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••• R••• I•••
Latest filing Mar 9, 2026
First filing on the tape Jun 12, 2023 · 7 filings
SEC status approved since Jul 14, 2023
RAUM
$161M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$161M as of Mar 9, 2026
Mar 11, 2024$160M then
HNW client RAUM$0 as of Mar 9, 2026
Mar 11, 2024$0 then
State-registered IARs (5.B.3)0 as of Mar 9, 2026
Mar 11, 20240 then
Employees (5.A)9 as of Mar 9, 2026
Mar 11, 20248 then
Private funds: no history
RAUM -1.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- unknownderivedRAUM 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
- $161MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consulting, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$161M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
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
- F••••••• T•••••• W•••••• · Chief Compliance Officercontrolsince 05/2023 · owns less than 5%
- R••••• J•••• P•••••• · Director And Secretarycontrolsince 05/2023 · owns less than 5%
- R••••• M•••••••• S•• · Presidentcontrolsince 05/2023 · owns less than 5%
- R••••• M•••••••• S•• · Chief Executive Officercontrolsince 03/2003 · owns 75% or more of H•••• A•••• V•••• E••••••••• I•••
Entity owners
- H•••• A•••• V•••• E••••••••• I••• · Direct Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- T••••• W•••••• F••••••insurancey
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $162M to $161MMar 6, 2025 to Mar 9, 2026
- Pension RAUM · $162M to $161MMar 6, 2025 to Mar 9, 2026
- RAUM · $162M to $161MMar 6, 2025 to Mar 9, 2026
- Employees · 8 to 9Mar 11, 2024 to Mar 6, 2025
- Financial planning clients · unset to Mar 11, 2024 to Mar 6, 2025
- Discretionary RAUM · $160M to $162MMar 11, 2024 to Mar 6, 2025
- Pension RAUM · $160M to $162MMar 11, 2024 to Mar 6, 2025
- RAUM · $160M to $162MMar 11, 2024 to Mar 6, 2025
- Discretionary RAUM · $165M to $160MNov 9, 2023 to Mar 11, 2024
- Pension RAUM · $165M to $160MNov 9, 2023 to Mar 11, 2024
- RAUM · $165M to $160MNov 9, 2023 to Mar 11, 2024
- Accounts · 0 to 1Jun 20, 2023 to Nov 8, 2023
- Pension plan clients · 0.0 to unsetJun 20, 2023 to Nov 8, 2023
- Discretionary RAUM · $0 to $165MJun 20, 2023 to Nov 8, 2023
- Pension RAUM · $0 to $165MJun 20, 2023 to Nov 8, 2023
- RAUM · $0 to $165MJun 20, 2023 to Nov 8, 2023
Signals
1 dated events
- H••• R••• I••• filed its initial SEC registration (Form ADV)Jun 12, 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
- 401-865-6900reportedpublic record, Form ADV, Mar 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
- Institutional 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