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

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

H••••• F•••••••• A•••••••• I•••

H••••• F•••••••• A••••••• INC, CRD 107510

TORRANCE, CA

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Search this name across graphsid dfx:ria:293d4a4f-79db-f492-e355-64584037af10

Data as of Jun 17, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to Jun 17, 2020
20 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $556MItem 5.F on the latest filing (2020-06-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $541M
Private client RAUM: $509MderivedItem 5.D individuals plus high net worth individuals
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• M•••• G•••••	CHIEF EXECUTIVE OFFICER	E	yes	08/1992	Mar 27, 2012	Jun 17, 2020
D••••••• S••••••	President	Na	no	02/2017	Mar 30, 2018

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$556M	$454M	22.7%	$411M	10.6%	15	15	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E• W••••• A•••••••	5	Nov 23, 2020	Aug 3, 2026	PALOS VERDES ESTATES, CA	Firm absorbed	RIA to RIA	83.3%

Relationships

Controls (1)

← H•••••• M•••• G•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code E, individual
Mar 27, 2012 to presentfactForm ADV

Owns (2)

← K•••••• D••••••• R••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← D••••••• S••••••OwnerPRESIDENT, ownership code NA, individual
Mar 30, 2018 to presentfactForm ADV

Moved with (1)

→ E• W••••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:293d4a4f-79db-f492-e355-64584037af10
First observed: Mar 27, 2012
Last observed: Jun 17, 2020 76 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.