 3, 2026
- Corporate clients · 3.0 to unsetMar 26, 2025 to Feb 3, 2026
- HNW clients · 72 to 81Mar 26, 2025 to Feb 3, 2026
- Individual clients · 215 to 192Mar 26, 2025 to Feb 3, 2026
- Pension plan clients · 41 to 49Mar 26, 2025 to Feb 3, 2026
- Pooled vehicle clients · 0.0 to unsetMar 26, 2025 to Feb 3, 2026
- Assets in custody · $282M to $325MMar 26, 2025 to Feb 3, 2026
- Discretionary RAUM · $325M to $398MMar 26, 2025 to Feb 3, 2026
- HNW RAUM · $205M to $264MMar 26, 2025 to Feb 3, 2026
- Individual RAUM · $50.5M to $63.7MMar 26, 2025 to Feb 3, 2026
- Non-discretionary RAUM · $10.5M to $5.3MMar 26, 2025 to Feb 3, 2026
- Pension RAUM · $65.4M to $76.2MMar 26, 2025 to Feb 3, 2026
- Pooled vehicle RAUM · 0.0 to unsetMar 26, 2025 to Feb 3, 2026
- RAUM · $335M to $404MMar 26, 2025 to Feb 3, 2026
- Accounts · 839 to 949Jan 2, 2025 to Mar 26, 2025
- Corporate clients · 15 to 3Jan 2, 2025 to Mar 26, 2025
- HNW clients · 215 to 72Jan 2, 2025 to Mar 26, 2025
- Individual clients · 513 to 215Jan 2, 2025 to Mar 26, 2025
- Pension plan clients · 96 to 41Jan 2, 2025 to Mar 26, 2025
- Assets in custody · $32.2M to $282MJan 2, 2025 to Mar 26, 2025
- Financial planning clients · 101-250 to 0Jan 2, 2025 to Mar 26, 2025
- Discretionary RAUM · $242M to $325MJan 2, 2025 to Mar 26, 2025
- HNW RAUM · $110M to $205MJan 2, 2025 to Mar 26, 2025
- Individual RAUM · $59.5M to $50.5MJan 2, 2025 to Mar 26, 2025
- Non-discretionary RAUM · $10.5M to $10.5MJan 2, 2025 to Mar 26, 2025
- Pension RAUM · $77.8M to $65.4MJan 2, 2025 to Mar 26, 2025
- RAUM · $253M to $335MJan 2, 2025 to Mar 26, 2025
- Assets in custody · $0 to $32.2MDec 13, 2024 to Jan 2, 2025
- Advisory employees · 5 to 6Jun 19, 2024 to Aug 28, 2024
- Advisory employees · 6 to 5Apr 12, 2024 to Jun 19, 2024
- Employees · 8 to 7Apr 12, 2024 to Jun 19, 2024
- State-registered IARs · 7 to 6Apr 12, 2024 to Jun 19, 2024
- Accounts · 762 to 839Jun 26, 2023 to Apr 12, 2024
- Corporate clients · 3 to 15Jun 26, 2023 to Apr 12, 2024
- HNW clients · 44 to 215Jun 26, 2023 to Apr 12, 2024
- Individual clients · 220 to 513Jun 26, 2023 to Apr 12, 2024
- Pension plan clients · 67 to 96Jun 26, 2023 to Apr 12, 2024
- Discretionary RAUM · $193M to $242MJun 26, 2023 to Apr 12, 2024
- HNW RAUM · $103M to $110MJun 26, 2023 to Apr 12, 2024
Signals
5 dated events
- D•••••• M••••• (Principal/Member) no longer on Schedule A of H••••• C••• W••••• M••••••••• (listed 2024-08-28, absent 2024-12-13)Dec 13, 2024 · Control person left · inference
- Kristin Ashley Goggins (Chief Compliance Officer) appeared on Schedule A of H••••• C••• W••••• M•••••••••Oct 28, 2022 · Control person joined · fact
- 4 advisors left O••••••••• (Overland Park, KS) for H••••• C••• W••••• M••••••••• on the same dayMay 4, 2022 · Team lift-out · derived
- 2 advisors left O••••••••• (Bainbridge Island, WA) for H••••• C••• W••••• M••••••••• on the same dayMay 4, 2022 · Team lift-out · derived
- H••••• C••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Feb 23, 2022 · 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
- 206-397-4890reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 206-397-4894reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/hcwm-llc/?viewAsMember=truereportedpublic record, Form ADV, Sep 18, 2026
- Website
- h•••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-397-4890reportedpublic record, Form ADV, Feb 3, 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
- $57.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026