DFX Intelligence
RIA Intelligence
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SEC-registered adviser
H••••• H••••••• C•••••• M••••••••• I•••
Latest filing Mar 23, 2026
First filing on the tape Apr 18, 2012 · 20 filings
SEC status approved since Jan 14, 2008
RAUM
$129M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
96%
$124M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$129M as of Mar 23, 2026
Apr 18, 2012$92.0M then
HNW client RAUM$31.1M as of Mar 23, 2026
Mar 15, 2018$28.8M then
State-registered IARs (5.B.3)12 as of Mar 23, 2026
Apr 18, 20120 then
Employees (5.A)12 as of Mar 23, 2026
Mar 25, 201317 then
Private funds: no history
RAUM +5.7% over the last fiscal year+6.5% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $10.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $279,696derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$93.0M72%
- High-net-worth individuals$31.1M24%
- Pension and profit-sharing plans$4.4M3.4%
- Charitable organizations$194,8170.2%
- Individual clients
- 276reported
- HNW clients
- 9reported
- Pension plan clients
- 12reported
- Charitable clients
- 3reported
- Accounts
- 460reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=true related_bank=false bd_reps=12.0derived
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
- P•••••••• F•••••••• W•••••• · Vice Presidentcontrolsince 09/1997 · owns 50% to 75%
- S••••••••• D••••••• T••••• · President, Chief Compliance Officer And Financial And Operations Principalcontrolsince 09/1997 · owns 50% to 75%
Related persons
Schedule D 7.A
- H••••• H••••••• C•••••• M••••••••• I•••broker-dealerinvestment adviseryRAUM $129M
Advisers that list H••••• H••••••• C•••••• M••••••••• I••• as a related person
- 44357 y
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 23, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 432 to 460Mar 5, 2025 to Mar 23, 2026
- HNW clients · 14 to 9Mar 5, 2025 to Mar 23, 2026
- Individual clients · 271 to 276Mar 5, 2025 to Mar 23, 2026
- Pension plan clients · 11 to 12Mar 5, 2025 to Mar 23, 2026
- HNW RAUM · $47.6M to $31.1MMar 5, 2025 to Mar 23, 2026
- Individual RAUM · $69.9M to $93.0MMar 5, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $122M to $129MMar 5, 2025 to Mar 23, 2026
- Pension RAUM · $4.1M to $4.4MMar 5, 2025 to Mar 23, 2026
- RAUM · $122M to $129MMar 5, 2025 to Mar 23, 2026
- Accounts · 433 to 432Mar 20, 2024 to Mar 5, 2025
- BD registered reps · 13 to 12Mar 20, 2024 to Mar 5, 2025
- Charity clients · 2 to 3Mar 20, 2024 to Mar 5, 2025
- HNW clients · 12 to 14Mar 20, 2024 to Mar 5, 2025
- Individual clients · 258 to 271Mar 20, 2024 to Mar 5, 2025
- Pension plan clients · 7 to 11Mar 20, 2024 to Mar 5, 2025
- Employees · 13 to 12Mar 20, 2024 to Mar 5, 2025
- Financial planning clients · 1-10 to 1-10Mar 20, 2024 to Mar 5, 2025
- State-registered IARs · 13 to 12Mar 20, 2024 to Mar 5, 2025
- HNW RAUM · $47.7M to $47.6MMar 20, 2024 to Mar 5, 2025
- Individual RAUM · $62.7M to $69.9MMar 20, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $114M to $122MMar 20, 2024 to Mar 5, 2025
- Pension RAUM · $3.0M to $4.1MMar 20, 2024 to Mar 5, 2025
- RAUM · $114M to $122MMar 20, 2024 to Mar 5, 2025
- Accounts · 578 to 433Mar 15, 2023 to Mar 20, 2024
- Charity clients · 4 to 2Mar 15, 2023 to Mar 20, 2024
- HNW clients · 10 to 12Mar 15, 2023 to Mar 20, 2024
- Individual clients · 259 to 258Mar 15, 2023 to Mar 20, 2024
- Pension plan clients · 13 to 7Mar 15, 2023 to Mar 20, 2024
- HNW RAUM · $44.7M to $47.7MMar 15, 2023 to Mar 20, 2024
- Individual RAUM · $56.8M to $62.7MMar 15, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $107M to $114MMar 15, 2023 to Mar 20, 2024
- Pension RAUM · $2.8M to $3.0MMar 15, 2023 to Mar 20, 2024
- RAUM · $107M to $114MMar 15, 2023 to Mar 20, 2024
- Accounts · 266 to 578Jun 7, 2022 to Mar 13, 2023
- HNW clients · 25 to 10Jun 7, 2022 to Mar 13, 2023
- Individual clients · 224 to 259Jun 7, 2022 to Mar 13, 2023
- Financial planning clients · 26-50 to 1-10Jun 7, 2022 to Mar 13, 2023
- HNW RAUM · $28.6M to $44.7MJun 7, 2022 to Mar 13, 2023
- Individual RAUM · $80.1M to $56.8MJun 7, 2022 to Mar 13, 2023
- Non-discretionary RAUM · $114M to $107MJun 7, 2022 to Mar 13, 2023
Signals
1 dated events
- H••••• H••••••• C•••••• M••••••••• I••• reported 16 state-registered advisory representatives, up from 0 (2017-05-09 to 2018-03-15)Mar 15, 2018 · Advisor headcount change · 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 phone
- 914-271-3417reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 914-271-8102reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- h••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 914-271-8102reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- h••••••.comreportedpublished 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026