DFX Intelligence

I••••••••• W••••• A•••••••• 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

I••••••••• W••••• A•••••••• L••

CRD 145261

WILMINGTON, DE

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:34fdf8ce-91f8-2b49-884e-86b0c65b526c

Data as of Mar 13, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Nov 10, 2011 to Mar 13, 2024
17 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: $107M••• Locked
Discretionary RAUM: $106M
Private client RAUM: $106Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••••• B••••••• L••••	Member	E	yes	01/2013	Nov 10, 2011	Mar 13, 2024
H••••••••• B••••••• L••••	CHIEF COMPLIANCE OFFICER	Na	yes	09/2007	Nov 10, 2011	Mar 13, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••••• L• H••••••••• I••	n/a	n/a	n/a	Y	yes	n/a
I••••••••• T•• A•• B••••••• S•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
REHOBOTH BEACH	De	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$107M	$104M	3.1%	$110M	-0.7%	2	2	1	1

Relationships

Controls (2)

← H••••••••• B••••••• L••••OwnerMEMBER, ownership code E, individual
Nov 10, 2011 to presentfactForm ADV
← I••••••••• W••••• M••••••••• L••OwnerMEMBER AND OWNER, ownership code E, domestic entity
Jul 17, 2018 to presentfactForm ADV

Registered with (1)

← B•••••• L•••• H•••••••••Advisorregistration: previous registration
Nov 16, 2007 to Jul 12, 2024factForm ADV

Dated events

Occurred
Jul 12, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 17, 2018
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:34fdf8ce-91f8-2b49-884e-86b0c65b526c
First observed: Nov 10, 2011
Last observed: Mar 13, 2024 30 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.