DFX Intelligence

H••• S••••••••• 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 under $100M

H••• S••••••••• A•••••••• L••

CRD 288164

CHICAGO, IL

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:4a687ef7-5fcb-a920-63fd-89665061eaca

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 2
On other graphs: 0
Observed: Apr 28, 2017 to Mar 29, 2019
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: $4.1M••• Locked
Discretionary RAUM: $4.1M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
H••••••• S••••• S••••••••• A••• F•••• L••	Other Private Fund	$1.9M	Mar 29, 2019	10	Mar 29, 2012	reported	021-87845
H••••••• S••••• T••••••• R••• E••••• S••••••••• F•••• L•••	Hedge Fund	$1.1M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• I••••••••• G••••• I•••	INDIRECT OWNER	E	yes	07/2018	Jul 12, 2018	Mar 29, 2019
C••••••• I••••••••• H••••••• ••••• I•••	INDIRECT OWNER	E	yes	07/2018	Jul 12, 2018	Mar 29, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H••••••• S••••• A•••••••• L••	n/a	ASSET_M••••••	$20B	N	yes	n/a
C••••••• C•••••• H••••••• L••••••	n/a	n/a	n/a	Y	yes	n/a
C••••••• I••••••••• G•••• I•••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 29, 2019

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	$4.1M	$5.0M	-19.7%	n/a	n/a	4	4	1	1

Relationships

Affiliated with (1)

→ H••••••• S••••• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV

Advises (2)

→ H••••••• S••••• S••••••••• A••• F•••• L••Private fundOther Private Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ H••••••• S••••• T••••••• R••• E••••• S••••••••• F•••• L•••Private fundHedge Fund, IA
Apr 28, 2017 to presentfactForm ADV

Owns (2)

Dated events

Occurred
Apr 28, 2017
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 28, 2017
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a687ef7-5fcb-a920-63fd-89665061eaca
First observed: Apr 28, 2017
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.