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

DM HESS INVESTMENTS, INC.

CRD 161328

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:30b60357-2839-0d77-a0a9-b160aa0e56bf

Data as of Jan 15, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 16, 2012 to Jan 15, 2016
6 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: $105MItem 5.F on the latest filing (2016-01-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $105M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Accounts: 15
Private funds: 4Schedule D 7.B(1)
Private fund GAV: $11.6Mgross asset value as reported per fund; never fund size
Custody, client assets: $105M
SEC number: 801-74315
CRD: 161328
Filings on the tape: 6
First filed: Feb 16, 2012
Latest filed: Jan 15, 2016
Organised: Corporation, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
777 EQUITY PARTNERS, L.P.	Other Private Fund	$4.3M	Jan 15, 2016	4	Mar 17, 2015	reported	n/a
HORIZON INVESTMENT, L.P.	Other Private Fund	$4.2M	Jan 15, 2016	13	Mar 17, 2015	reported	n/a
JASI ASSOCIATES, L.P.	Other Private Fund	$1.6M	Jan 15, 2016	5	Mar 17, 2015	reported	n/a
ARB INVESTMENT PARTNERS, L.P.	Other Private Fund	$1.5M	Jan 15, 2016	5	Mar 17, 2015	reported	n/a

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
HESS, DAVID ROBERT	PRESIDENT AND CCO	D	yes	06/1999	Feb 16, 2012	Jan 15, 2016
HESS, MICHAEL IRA	Treasurer	D	yes	06/1999	Feb 16, 2012	Jan 15, 2016

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
2015	Jan 15, 2016	$105M	$105M	2	2	n/a	4	$11.6M
2014	Jan 20, 2015	$105M	$105M	2	2	n/a	n/a	n/a
2013	Jan 23, 2014	$90.0M	$90.0M	2	2	n/a	n/a	n/a
2012	Jan 23, 2013	$85.0M	$85.0M	2	2	n/a	n/a	n/a

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
2015	$105M	$105M	0.0%	$85.0M	7.3%	2	2	n/a	n/a

Relationships

Advises (4)

→ 777 EQUITY PARTNERS, L.P.Private fundOther Private Fund, IA
Mar 17, 2015 to presentfactForm ADV
→ HORIZON INVESTMENT, L.P.Private fundOther Private Fund, IA
Mar 17, 2015 to presentfactForm ADV
→ ARB INVESTMENT PARTNERS, L.P.Private fundOther Private Fund, IA
Mar 17, 2015 to presentfactForm ADV
→ JASI ASSOCIATES, L.P.Private fundOther Private Fund, IA
Mar 17, 2015 to presentfactForm ADV

Controls (2)

← HESS, DAVID ROBERTOwnerPRESIDENT AND CCO, ownership code D, individual
Feb 16, 2012 to presentfactForm ADV
← HESS, MICHAEL IRAOwnerTREASURER, ownership code D, individual
Feb 16, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:30b60357-2839-0d77-a0a9-b160aa0e56bf
First observed: Feb 16, 2012
Last observed: Jan 15, 2016 130 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.

DM HESS INVESTMENTS, INC.

CRD 161328

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:30b60357-2839-0d77-a0a9-b160aa0e56bf

Data as of Jan 15, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:45 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

777 EQUITY PARTNERS, L.P.

Other Private Fund

$4.3M

Jan 15, 2016

Mar 17, 2015

reported

n/a

HORIZON INVESTMENT, L.P.

Other Private Fund

$4.2M

Jan 15, 2016

Mar 17, 2015

reported

n/a

JASI ASSOCIATES, L.P.

Other Private Fund

$1.6M

Jan 15, 2016

Mar 17, 2015

reported

n/a

ARB INVESTMENT PARTNERS, L.P.

Other Private Fund

$1.5M

Jan 15, 2016

Mar 17, 2015

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HESS, DAVID ROBERT

PRESIDENT AND CCO

yes

06/1999

Feb 16, 2012

Jan 15, 2016

HESS, MICHAEL IRA

Treasurer

yes

06/1999

Feb 16, 2012

Jan 15, 2016

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Jan 15, 2016

$105M

n/a

$11.6M

2014

Jan 20, 2015

$105M

n/a

2013

Jan 23, 2014

$90.0M

n/a

2012

Jan 23, 2013

$85.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$105M

0.0%

$85.0M

7.3%

n/a