DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

H•••••• I••••••••• M••••••••• L•••

CRD 121811

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:183765d8-c978-51ad-ebc7-677e7430ac60

Data as of Mar 29, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 1
Observed: Mar 29, 2012 to Mar 29, 2021
20 observations

Across DFX

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

Private Equityidentity

H•••••• I••••••••• M••••••••• 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $157M••• Locked
Discretionary RAUM: $157M
Private client RAUM: $152Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
H•••••• C•••••• P••••••• F••• L•	Private Equity Fund	$7.4M	Mar 29, 2021	33	Mar 22, 2016	reported	021-262469
E•••• V•••••• F•••	Private Equity Fund	$1.6M	Aug 16, 2019

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••• M•••••• L••••••••	MANAGING MEMBER, CHIEF COMPLAINCE OFFICER	E	yes	05/2001	Mar 29, 2012	Mar 29, 2021
H••••••• M•••••• L••••••••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	Na	yes	05/2001	Mar 29, 2012	Mar 29, 2021

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Annapolis	Md	United States	2	no
Princeton	Nj	United States	2	no
Fulton	Md	United States	1	no
Charleston	Sc	United States	1	no
n/a	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$157M	$137M	14.5%	$128M	7.0%	4	4	5	5

Relationships

Advises (2)

→ H•••••• C•••••• P••••••• F••• L•Private fundPrivate Equity Fund, IA
Mar 22, 2016 to presentfactForm ADV
→ E•••• V•••••• F•••Private fundPrivate Equity Fund, IA, no longer reported
Mar 30, 2018 to Aug 16, 2019factForm ADV

Controls (2)

← H••••••• M•••••• L••••••••OwnerMANAGING MEMBER, CHIEF COMPLAINCE OFFICER, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV
←

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:183765d8-c978-51ad-ebc7-677e7430ac60
First observed: Mar 29, 2012
Last observed: Mar 29, 2021 66 months 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.