DFX Intelligence

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

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

S••••• A••••••••• W•••••

BATTERY EAST GROUP, LLC, CRD 169716

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:627a74a8-f48a-e9c4-55d3-0b16907d5ff0

Data as of Jan 12, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 1
Observed: Jun 16, 2017 to Jan 12, 2018
5 observations

Across DFX

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

Venture Capitalidentity

B•••••• E••• G••••• L•• D•••• S••••• A•••••••••

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: $9.4M••• Locked
Discretionary RAUM: $9.4M
Private client RAUM: $9.4Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• B•••••• H•••••	MANAGING DIRECTOR, CEO	D	yes	08/2013	Jun 16, 2017	Jan 12, 2018
L••• H•••• H••••••	CHIEF COMPLIANCE OFFICER	Na	yes	09/2017	Nov 2, 2017	Jan 12, 2018

Relationships

Owns (2)

← N••••••••• D••••• L••••OwnerNON-EXECUTIVE CHAIRMAN, STRATEGIC ADVISOR, ownership code A, individual
Nov 2, 2017 to presentfactForm ADV
← T•••••• C•••• B••••OwnerFINANCIAL OPERATIONS PRINCIPAL, ownership code NA, individual
Jun 16, 2017 to presentfactForm ADV

Controls (4)

← S••••• M•••••• P•••••OwnerMANAGING DIRECTOR, COO, ownership code D, individual
Jun 16, 2017 to presentfactForm ADV
← L••••• S•••••• J•••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual

Dated events

Occurred
Jun 16, 2017
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:627a74a8-f48a-e9c4-55d3-0b16907d5ff0
First observed: Jun 16, 2017
Last observed: Jan 12, 2018 105 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.