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•••••• F•••• I•••••• L••

Asset manager (funds and pooled vehicles)CRD 321151SEC 801-131552websiteIAPD
Latest filing Mar 30, 2026
First filing on the tape Oct 31, 2024 · 4 filings
SEC status approved since Dec 4, 2024
RAUM
$203M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$203M
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
4 filings and snapshots on the tape
RAUM$203M as of Mar 30, 2026
Mar 28, 2025$133M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 28, 20251 then
Employees (5.A)1 as of Mar 30, 2026
Mar 28, 20251 then
Private funds: no history
RAUM +53% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 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
$203MderivedRAUM 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
$203MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+53%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, otherreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$203M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
W•••••• W•••••• S••••Phoenix, AzMay 11, 202217 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S••••• W••••••• W•••••• · Managing Member & Chief Compliance Officercontrol
      since 03/2022 · 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
    • RAUM up 50 %Change between filings · filing Mar 30, 2026
      RAUM (Item 5.F) moved from $132,594,000 to $202,840,517 (+53.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +4.0% (1147 comparable advisers, 91.0th percentile of changes)
      peers: asset managers, $100M to $500M (1,147) · 91% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $133M to $203M
      Mar 28, 2025 to Mar 30, 2026
    • RAUM · $133M to $203M
      Mar 28, 2025 to Mar 30, 2026
    • Financial planning clients · unset to
      Nov 13, 2024 to Mar 28, 2025
    • HQ city · unset to
      Nov 13, 2024 to Mar 28, 2025
    • HQ state · unset to
      Nov 13, 2024 to Mar 28, 2025
    • Discretionary RAUM · $125M to $133M
      Nov 13, 2024 to Mar 28, 2025
    • RAUM · $125M to $133M
      Nov 13, 2024 to Mar 28, 2025
    • Advisory activities · 3 to 2
      Oct 31, 2024 to Nov 13, 2024
    Signals
    1 dated events
    • H•••••• F•••• I•••••• L•• filed its initial SEC registration (Form ADV)
      Oct 31, 2024 · 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
    Firm profile
    linkedin.com/company/harmont-fixed-income/?viewAsMember=truereportedpublic record, Form ADV, Sep 19, 2026
    Website
    h•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    602-791-1800reportedpublic record, Form ADV, Mar 30, 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
    Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
    RAUM per advisor
    $203Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026