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•••••• O• W••
Legal name H••• C•••••• O• W••• L••
Latest filing Mar 15, 2026
First filing on the tape Dec 15, 2023 · 9 filings
SEC status approved since Jan 19, 2024
RAUM
$82.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$82.4M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$41.3M
derived; firm RAUM over IAPD count
Employees
2
2 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$82.6M as of Mar 15, 2026
Jan 29, 2024$41.7M then
HNW client RAUM$41.7M as of Mar 15, 2026
Jan 29, 2024$18.5M then
State-registered IARs (5.B.3)2 as of Mar 15, 2026
Jan 29, 20242 then
Employees (5.A)2 as of Mar 15, 2026
Jan 29, 20242 then
Private funds: no history
RAUM +38% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 15, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $41.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 136derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $621,685derivedHNW RAUM over HNW clients
- Average account
- $202,832derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -19%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
- 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
- High-net-worth individuals$41.7M50%
- Individuals$40.7M49%
- Charitable organizations$175,3700.2%
- Individual clients
- 205reported
- HNW clients
- 67reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 407reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• E••••• H••••Certified Financial Planner | Lakeville, Ny | Mar 20, 2023 | 29 y | 1 |
| C••••••••• P••• Y••••• | Lakeville, Ny | Sep 21, 2023 | 23 y | 1 |
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
- C••••••••• P••• Y••••• from H•• C•••••• L••Sep 21, 2023 · RIA to RIA
- J••• E••••• H•••• from H•• C•••••• L••Mar 20, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• J•••• E••••• · Presidentcontrolsince 02/2023 · owns less than 5%
- Y•••••• C••••••••• P••• · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- H••••• J•••• E••••• · Presidentcontrolsince 02/2023 · owns 75% or more of H• H••••••• O• W••• L••
Entity owners
- H• H••••••• O• W••• L•• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Lakeville, Ny · principal | 2 | 0 | 0 |
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 25 %Change between filings · filing Mar 15, 2026RAUM (Item 5.F) moved from $59,821,806 to $82,552,678 (+38.0%) between the annual amendments of 2025-02-11 and 2026-03-15; the peer median change was +8.0% (219 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, under $100M (219) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 341 to 407Feb 9, 2026 to Mar 15, 2026
- Charity clients · 2 to 3Feb 9, 2026 to Mar 15, 2026
- Corporate clients · 1 to 0Feb 9, 2026 to Mar 15, 2026
- HNW clients · 58 to 67Feb 9, 2026 to Mar 15, 2026
- Individual clients · 277 to 205Feb 9, 2026 to Mar 15, 2026
- Discretionary RAUM · $59.8M to $82.5MFeb 9, 2026 to Mar 15, 2026
- HNW RAUM · $24.8M to $41.7MFeb 9, 2026 to Mar 15, 2026
- Individual RAUM · $34.7M to $40.7MFeb 9, 2026 to Mar 15, 2026
- Non-discretionary RAUM · $29,226 to $37,251Feb 9, 2026 to Mar 15, 2026
- RAUM · $59.8M to $82.6MFeb 9, 2026 to Mar 15, 2026
- Accounts · 209 to 341Sep 26, 2024 to Feb 11, 2025
- Charity clients · 0 to 2Sep 26, 2024 to Feb 11, 2025
- Corporate clients · 2 to 1Sep 26, 2024 to Feb 11, 2025
- HNW clients · 28 to 58Sep 26, 2024 to Feb 11, 2025
- Individual clients · 119 to 277Sep 26, 2024 to Feb 11, 2025
- Financial planning clients · 0 to 0Sep 26, 2024 to Feb 11, 2025
- Discretionary RAUM · $41.7M to $59.8MSep 26, 2024 to Feb 11, 2025
- HNW RAUM · $18.5M to $24.8MSep 26, 2024 to Feb 11, 2025
- Individual RAUM · $21.9M to $34.7MSep 26, 2024 to Feb 11, 2025
- Non-discretionary RAUM · $34,152 to $29,226Sep 26, 2024 to Feb 11, 2025
- RAUM · $41.7M to $59.8MSep 26, 2024 to Feb 11, 2025
- Accounts · 211 to 209Jan 23, 2024 to Jan 29, 2024
- Individual clients · 19 to 119Jan 23, 2024 to Jan 29, 2024
- Discretionary RAUM · $36.9M to $41.7MJan 23, 2024 to Jan 29, 2024
- HNW RAUM · $16.3M to $18.5MJan 23, 2024 to Jan 29, 2024
- Individual RAUM · $19.4M to $21.9MJan 23, 2024 to Jan 29, 2024
- Non-discretionary RAUM · $29,279 to $34,152Jan 23, 2024 to Jan 29, 2024
- RAUM · $36.9M to $41.7MJan 23, 2024 to Jan 29, 2024
Signals
1 dated events
- H••• C•••••• O• W•• filed its initial SEC registration (Form ADV)Dec 15, 2023 · 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
- 585-261-4435reportedpublic record, Form ADV, Mar 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
- $41.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026