DFX Intelligence

H•• A•••••• 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•• A•••••• L•

CRD 164061

HOUSTON, TX

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Search this name across graphsid dfx:ria:f28be6c7-e86f-f8a7-ef66-f53b2551a500

Data as of Mar 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 2
On other graphs: 0
Observed: Apr 17, 2012 to Mar 30, 2020
14 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: $1.1B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 22
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• D••••• M••••••	CHIEF FINANCIAL OFFICER OF H•• A•••••• G• L••, THE GENERAL PARTNER OF THE A••••••	Na	yes	06/2019	Jul 3, 2019	Mar 30, 2020
H•••• H•••••••• I•••	GENERAL PARTNER	F	yes	01/1990	Apr 17, 2012	Mar 30, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H•••• I•••••••• L•••••• P•••••••••	n/a	n/a	n/a	Y	no	n/a
H•••• S••••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 30, 2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$1.1B	$1.1B	-7.1%	$1.0B	1.0%	22	19	0	0

Relationships

Controls (14)

← H••••• J••••••• C••••••••OwnerTRUSTEE, ownership code F, individual
Apr 17, 2012 to presentfactForm ADV
← S•••••••• S•••••• W•••OwnerCHIEF EXECUTIVE OFFICER AND MANAGER OF H•• A•••••• G• L••, THE GENERAL PARTNER OF THE A••••••, ownership code NA, individual
Apr 17, 2012 to presentfactForm ADV
← C••••••••• D••••• M••••••OwnerCHIEF FINANCIAL OFFICER OF H•• A•••••• G• L••, THE GENERAL PARTNER OF THE A••••••, ownership code NA, individual
Jul 3, 2019 to presentfactForm ADV
← H••••• G•••••• D••••••OwnerTRUSTEE, ownership code F, individual

Dated events

Occurred
Jul 3, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 3, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f28be6c7-e86f-f8a7-ef66-f53b2551a500
First observed: Apr 17, 2012
Last observed: Mar 30, 2020 78 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.