DFX Intelligence

H•• C•••••• M••••••••• I•• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

H•• C•••••• M••••••••• I•• L••

CRD 283607

CINCINNATI, OH

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Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 21
On other graphs: 3
Observed: Jun 28, 2019 to Sep 17, 2026
14 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

H•• C•••••• M••••••••• I•• L••

Venture manager · key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

H•• C•••••• M••••••••• I•• L••

Capital provider to sponsors · key_crd, key_sfn_adviser, shared_crd

Private Equityidentity

H•• C•••••• M••••••••• I•• L••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $840M••• Locked
Discretionary RAUM: $840M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
H••••• P•••••• E••••• C••• F••• V• L•	Private Equity Fund	$402M	Sep 17, 2026	102	Sep 17, 2026	reported	021-548951
H••••• P•••••• E••••• C••• F••• I•••• L••	Private Equity Fund	$316M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• M•••• J•••	PARTNER/MEMBER	E	yes	09/2015	Jun 28, 2019	Mar 22, 2024
R••••• P•••••• G•••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2020	Mar 25, 2020	Mar 22, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H••••• C•••••• M••••••••• I•• L••	n/a	n/a	n/a	N	yes	n/a
H••••• C•••••• M••••••• L••	n/a	n/a	n/a	N	yes	n/a
H••••• R••••••••• S•••••••• 2• L••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SANTA MONICA	CA	United States	2	no
Chicago	IL	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$840M	$600M	40.0%	$356M	33.2%	6	4	2	2

Relationships

Advises (12)

→ H••••• P•••••• E••••• C••• F••• V• L•Private fundPrivate Equity Fund, IA
Sep 17, 2026 to presentfactForm ADV
→ O••• R••••••••• V•••••• I•• L••Private fundVenture Capital Fund, IA
Sep 17, 2026 to presentfactForm ADV
→ H•• P•••••• E••••• C••• F••• 3••• L••Private fundPrivate Equity Fund, IA
Sep 18, 2020 to presentfactForm ADV
→ H••••• P•••••• E••••• C••• F••• I•• L••

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
17 Sep 2026
Private fund first reported7 events
Private fund first reported: 7 on 17 Sep 2026
$12.5M to $402M
- ••• Locked$402M
- ••• Locked$90.7M
- ••• Locked$51.0M
Occurred
17 Sep 2026
Ria private fund assets change
••• Locked
Form ADV
$709M
Occurred
17 Sep 2026
Ria ownership band change
••• Locked
Form ADV
Occurred
17 Sep 2026
Ria principal change
••• Locked
Form ADV
Occurred
17 Sep 2026
Private fund gav change
••• Locked
Form ADV
$176M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 28, 2019
Last observed: Sep 17, 2026 6 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

All 12 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O••• S••••• V••••••• L••	Other Private Fund	$12.5M	Sep 17, 2026	3	Sep 17, 2026	reported	021-580009
H••••• C•••••• P•••••••• L••	Private Equity Fund	$8.7M	Mar 22, 2024	27	Feb 17, 2015	dropped	n/a