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H••••••••• G••••• I••••••••• L•: 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••••••••• G••••• I••••••••• L•

CRD 171295

M••••••, WI

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Search this name across graphsid dfx:ria:2f971b12-055d-0628-d9e9-fb371e2d0a9c

Data as of Jun 16, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 4
On other graphs: 0
Observed: Apr 22, 2014 to Jun 16, 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: $407MItem 5.F on the latest filing (2020-06-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $214M
Private client RAUM: $82.4MderivedItem 5.D individuals plus high net worth individuals
Private client share: 20%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
B••••••• F••••• E•••••	MAJORITY SHAREHOLDER	D	yes	04/2014	Apr 22, 2014	Jun 16, 2020
F••••• K••••••••• L•••••	MEMBER OF GOVERNING BOARD OF LP	Na	yes	04/2014	Apr 22, 2014

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••• I••••••••• A•••••••• L••	n/a	Mixed wealth	$14B	N	yes	n/a
M•••••• A•••• M••••••••• L••	n/a	Asset manager	$4.9B	Y	yes

Offices

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

City	State	Country	Employees	Also broker-dealer
Toronto	n/a	Canada	4	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	$407M	$403M	0.8%	$425M	-1.4%	4	6	1	1

Relationships

Affiliated with (6)

→ M•••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ M•••••• I••••••••• H•••••••• I••Registered adviserother investment adviser, control, common control
factForm ADV
→ M•••••• A•••• M•••••••••Registered adviserother investment adviser, control, common control
factForm ADV
← M•••••• I••••••••• H•••••••• I••Registered adviser

Dated events

Occurred
Mar 25, 2020
Control person left
Sean Kevin Thompson (Chief Legal Officer) no longer on Schedule A of H••••••••• G••••• I••••••••• L• (listed 2019-11-08, absent 2020-03-25)
Form ADVobserved 7 days ago
Occurred
Mar 25, 2020
Control person joined
Joseph Steven Fredricks (Chief Legal Officer) appeared on Schedule A of H••••••••• G••••• I••••••••• L•
Form ADVobserved 7 days ago
Occurred
Nov 8, 2019
Control person left
Anne Elizabeth Dettman (Chief Financial Officer, Member Of Governing Board Of Lp) no longer on Schedule A of H••••••••• G••••• I••••••••• L• (listed 2019-03-29, absent 2019-11-08)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2f971b12-055d-0628-d9e9-fb371e2d0a9c
First observed: Apr 22, 2014
Last observed: Jun 16, 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.