DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

H•• • C••••••• L••

Former SEC-registered adviserDarien, ConnecticutCRD 104769SEC 801-28129IAPD
Latest filing Mar 31, 2016
First filing on the tape Mar 28, 2012 · 11 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2016
Mar 28, 2012$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 31, 2016
Mar 28, 20120 then
Employees (5.A)19 as of Mar 31, 2016
Mar 28, 201319 then
Private funds: no history
RAUM +1.8% over the last fiscal year-2.5% a year over threeIARs 9 to 8
Practice profile
derived from the filing of Mar 31, 2016; every figure names its basis
RAUM per advisor
$138MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$648,293derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.4derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.8%derivedbetween the last two annual amendments
Advisor growth, one year
-11%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$348M, 90 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,701reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$348M for 90 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••••• P•••••• N••••••• · Membercontrol
      since 04/1986 · owns 25% to 50%
    • H••••••••• D••••• B•••• · Membercontrol
      since 04/1986 · owns 25% to 50%
    • H••••• T•••••• W•••••• · Membercontrol
      since 04/1986 · owns 25% to 50%
    • S••••••••• G•••••• J••••• · Chief Executive Officer & Chief Compliance Officercontrol
      since 10/2009 · owns less than 5%
    • Z••••• G•••••• D••••• · Membercontrol
      since 12/2001 · owns 10% to 25%
    • P•••••••• L•••••••• C•••• · Member
      since 04/1986 · owns less than 5%
    Related persons
    Schedule D 7.A
    • M•••••••• A••••••• P••••••• I•• L•• M•••••••• A••••••• P••••••• V•• L•
      pooled vehicle sponsorn
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,530 to 1,701
      Mar 27, 2015 to Mar 31, 2016
    • Advisory employees · 9 to 8
      Mar 27, 2015 to Mar 31, 2016
    • Assets in custody · $327M to $348M
      Mar 27, 2015 to Mar 31, 2016
    • State-registered IARs · 9 to 8
      Mar 27, 2015 to Mar 31, 2016
    • Discretionary RAUM · $1.0B to $1.0B
      Mar 27, 2015 to Mar 31, 2016
    • Non-discretionary RAUM · $56.4M to $55.1M
      Mar 27, 2015 to Mar 31, 2016
    • RAUM · $1.1B to $1.1B
      Mar 27, 2015 to Mar 31, 2016
    • Accounts · 1,614 to 1,530
      Nov 4, 2014 to Mar 27, 2015
    • Assets in custody · $388M to $327M
      Nov 4, 2014 to Mar 27, 2015
    • Discretionary RAUM · $1.0B to $1.0B
      Nov 4, 2014 to Mar 27, 2015
    • Non-discretionary RAUM · $45.8M to $56.4M
      Nov 4, 2014 to Mar 27, 2015
    • RAUM · $1.1B to $1.1B
      Nov 4, 2014 to Mar 27, 2015
    • Accounts · 1,921 to 1,614
      Nov 25, 2013 to Mar 24, 2014
    • Advisory employees · 7 to 9
      Nov 25, 2013 to Mar 24, 2014
    • Assets in custody · $406M to $388M
      Nov 25, 2013 to Mar 24, 2014
    • State-registered IARs · 7 to 9
      Nov 25, 2013 to Mar 24, 2014
    • Discretionary RAUM · $1.1B to $1.0B
      Nov 25, 2013 to Mar 24, 2014
    • Non-discretionary RAUM · $130M to $45.8M
      Nov 25, 2013 to Mar 24, 2014
    • RAUM · $1.2B to $1.1B
      Nov 25, 2013 to Mar 24, 2014
    • Business name · H•••• H••••••••• G•••••• • C••••••• L•• to H•• • C••••••• L••
      Nov 12, 2013 to Nov 25, 2013
    • Legal name · H•••• H••••••••• G•••••• • C••••••• L•• to H•• • C••••••• L••
      Nov 12, 2013 to Nov 25, 2013
    • Accounts · 1,718 to 1,921
      Oct 25, 2012 to Mar 28, 2013
    • Advisory employees · unset to 7.0
      Oct 25, 2012 to Mar 28, 2013
    • Assets in custody · $158M to $406M
      Oct 25, 2012 to Mar 28, 2013
    • Employees · unset to 19.0
      Oct 25, 2012 to Mar 28, 2013
    • Financial planning clients · 26-50 to 251-500
      Oct 25, 2012 to Mar 28, 2013
    • State-registered IARs · 0 to 7
      Oct 25, 2012 to Mar 28, 2013
    • Discretionary RAUM · $931M to $1.1B
      Oct 25, 2012 to Mar 28, 2013
    • Non-discretionary RAUM · $75.8M to $130M
      Oct 25, 2012 to Mar 28, 2013
    • RAUM · $1.0B to $1.2B
      Oct 25, 2012 to Mar 28, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026