DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

H•••••••• I••••••••• M••••••••• L•••

H•••••••• I••••••••• M••••••••• L••••••, CRD 112077

LONDON

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Search this name across graphsid dfx:ria:f6e15a60-7f4b-20fd-f4c2-84ee5e38e6c8

Data as of Sep 28, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Sep 28, 2017
16 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: $12B••• Locked
Discretionary RAUM: $12B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 25
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• C••••••••• B•••••••	Director	Na	yes	04/2014	Mar 31, 2015	Sep 28, 2017
H•••••••• G••••• G•••• L••••••	Shareholder	E	yes	09/2009	Mar 30, 2012	Sep 28, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G••••• C•••••• M••••••••• L••	n/a	Other adviser	$5.6B	N	yes	n/a
A••••••• C•••••• L••••••	n/a	Former SEC adviser	$2.1B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$12B	$13B	-12.6%	$10B	3.5%	25	25	n/a	n/a

Relationships

Affiliated with (5)

← J•••• H•••••••• I••••••••Registered adviserother investment adviser, common control
factForm ADV
→ G••••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ J•••• H•••••••• I••••••••Registered adviserother investment adviser, bank, common control
factForm ADV
→ A••••••• C•••••• L••••••Registered adviserother investment adviser, bank, common control

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f6e15a60-7f4b-20fd-f4c2-84ee5e38e6c8
First observed: Mar 30, 2012
Last observed: Sep 28, 2017 109 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.