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•••••• P•••••••
Legal name H•••••••• C•••••• P••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 12, 2025 · 3 filings
SEC status approved since Dec 3, 2025
RAUM
$509M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
78%
$395M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
6
5 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$509M as of Mar 31, 2026
Dec 12, 2025$0 then
HNW client RAUM$373M as of Mar 31, 2026
Jan 14, 2026$160M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Dec 12, 20253 then
Employees (5.A)6 as of Mar 31, 2026
Dec 12, 20255 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
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $854,135derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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 feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $144M, 80 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$373M73%
- Corporations and businesses$106M21%
- Individuals$22.2M4.4%
- Charitable organizations$5.7M1.1%
- Pension and profit-sharing plans$1.9M0.4%
- Individual clients
- 62reported
- HNW clients
- 96reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 596reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $144M for 80 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• C••••• M••••• | Atlanta, Ga | Jan 2, 2026 | 16 y | 5 |
| D••••• C•••••• H••• | Atlanta, Ga | Jan 13, 2026 | 11 y | 2 |
| M•••••• H•••• R•••••••Certified Financial Planner | Atlanta, Ga | Jan 13, 2026 | 27 y | 7 |
| R•••••• W•••• B••• | Atlanta, Ga | Jan 29, 2026 | 20 y | 3 |
Advisor movement
0 left, 4 joined in 12 months
net +4 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
- R•••••• W•••• B••• from A•••••• W••••• M•••••••••Jan 29, 2026 · RIA to RIA
- M•••••• H•••• R••••••• from W••••••• W••••• C•••••• L••Jan 13, 2026 · RIA to a newly registered adviser
- D••••• C•••••• H••• from W••••••• W••••• C•••••• L••Jan 13, 2026 · RIA to a newly registered adviser
- E•••• C••••• M••••• from A•••••• W••••• M•••••••••Jan 2, 2026 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W••••••• W••••• C•••••• L••Feb 10, 2026 · Atlanta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• E••••• C••••• · Chief Compliance Officer & Managing Membercontrolsince 09/2025 · owns 25% to 50%
Entity owners
- L••••• V••••••• L•• · Memberdirect · owns 25% to 50%
- L••••••• H•••••••• L•• · Memberdirect · owns 25% to 50%
- N••••••• 5• L•• · Memberdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2026-01-14, yes on the filing of 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 206 to 596Jan 14, 2026 to Mar 31, 2026
- Advisory employees · 4 to 5Jan 14, 2026 to Mar 31, 2026
- Corporate clients · 29 to 36Jan 14, 2026 to Mar 31, 2026
- HNW clients · 45 to 96Jan 14, 2026 to Mar 31, 2026
- Individual clients · 13 to 62Jan 14, 2026 to Mar 31, 2026
- Pension plan clients · unset to 1.0Jan 14, 2026 to Mar 31, 2026
- Assets in custody · unset to 144304173.0Jan 14, 2026 to Mar 31, 2026
- Custody of client assets · false to trueJan 14, 2026 to Mar 31, 2026
- Insurance-licensed employees · 1 to 0Jan 14, 2026 to Mar 31, 2026
- Discretionary RAUM · $236M to $479MJan 14, 2026 to Mar 31, 2026
- HNW RAUM · $160M to $373MJan 14, 2026 to Mar 31, 2026
- Individual RAUM · $11.4M to $22.2MJan 14, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $30.4MJan 14, 2026 to Mar 31, 2026
- Pension RAUM · unset to 1939193.0Jan 14, 2026 to Mar 31, 2026
- RAUM · $236M to $509MJan 14, 2026 to Mar 31, 2026
- Related adviser · true to falseJan 14, 2026 to Mar 31, 2026
- Accounts · 0 to 206Dec 12, 2025 to Jan 14, 2026
- Advisory employees · 3 to 4Dec 12, 2025 to Jan 14, 2026
- Charity clients · unset to 2.0Dec 12, 2025 to Jan 14, 2026
- Corporate clients · unset to 29.0Dec 12, 2025 to Jan 14, 2026
- HNW clients · unset to 45.0Dec 12, 2025 to Jan 14, 2026
- Individual clients · unset to 13.0Dec 12, 2025 to Jan 14, 2026
- Employees · 5 to 6Dec 12, 2025 to Jan 14, 2026
- Insurance-licensed employees · 0 to 1Dec 12, 2025 to Jan 14, 2026
- State-registered IARs · 3 to 4Dec 12, 2025 to Jan 14, 2026
- Discretionary RAUM · $0 to $236MDec 12, 2025 to Jan 14, 2026
- HNW RAUM · unset to 159630359.0Dec 12, 2025 to Jan 14, 2026
- Individual RAUM · unset to 11431495.0Dec 12, 2025 to Jan 14, 2026
- RAUM · $0 to $236MDec 12, 2025 to Jan 14, 2026
Signals
2 dated events
- H•••••••• C•••••• P••••••• reported RAUM $509.1M, up 116% from $235.8M (2026-01-14 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- 2 advisors left W••••••• W••••• C•••••• L•• (Atlanta, GA) for H•••••••• C•••••• P••••••• on the same dayFeb 10, 2026 · Team lift-out · derived
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
- c••••••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 404-850-2550reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/highbrook-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 404-850-2550reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026