DFX Intelligence

H••••••• A••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

H••••••• A••••••• I••

CRD 105342

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Search this name across graphsid dfx:ria:4c95364c-8cb7-a3c9-8aea-729b5d7a7ad9

Data as of Mar 14, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 23, 2012 to Mar 14, 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: $67.5M••• Locked
Discretionary RAUM: $67.5M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $33.7Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••••• J••• H•••••••	n/a	GREENWICH, CT	43	45	n/a	no
J••• B•••• H•••••••	n/a	GREENWICH, CT	34	40

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••••• D••••••• J•••	PRESIDENT / CHIEF COMPLIANCE OFFICER	D	yes	01/2004	Feb 23, 2012	Mar 14, 2016
H•••••••• J•••• B••••	VICE PRESIDENT	C	yes	01/2013	Feb 14, 2013	Mar 14, 2016

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Feb 23, 2015

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$67.5M	$94.5M	-28.6%	$92.0M	-9.8%	2	2	n/a	n/a

Relationships

Controls (2)

← H•••••••• J•••• B••••OwnerVICE PRESIDENT, ownership code C, individual
Feb 14, 2013 to presentfactForm ADV
← H•••••••• D••••••• J•••OwnerPRESIDENT / CHIEF COMPLIANCE OFFICER, ownership code D, individual
Feb 23, 2012 to presentfactForm ADV

Registered with (2)

← J••• B•••• H•••••••Advisorregistration: current employment
Mar 30, 1992 to presentfactForm ADV
← D•••••• J••• H•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4c95364c-8cb7-a3c9-8aea-729b5d7a7ad9
First observed: Feb 23, 2012
Last observed: Mar 14, 2016 128 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.