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••••• P•••••• C•••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 11, 2024 · 2 filings
SEC status approved since Jan 10, 2025
RAUM
$16.4M
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
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM: $16.4M
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Dec 11, 20245 then
Employees (5.A)6 as of Mar 31, 2026
Dec 11, 20246 then
Private funds: 2
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $3.3MderivedRAUM 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
- $8.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $16.4M, 2 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)
- a related person has custody of client cash (9.B.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$16.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $16.4M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0derived
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
- C••••• P••••••• J•••• · Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- M•••••••• B••••••• J••• · Cfo, Treasurer And Directorcontrolsince 10/2024 · owns less than 5%
- M••••••••• R•••••• S•••••• · Vice President; Directorcontrolsince 10/2024 · owns less than 5%
- S•••••• E••••• L••• · President/Chief Executive Officer And Directorcontrolsince 10/2024 · owns less than 5%
Entity owners
- H••••• A••••••••• H•••••••• L•• · Memberdirect · owns 75% or more
- H••• H•••••••• I••• · Memberindirect · owns 25% to 50% of H••••• A••••••••• H•••••••• L••
Related persons
Schedule D 7.A
- H••••• A••••••••• L••broker-dealerinvestment adviserreal estatenRAUM $1.3B
- H••••• P•••••• C•••••• M••••••••• I• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Salem, OH5 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026advises private funds (Item 7.B): no on the filing of 2024-12-11, yes on the filing of 2026-03-31peers: asset managers, under $100M (330)
- compensation changedChange between filings · filing Mar 31, 2026performance-based compensation (Item 5.E.6): no on the filing of 2024-12-11, yes on the filing of 2026-03-31peers: asset managers, under $100M (330)
What changed
consecutive filings, newest first
- Accounts · unset to 2.0Dec 11, 2024 to Mar 31, 2026
- Pooled vehicle clients · unset to 2.0Dec 11, 2024 to Mar 31, 2026
- Assets in custody · $0 to $16.4MDec 11, 2024 to Mar 31, 2026
- Financial planning clients · 0 to 0Dec 11, 2024 to Mar 31, 2026
- Private funds · unset to 2Dec 11, 2024 to Mar 31, 2026
- Discretionary RAUM · unset to 16376105.0Dec 11, 2024 to Mar 31, 2026
- Non-discretionary RAUM · unset to 0.0Dec 11, 2024 to Mar 31, 2026
- Pooled vehicle RAUM · unset to 16376105.0Dec 11, 2024 to Mar 31, 2026
- RAUM · unset to 16376105.0Dec 11, 2024 to Mar 31, 2026
Signals
1 dated events
- H••••• P•••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 11, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••• P•••••• C•••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- H••••• P•••••• C•••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 412-471-4191reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda 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