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.
SEC-registered adviser
Huffman & Ross Wealth Management LLC
Latest filing Jun 29, 2026
First filing on the tape Apr 22, 2025 · 6 filings
SEC status approved since Apr 30, 2025
RAUM
$210M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
98%
$207M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$210M as of Jun 29, 2026
Apr 22, 2025$0 then
HNW client RAUM$146M as of Jun 29, 2026
Jul 9, 2025$70.2M then
State-registered IARs (5.B.3)2 as of Jun 29, 2026
Apr 22, 20252 then
Employees (5.A)2 as of Jun 29, 2026
Apr 22, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 29, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 204derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $716,140derivedHNW RAUM over HNW clients
- Average account
- $320,556derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$146M70%
- Individuals$60.6M29%
- Pension and profit-sharing plans$2.9M1.4%
- Corporations and businesses$359,0000.2%
- Individual clients
- 204reported
- HNW clients
- 204reported
- Pension plan clients
- 3reported
- Charitable clients
- 0reported
- Accounts
- 655reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jon Erik Huffman | Morgantown, Wv | May 2, 2025 | 23 y | 3 |
| Jennifer Nicole Ross | Morgantown, Wv | May 2, 2025 | 21 y | 5 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
- Jon Erik Huffman from Equitable Advisors, LLCMay 2, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- Jennifer Nicole Ross from Equitable Advisors, LLCMay 2, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Erik Jon Huffman · Managing Partner And Chief Compliance Officercontrolsince 03/2021 · owns 50% to 75%
- Nicole Jennifer Ross · Managing Partnercontrolsince 03/2021 · 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 |
|---|---|---|---|---|---|
| Morgantown, Wv · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jun 29, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
- business activity changedChange between filings · filing Jun 29, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-02-02, yes on the filing of 2026-06-29peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory activities · 2 to 3Feb 2, 2026 to Jun 29, 2026
- Accounts · 274 to 655Sep 11, 2025 to Feb 2, 2026
- Charity clients · 1 to 0Sep 11, 2025 to Feb 2, 2026
- Corporate clients · 2 to 1Sep 11, 2025 to Feb 2, 2026
- HNW clients · 62 to 204Sep 11, 2025 to Feb 2, 2026
- Individual clients · 212 to 204Sep 11, 2025 to Feb 2, 2026
- Pension plan clients · 0 to 3Sep 11, 2025 to Feb 2, 2026
- Financial planning clients · 0 to 51-100Sep 11, 2025 to Feb 2, 2026
- HNW RAUM · $70.2M to $146MSep 11, 2025 to Feb 2, 2026
- Individual RAUM · $58.5M to $60.6MSep 11, 2025 to Feb 2, 2026
- Non-discretionary RAUM · $129M to $210MSep 11, 2025 to Feb 2, 2026
- Pension RAUM · $0 to $2.9MSep 11, 2025 to Feb 2, 2026
- RAUM · $129M to $210MSep 11, 2025 to Feb 2, 2026
- Financial planning clients · 0 to 0Jul 9, 2025 to Sep 11, 2025
- Accounts · 0 to 274May 23, 2025 to Jul 9, 2025
- Charity clients · unset to 1.0May 23, 2025 to Jul 9, 2025
- Corporate clients · unset to 2.0May 23, 2025 to Jul 9, 2025
- HNW clients · unset to 62.0May 23, 2025 to Jul 9, 2025
- Individual clients · unset to 212.0May 23, 2025 to Jul 9, 2025
- Pension plan clients · unset to 0.0May 23, 2025 to Jul 9, 2025
- Pooled vehicle clients · unset to 0.0May 23, 2025 to Jul 9, 2025
- HNW RAUM · unset to 70156000.0May 23, 2025 to Jul 9, 2025
- Individual RAUM · unset to 58467000.0May 23, 2025 to Jul 9, 2025
- Non-discretionary RAUM · $0 to $129MMay 23, 2025 to Jul 9, 2025
- Pension RAUM · unset to 0.0May 23, 2025 to Jul 9, 2025
- Pooled vehicle RAUM · unset to 0.0May 23, 2025 to Jul 9, 2025
- RAUM · $0 to $129MMay 23, 2025 to Jul 9, 2025
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
- Website
- huffmanross.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 304-241-4478reportedpublic record, Form ADV, Jun 29, 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026