DFX Intelligence

H•••• A•••• M••••••••• ••••••••• 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•••• A•••• M••••••••• ••••••••• L••

CRD 292711

GREENWICH, CT

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Search this name across graphsid dfx:ria:35d3956d-864d-1c2d-c191-1a15724771ba

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 8, 2018 to Mar 29, 2019
8 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: $107M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••••• J•••••••• T•••	CHIEF OPERATING OFFICER AND PRESIDENT	C	yes	01/2018	Feb 8, 2018	Mar 29, 2019
F••••••• T•••••• X•••••	CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL	Na	yes	07/2018	Jul 10, 2018	Mar 29, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H•••• H••••••• I•••	n/a	n/a	n/a	N	yes	n/a
T••• I•••••••• C•••••• I•	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 29, 2019	$107M	$107M	6	6	0	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$107M	n/a	n/a	n/a	n/a	6	n/a	0	n/a

Relationships

Controls (5)

← S•••••• K•••••••• N•••OwnerCHIEF FINANCIAL OFFICER, TREASURER, AND SECRETARY, ownership code NA, individual
Feb 8, 2018 to presentfactForm ADV
← H•••••• A••••• M•••••••••OwnerCHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, ownership code C, individual
Feb 8, 2018 to presentfactForm ADV
← F••••••• J•••••••• T•••OwnerCHIEF OPERATING OFFICER AND PRESIDENT, ownership code C, individual
Feb 8, 2018 to presentfactForm ADV
← F••••••• T•••••• X•••••OwnerCHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL, ownership code NA, individual

Dated events

Occurred
Feb 8, 2018
First Form ADV filing
H•••• A•••• M••••••••• ••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:35d3956d-864d-1c2d-c191-1a15724771ba
First observed: Feb 8, 2018
Last observed: Mar 29, 2019 91 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.