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•••••••• W•••••
Legal name H•••••••• W••••• M••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Oct 23, 2025 · 3 filings
SEC status approved since Sep 30, 2025
RAUM
$37.5M
reported, Item 5.F
Discretionary
20%
of RAUM
Private clients
80%
$29.9M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$7.5M
derived; firm RAUM over IAPD count
Employees
14
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$37.5M as of Mar 31, 2026
Oct 23, 2025$0 then
HNW client RAUM: $6.1M
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Oct 23, 20255 then
Employees (5.A)14 as of Mar 31, 2026
Oct 23, 202511 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $7.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $187,677derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 20%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$23.9M64%
- Pension and profit-sharing plans$7.6M20%
- High-net-worth individuals$6.1M16%
- Individual clients
- 193reported
- HNW clients
- 4reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 200reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.2 related_bd=false related_bank=false bd_reps=9.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• C••• H•••••Certified Financial Planner | Richmond, Va | Oct 8, 2025 | 26 y | 1 |
| R••• B•••••••• | Richmond, Va | Oct 8, 2025 | 12 y | 0 |
| C••••••••• W••• C••••Certified Financial Planner | Richmond, Va | Oct 8, 2025 | 15 y | 1 |
| E•••••••• B••••• M••••• | Richmond, Va | Oct 8, 2025 | 10 y | 0 |
| R•••••• W•••••• M•••Certified Financial Planner | Richmond, Va | Oct 8, 2025 | 12 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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
- J••• C••• H••••• from S••••••• I••••••••• I•••Oct 8, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- C••••••••• W••• C•••• from S••••••• I••••••••• I•••Oct 8, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- R•••••• W•••••• M••• from S••••••• I••••••••• I•••Oct 8, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••••• I••••••••• I•••Nov 2, 2018 · Henrico, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J•••••• C••• · Shareholder, Chief Financial Officercontrolsince 05/2025 · owns 25% to 50%
- H•••••• J••• C••• · Principal Owner, Chief Compliance Officercontrolsince 05/2025 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Richmond, Va · principal | 5 | 5 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 200Jan 9, 2026 to Mar 31, 2026
- Advisory employees · 6 to 4Jan 9, 2026 to Mar 31, 2026
- BD registered reps · 8 to 9Jan 9, 2026 to Mar 31, 2026
- HNW clients · unset to 4.0Jan 9, 2026 to Mar 31, 2026
- Individual clients · unset to 193.0Jan 9, 2026 to Mar 31, 2026
- Pension plan clients · 45.0 to unsetJan 9, 2026 to Mar 31, 2026
- Employees · 11 to 14Jan 9, 2026 to Mar 31, 2026
- Financial planning clients · 0 to 251-500Jan 9, 2026 to Mar 31, 2026
- Discretionary RAUM · $0 to $7.6MJan 9, 2026 to Mar 31, 2026
- HNW RAUM · unset to 6062803.0Jan 9, 2026 to Mar 31, 2026
- Individual RAUM · unset to 23878480.0Jan 9, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $29.9MJan 9, 2026 to Mar 31, 2026
- Pension RAUM · $0 to $7.6MJan 9, 2026 to Mar 31, 2026
- RAUM · $0 to $37.5MJan 9, 2026 to Mar 31, 2026
- Pension plan clients · unset to 45.0Oct 23, 2025 to Jan 9, 2026
- Pension RAUM · unset to 0.0Oct 23, 2025 to Jan 9, 2026
Signals
No event on the tape.
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
- sthomas@hermitagewealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- amassengill@hermitagewealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- aroever@hermitagewealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jwells@hermitagewealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- ltucker@hermitagewealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- myteam@hermitagewealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 804-270-7811reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 804-294-0880reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 804-270-7877reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- hermitagewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 804-270-7877reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- hermitagewealth.com/contactreportedpublished by the firm, firm site, 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
- $7.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026