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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

H• I••••••••• L••

CRD 318679

STAMFORD, CT

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Search this name across graphsid dfx:ria:5c6804bc-56c8-69f5-a54b-8e25da3ee1a4

Data as of Dec 2, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 2
Observed: Apr 21, 2022 to Dec 2, 2022
3 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

H• I••••••••• L••

Private equity manager · shared crd

Venture Capitalidentity

H• I••••••••• L••

Venture manager · shared crd

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: $3.7BItem 5.F on the latest filing (2022-12-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.7B
Private client RAUM: $3.7BderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
H• E•••••••• F••• I• L•	Other Private Fund	$5.3M	Dec 2, 2022	4	Mar 20, 2022	reported	021-417463
H• P•••••• O••••••• I• L•	Venture Capital Fund	$2.8M

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
A•••••••• A••••• L••••	CHIEF EXECUTIVE OFFICER	Na	yes	12/2020	Apr 21, 2022	Dec 2, 2022
D•••••• C••••••• G••••• I•••	Member	E	yes	01/2021	Apr 21, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

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

Relationships

Advises (4)

→ H• P•••••• O••••••• I• L•Private fundVenture Capital Fund, IA
Mar 20, 2022 to presentfactForm ADV
→ H• E•••••••• F••• I• L•Private fundOther Private Fund, IA
Mar 20, 2022 to presentfactForm ADV
→ H• A••••• F••• L••Private fundPrivate Equity Fund, IA
Mar 20, 2022 to presentfactForm ADV
→ H• C••• M••••••••• F••• L•

Dated events

Occurred
Dec 2, 2022
Control person left
Richard Rodgers (Chief Legal Officer And Chief Compliance Officer) no longer on Schedule A of H• I••••••••• L•• (listed 2022-12-01, absent 2022-12-02)
Form ADVobserved 7 days ago
Occurred
Dec 2, 2022
Control person joined
Heather Emily Goodman (Chief Legal Officer And Chief Compliance Officer) appeared on Schedule A of H• I••••••••• L••
Form ADVobserved 7 days ago
Occurred
Apr 21, 2022
First Form ADV filing
H• I••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5c6804bc-56c8-69f5-a54b-8e25da3ee1a4
First observed: Apr 21, 2022
Last observed: Dec 2, 2022 46 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.