DFX Intelligence

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H•••• F••••••

Independent wealth managerSEC-registered· San Francisco, Californiawebsite

Independent wealth manager, based in San Francisco, California, reporting $37.7M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $37.7M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +1477%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

3 changes
ownership and control
1 control person joined and 2 left Schedule A in the last 12 months.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
+1476.8%
RAUM, one year
RAUM $2.39M to $37.7M (+1476.8%) on the Form ADV filed 30 Mar 2026, while advisors on the filing held at 2.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 327608 · SEC 801-128703 · 15 filingsShow

CRD 327608SEC 801-128703Legal name H•••• A••••••• I•••First filing on the tape Aug 8, 2023, latest Mar 30, 2026SEC status approved since Sep 7, 2023IAPD

RAUM

$37.7M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$37.7M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$37.7M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM +1477% over the last fiscal year · the tape starts Aug 8, 2023

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$37.7M as of Mar 30, 2026

Apr 2, 2024$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)2 as of Mar 30, 2026

Apr 2, 20241 then

Employees (5.A)17 as of Mar 30, 2026

Apr 2, 20242 then

Private funds: no history

RAUM +1477% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $37.7MderivedRAUM 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: $132,225derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 17.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +1477%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 assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Wrap fee program: $37.7MreportedItem 5.I
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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.C.1)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% individuals

The breakdown by client type, and the client counts1 client typesShow

Individuals$37.7M100%

Individual clients: 272reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 285reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
M•••••• S••••• S•••	Oakland, Ca	Oct 13, 2025	13 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

J••• M••••••• M• · Head Of Compliancecontrol
since 04/2024 · owns less than 5%
R•••••• C••••••••• · Chief Compliance Officer/General Counselcontrol
since 06/2023 · owns less than 5%
S•••• M••••••• S••••• · Chief Executive Officercontrol
since 06/2023 · owns less than 5%

Entity owners

W•••••• L••• I••••••••• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

New York, NY1 employee

What changed

consecutive filings, newest first

Accounts · 201 to 285
Aug 29, 2025 to Mar 30, 2026
Individual clients · 201 to 272
Aug 29, 2025 to Mar 30, 2026
Discretionary RAUM · $15.3M to $37.7M
Aug 29, 2025 to Mar 30, 2026
Individual RAUM · $15.3M to $37.7M
Aug 29, 2025 to Mar 30, 2026
RAUM · $15.3M to $37.7M
Aug 29, 2025 to Mar 30, 2026

Full history · 33 changes

Accounts · 91 to 201
Mar 28, 2025 to Aug 29, 2025
Individual clients · 91 to 201
Mar 28, 2025 to Aug 29, 2025
Financial planning clients · 0 to 0
Mar 28, 2025 to Aug 29, 2025
Discretionary RAUM · $2.4M to $15.3M
Mar 28, 2025 to Aug 29, 2025
Individual RAUM · $2.4M to $15.3M
Mar 28, 2025 to Aug 29, 2025
RAUM · $2.4M to $15.3M
Mar 28, 2025 to Aug 29, 2025
Accounts · 0 to 91
Feb 21, 2025 to Mar 28, 2025
Advisory employees · 1 to 2
Feb 21, 2025 to Mar 28, 2025
Individual clients · 0 to 91
Feb 21, 2025 to Mar 28, 2025
Employees · 2 to 17
Feb 21, 2025 to Mar 28, 2025
State-registered IARs · 1 to 2
Feb 21, 2025 to Mar 28, 2025
Other offices · 1 to 0
Feb 21, 2025 to Mar 28, 2025
Discretionary RAUM · $0 to $2.4M
Feb 21, 2025 to Mar 28, 2025
Individual RAUM · $0 to $2.4M
Feb 21, 2025 to Mar 28, 2025
RAUM · $0 to $2.4M
Feb 21, 2025 to Mar 28, 2025
Legal name · W•••••• A••••••• INC. to H•••• A••••••• I•••
Sep 25, 2024 to Jan 27, 2025
Advisory employees · 2 to 1
Jan 7, 2024 to Apr 2, 2024
Advisory activities · 3 to 1
Jan 7, 2024 to Apr 2, 2024
Individual clients · unset to 0.0
Jan 7, 2024 to Apr 2, 2024
Financial planning clients · unset to 0
Jan 7, 2024 to Apr 2, 2024
HQ city · OAKLAND to SAN FRANCISCO
Jan 7, 2024 to Apr 2, 2024
State-registered IARs · 2 to 1
Jan 7, 2024 to Apr 2, 2024
Individual RAUM · unset to 0.0
Jan 7, 2024 to Apr 2, 2024
Wrap assets (manager) · unset to 0.0
Jan 7, 2024 to Apr 2, 2024
Wrap assets (sponsor) · unset to 0.0
Jan 7, 2024 to Apr 2, 2024
Business name · G•••••••• A••••••• to H•••• F••••••
Dec 4, 2023 to Jan 7, 2024
Business name · W•••••• A••••••• to G•••••••• A•••••••
Aug 8, 2023 to Aug 16, 2023
Legal name · W•••••• A•••••••, INC. to W•••••• A••••••• INC.
Aug 8, 2023 to Aug 8, 2023

Signals

9 dated events

••• Locked
Mar 30, 2026 · Control person joined · fact
••• Locked
Mar 30, 2026 · ria office closed · derived
••• Locked
Mar 30, 2026 · Control person left · inference
••• Locked
Mar 30, 2026 · Control person left · inference
••• Locked
Mar 30, 2026 · ria principal change · derived

Full timeline · 9 events

••• Locked
Mar 30, 2026 · ria principal change · fact
••• Locked
Sep 25, 2024 · Control person joined · fact
••• Locked
Aug 23, 2023 · Control person joined · fact
••• Locked
Aug 8, 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

Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $37.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026