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•••••••• G•••• L••
Latest filing Sep 16, 2026
First filing on the tape Oct 25, 2024 · 9 filings
SEC status approved since Nov 26, 2024
RAUM
$136M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
78%
$106M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$45.5M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$136M as of Jun 1, 2026
Mar 28, 2025$97.0M then
HNW client RAUM$49.8M as of Jun 1, 2026
Mar 28, 2025$35.9M then
State-registered IARs (5.B.3)3 as of Jun 1, 2026
Mar 28, 20253 then
Employees (5.A)5 as of Jun 1, 2026
Mar 28, 20253 then
Private funds: no history
RAUM +41% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $45.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $212,139derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Custody
- $35.9M, 134 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$56.4M41%
- High-net-worth individuals$49.8M36%
- Charitable organizations$17.4M13%
- Corporations and businesses$12.8M9.4%
- Individual clients
- 250reported
- HNW clients
- 26reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 643reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $35.9M for 134 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.13 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••••• L••• D•••• | Virginia Beach, Va | Nov 26, 2024 | 20 y | 6 |
| R••••••• B••••••• H••••••••• I••Certified Financial Planner, Chartered Financial Consultant | Virginia Beach, Va | Nov 26, 2024 | 20 y | 2 |
| T•••• L•• L••••••• | Virginia Beach, Va | Jan 29, 2026 | 11 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- N•••• T• B•••• to F•••• P••••••• W•••••• L••Jan 8, 2026 · RIA to RIA
Joined, latest
- T•••• L•• L••••••• from R•• P•••••• W•••••Jan 29, 2026 · RIA to RIA
- N•••• T• B•••• from L•• F•••••••• L••Dec 16, 2024 · Affiliated broker-dealer or bank to independent RIA
- S•••••••• L••• D•••• from L•• F•••••••• L••Nov 26, 2024 · Affiliated broker-dealer or bank to independent RIA
- R••••••• B••••••• H••••••••• I•• from L•• F•••••••• L••Nov 26, 2024 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••Mar 26, 2025 · Virginia Beach, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• S••••••••• L••• · Executive Vice President And Chief Compliance Officercontrolsince 10/2019 · owns less than 5%
- H••••••••• R•••••••• B••••••• · Chief Executive Officer And Ownercontrolsince 03/2017 · 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 |
|---|---|---|---|---|---|
| Virginia Beach, Va · principal | 3 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $96,995,773 to $136,405,284 (+41.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was +15.0% (4549 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 93% percentile
- institutional asset share shiftChange between filings · filing Mar 27, 2026institutional share of RAUM moved from 1.0% to 22.0% between the annual amendments of 2025-03-28 and 2026-03-27peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Business name · H•••••••• F•••••••• G•••• L•• to H••••••••• W••••• P•••••••Jun 1, 2026 to Sep 7, 2026
- Financial planning clients · 1-10 to 1-10Jun 1, 2026 to Sep 7, 2026
- Related adviser · false to unsetJun 1, 2026 to Sep 7, 2026
- Related bank · false to unsetJun 1, 2026 to Sep 7, 2026
- Related broker-dealer · false to unsetJun 1, 2026 to Sep 7, 2026
- Related insurance company · false to unsetJun 1, 2026 to Sep 7, 2026
- Succession · false to unsetJun 1, 2026 to Sep 7, 2026
- Accounts · 601 to 643Jan 11, 2026 to Mar 27, 2026
- BD registered reps · 2 to 0Jan 11, 2026 to Mar 27, 2026
- Charity clients · 2 to 1Jan 11, 2026 to Mar 27, 2026
- Corporate clients · 2 to 3Jan 11, 2026 to Mar 27, 2026
- HNW clients · 27 to 26Jan 11, 2026 to Mar 27, 2026
- Individual clients · 195 to 250Jan 11, 2026 to Mar 27, 2026
- Assets in custody · $27.1M to $35.9MJan 11, 2026 to Mar 27, 2026
- Employees · 3 to 5Jan 11, 2026 to Mar 27, 2026
- Insurance-licensed employees · 2 to 0Jan 11, 2026 to Mar 27, 2026
- Discretionary RAUM · $115M to $124MJan 11, 2026 to Mar 27, 2026
- HNW RAUM · $46.3M to $49.8MJan 11, 2026 to Mar 27, 2026
- Individual RAUM · $52.1M to $56.4MJan 11, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $14.7M to $12.8MJan 11, 2026 to Mar 27, 2026
- RAUM · $130M to $136MJan 11, 2026 to Mar 27, 2026
- Accounts · 517 to 601Mar 28, 2025 to Oct 21, 2025
- Advisory activities · 6 to 7Mar 28, 2025 to Oct 21, 2025
- Charity clients · 0 to 2Mar 28, 2025 to Oct 21, 2025
- HNW clients · 26 to 27Mar 28, 2025 to Oct 21, 2025
- Individual clients · 208 to 195Mar 28, 2025 to Oct 21, 2025
- Discretionary RAUM · $80.1M to $115MMar 28, 2025 to Oct 21, 2025
- HNW RAUM · $35.9M to $46.3MMar 28, 2025 to Oct 21, 2025
- Individual RAUM · $47.8M to $52.1MMar 28, 2025 to Oct 21, 2025
- Non-discretionary RAUM · $16.9M to $14.7MMar 28, 2025 to Oct 21, 2025
- RAUM · $97.0M to $130MMar 28, 2025 to Oct 21, 2025
- Wrap assets (manager) · 0.0 to unsetMar 28, 2025 to Oct 21, 2025
- Wrap assets (sponsor) · 0.0 to unsetMar 28, 2025 to Oct 21, 2025
- Accounts · 511 to 517Dec 16, 2024 to Mar 28, 2025
- Corporate clients · 1 to 2Dec 16, 2024 to Mar 28, 2025
- Individual clients · 198 to 208Dec 16, 2024 to Mar 28, 2025
- Assets in custody · $41.6M to $27.1MDec 16, 2024 to Mar 28, 2025
- Financial planning clients · 101-250 to 1-10Dec 16, 2024 to Mar 28, 2025
- State-registered IARs · 2 to 3Dec 16, 2024 to Mar 28, 2025
- Discretionary RAUM · $71.6M to $80.1MDec 16, 2024 to Mar 28, 2025
Signals
3 dated events
- N•••• T• B•••• left H•••••••• F•••••••• G•••• L•• for F•••• P••••••• W•••••• L•• (registered 2026-03-30)Jan 8, 2026 · Advisor changed firm · fact
- 2 advisors left L•• F•••••••• L•• (Virginia Beach, VA) for H•••••••• F•••••••• G•••• L•• on the same dayMar 26, 2025 · Team lift-out · derived
- H•••••••• F•••••••• G•••• L•• filed its initial SEC registration (Form ADV)Oct 25, 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 email
- t•••@h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 757-720-2706reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 757-314-4638reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/harborpoint-wealth-partnersreportedpublic record, Form ADV, Sep 19, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 757-314-4638reportedpublic record, Form ADV, Sep 16, 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
- $45.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026