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••••••
Legal name H••••••• C••••••• L••
Latest filing Jun 24, 2026
First filing on the tape Jul 16, 2024 · 9 filings
SEC status approved since Sep 24, 2024
RAUM
$559M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
93%
$521M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$55.9M
derived; firm RAUM over IAPD count
Employees
19
12 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$559M as of Jun 24, 2026
Jan 23, 2025$403M then
HNW client RAUM$323M as of Jun 24, 2026
Jan 23, 2025$280M then
State-registered IARs (5.B.3)11 as of Jun 24, 2026
Jan 23, 202512 then
Employees (5.A)19 as of Jun 24, 2026
Jan 23, 202519 then
Private funds: no history
RAUM +39% over the last fiscal yearIARs 12 to 11
Practice profile
derived from the filing of Jun 24, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $55.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $245,190derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 2.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +39%derivedbetween the last two annual amendments
- Advisor growth, one year
- -8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -51%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $482MreportedItem 5.I
- Custody
- $176M, 539 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)
- 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$323M58%
- Individuals$198M35%
- Corporations and businesses$27.5M4.9%
- Charitable organizations$10.5M1.9%
- Individual clients
- 521reported
- HNW clients
- 116reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 2,281reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $176M for 539 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• D•••• S•••• | Clifton Park, Ny | Dec 17, 2024 | 13 y | 3 |
| E••• S•••• C•• | Mt. Pleasant, Sc | Dec 18, 2024 | 32 y | 3 |
| M••••• T• C•••••••Certified Financial Planner | Mt. Pleasant, Sc | Dec 20, 2024 | 10 y | 1 |
| S•••• M••••• D•••••Certified Financial Planner | Mt. Pleasant, Sc | Dec 20, 2024 | 30 y | 3 |
| T•••• B••••• C•••Chartered Financial Analyst | Mt. Pleasant, Sc | Jan 13, 2025 | 18 y | 5 |
| J••• D•••• P••••••• | Mt. Pleasant, Sc | Mar 12, 2025 | 22 y | 6 |
| M••••••• B•••••• E•••• | Mt. Pleasant, Sc | Mar 17, 2025 | 17 y | 1 |
| A•••••••• M•••••• D•• | Mt. Pleasant, Sc | Sep 6, 2025 | 11 y | 0 |
| D•••• W•••••• U••••••• | Mt. Pleasant, Sc | Dec 9, 2025 | 12 y | 1 |
| M•••••• J• M•••••••• | St. Augustine, Fl | Feb 6, 2026 | 13 y | 0 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 10% of current headcount2 left over 36 months
Left, latest
- J••••• C••••••• to W•••• F•••• A•••••••Oct 13, 2025 · RIA to wirehouse
- L••• A• P••• to L•• F•••••••• L••Jun 17, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- D•••• W•••••• U••••••• from M••••••• F•••••••• G••••• I•••Dec 9, 2025 · RIA to RIA
- M••••••• B•••••• E•••• from M••••••• F•••••••• G••••• I•••Mar 17, 2025 · RIA to RIA
- J••• D•••• P••••••• from M••••••• F•••••••• G••••• I•••Mar 12, 2025 · RIA to RIA
- T•••• B••••• C••• from M••••••• F•••••••• G••••• I•••Jan 13, 2025 · RIA to a newly registered adviser
- L••• A• P••• from M••••••• F•••••••• G••••• I•••Dec 20, 2024 · RIA to a newly registered adviser
- S•••• M••••• D••••• from M••••••• F•••••••• G••••• I•••Dec 20, 2024 · RIA to a newly registered adviser
- M••••• T• C••••••• from M••••••• F•••••••• G••••• I•••Dec 20, 2024 · RIA to a newly registered adviser
- J••••• C••••••• from M••••••• F•••••••• G••••• I•••Dec 20, 2024 · RIA to a newly registered adviser
- E••• S•••• C•• from L•• F•••••••• L••Dec 18, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••• D•••• S•••• from L•• F•••••••• L••Dec 17, 2024 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from M••••••• F•••••••• G••••• I•••Dec 18, 2024 · Jacksonville, Fl
- 2 joined from M••••••• F•••••••• G••••• I•••Dec 18, 2024 · Rockville, Md
- 3 joined from M••••••• F•••••••• G••••• I•••Dec 18, 2024 · Mount Pleasant, Sc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• T••••• B••••• · Managing Directorcontrolsince 06/2024 · owns 25% to 50%
- C••• E•••• S•••• · Managing Directorcontrolsince 06/2024 · owns 50% to 75%
- U•••••••• D••••• W•••••• · Managing Directorcontrolsince 06/2024 · owns 25% to 50%
- G••••••• S••••• A•• · Chief Compliance Officersince 07/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Mt Pleasant, Sc | 10 | 2 | 1 | ||
| Jacksonville, Fl | 3 | 0 | 0 | ||
| St Augustine, Fl | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Jacksonville, FL3 employees
- Jacksonville, FL2 employees
- St. Augustine, FL1 employees
- , 1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 24, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $403,025,177 to $559,277,399, advisors 12 to 11, private clients 1292 to 637, offices 4 to 4 (2025-03-04 to 2026-03-24)peers: independent wealth managers, $500M to $1B (1,482)
- RAUM up 25 %Change between filings · filing Mar 24, 2026RAUM (Item 5.F) moved from $403,025,177 to $559,277,399 (+39.0%) between the annual amendments of 2025-03-04 and 2026-03-24; the peer median change was +16.0% (1385 comparable advisers, 90.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 90% percentile
- account count surgeChange between filings · filing Mar 24, 2026accounts (Item 5.F.2.f) moved from 1,356.0 to 2,281.0 (+68.0%) between the annual amendments of 2025-03-04 and 2026-03-24; the peer median change was +6.0% (1256 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 96% percentile
- client count collapseChange between filings · filing Mar 24, 2026individual and HNW clients (Item 5.D) moved from 1,292.0 to 637.0 (-51.0%) between the annual amendments of 2025-03-04 and 2026-03-24; the peer median change was +5.0% (1216 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 1.4% percentile
What changed
consecutive filings, newest first
- BD registered reps · 12 to 0Mar 24, 2026 to Jun 24, 2026
- Accounts · 1,509 to 2,281Dec 8, 2025 to Mar 24, 2026
- Advisory employees · 9 to 12Dec 8, 2025 to Mar 24, 2026
- BD registered reps · 13 to 12Dec 8, 2025 to Mar 24, 2026
- Charity clients · 6 to 10Dec 8, 2025 to Mar 24, 2026
- Corporate clients · 14 to 9Dec 8, 2025 to Mar 24, 2026
- HNW clients · 74 to 116Dec 8, 2025 to Mar 24, 2026
- Individual clients · 1,172 to 521Dec 8, 2025 to Mar 24, 2026
- Pension plan clients · 41.0 to unsetDec 8, 2025 to Mar 24, 2026
- Assets in custody · $2.6M to $176MDec 8, 2025 to Mar 24, 2026
- State-registered IARs · 12 to 11Dec 8, 2025 to Mar 24, 2026
- Discretionary RAUM · $403M to $482MDec 8, 2025 to Mar 24, 2026
- HNW RAUM · $280M to $323MDec 8, 2025 to Mar 24, 2026
- Individual RAUM · $90.4M to $198MDec 8, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $0 to $77.5MDec 8, 2025 to Mar 24, 2026
- Pension RAUM · 7222538.0 to unsetDec 8, 2025 to Mar 24, 2026
- RAUM · $403M to $559MDec 8, 2025 to Mar 24, 2026
- Wrap assets (manager) · $349M to $0Dec 8, 2025 to Mar 24, 2026
- Accounts · 1,356 to 1,509Mar 4, 2025 to Jul 24, 2025
- Charity clients · 9 to 6Mar 4, 2025 to Jul 24, 2025
- HNW clients · 565 to 74Mar 4, 2025 to Jul 24, 2025
- Individual clients · 727 to 1,172Mar 4, 2025 to Jul 24, 2025
- Financial planning clients · 1-10 to 1-10Mar 4, 2025 to Jul 24, 2025
- Accounts · 0 to 1,356Aug 7, 2024 to Jan 23, 2025
- Advisory employees · 3 to 9Aug 7, 2024 to Jan 23, 2025
- BD registered reps · 3 to 13Aug 7, 2024 to Jan 23, 2025
- Charity clients · unset to 9.0Aug 7, 2024 to Jan 23, 2025
- Corporate clients · unset to 14.0Aug 7, 2024 to Jan 23, 2025
- HNW clients · unset to 565.0Aug 7, 2024 to Jan 23, 2025
- Individual clients · unset to 727.0Aug 7, 2024 to Jan 23, 2025
- Pension plan clients · unset to 41.0Aug 7, 2024 to Jan 23, 2025
- Assets in custody · unset to 2566987.0Aug 7, 2024 to Jan 23, 2025
- Custody of client assets · false to trueAug 7, 2024 to Jan 23, 2025
- Employees · 9 to 19Aug 7, 2024 to Jan 23, 2025
- Financial planning clients · 0 to 1-10Aug 7, 2024 to Jan 23, 2025
- State-registered IARs · 3 to 12Aug 7, 2024 to Jan 23, 2025
- Discretionary RAUM · $0 to $403MAug 7, 2024 to Jan 23, 2025
- HNW RAUM · unset to 280203796.0Aug 7, 2024 to Jan 23, 2025
- Individual RAUM · unset to 90353008.0Aug 7, 2024 to Jan 23, 2025
- Pension RAUM · unset to 7222538.0Aug 7, 2024 to Jan 23, 2025
Signals
7 dated events
- H••••••• C•••••• reported RAUM $559.3M, up 39% from $403.0M (2025-12-08 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- J••••• C••••••• left H••••••• C•••••• for W•••• F•••• A••••••• (registered 2025-08-18)Oct 13, 2025 · Advisor changed firm · fact
- L••• A• P••• left H••••••• C•••••• for L•• F•••••••• L•• (registered 2025-06-10)Jun 17, 2025 · Advisor changed firm · fact
- 3 advisors left M••••••• F•••••••• G••••• I••• (Mount Pleasant, SC) for H••••••• C•••••• on the same dayDec 18, 2024 · Team lift-out · derived
- 3 advisors left M••••••• F•••••••• G••••• I••• (Rockville, MD) for H••••••• C•••••• on the same dayDec 18, 2024 · Team lift-out · derived
- 2 advisors left M••••••• F•••••••• G••••• I••• (Jacksonville, FL) for H••••••• C•••••• on the same dayDec 18, 2024 · Team lift-out · derived
- H••••••• C•••••• filed its initial SEC registration (Form ADV)Jul 16, 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
- Business phone
- 843-388-4300reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- h•••••••.capitalreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 843-388-4300reportedpublic record, Form ADV, Jun 24, 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
- $55.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026