DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

H•••••• T••••••••• F••••••

H•••••• T••••••••• F•••••• MANAGEMENT LLC, CRD 153052

FARMINGTON, CT

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Search this name across graphsid dfx:ria:8db62c3f-8d10-f464-1e77-fde2ad96f2a6

Data as of Jun 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 27
On other graphs: 1
Observed: Mar 29, 2012 to Jun 12, 2026
23 observations

Across DFX

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

Private Creditidentity

H•••••• T••••••••• F••••••

Private credit manager · key crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $811M••• Locked
Discretionary RAUM: $811M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 23

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••• T•••••••• L•••	Trustee	F	yes	02/2007	Sep 14, 2023	Mar 29, 2024
K•••••• T•••••••• L•••	SOLE MANAGING MEMBER	F	yes	02/2007	Sep 14, 2023	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• C•••••• M••••••••• A••••••• L••	n/a	Asset manager	$19B	N	yes	n/a
M••••• C•••••• B•• A•••••••• L••	n/a	Asset manager	$6.7B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Pleasanton	CA	United States	6	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$811M	$795M	2.0%	$1.0B	-6.8%	23	32	1	1

Relationships

Affiliated with (4)

→ M••••• C•••••• M••••••••• A••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ M••••• C•••••• B•• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← M••••• C•••••• M••••••••• A••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
← M••••• C•••••• B•• A•••••••• L••Registered adviser

Dated events

4 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 12, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Jun 12, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Jun 12, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8db62c3f-8d10-f464-1e77-fde2ad96f2a6
First observed: Mar 29, 2012
Last observed: Jun 12, 2026 3 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.