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•••••• I••••••••• A•••••••
Latest filing Apr 1, 2013
First filing on the tape Mar 30, 2012 · 2 filings
RAUM
$301,772
reported, Item 5.F
Discretionary
100%
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
180
101 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$301,772 as of Apr 1, 2013
Mar 30, 2012$312,656 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2013
Mar 30, 20120 then
Employees (5.A): 180
Private funds: no history
RAUM -3.5% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2013; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $301,772derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $301,772, 1 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $301,772 for 1 clientsreported
- Compensation
- n/areported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• R••••• E•••• · Chief Compliance Officercontrolsince 07/2004 · owns less than 5%
Entity owners
- H•••••• C•••••• M••••••••• L•• · Managing General Partner And 100% Owner Of Associate General Partnerdirect · owns 50% to 75%
- K• I• L•• · Member Of H•••••• LLC (See Schedule D - Misc. For Further Information)indirect · owns 50% to 75% of H•••••• LLC
- O•• M••••• •••• I••• · Member Of H•••••• LLC (See Schedule D - Misc. For Further Information)indirect · owns 50% to 75% of H•••••• LLC
- O•• M••••• ••• H••••••• I••• · 100% Shareholder Of O•• M••••• •••• I•••indirect · owns 75% or more of O•• M••••• •••• I•••
- O•• M••••• P•• · 100% Shareholder Of O• G•••• ••• L••••••indirect · owns 75% or more of O• G•••• ••• L••••••
- O• G•••• ••• L•••••• · 100% Shareholder Of O•• M••••• ••• H••••••• I•••indirect · owns 75% or more of O•• M••••• ••• H••••••• I•••
- H•••••• I••••••••• R••••• A••••••• L•• · Associate General Partnerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- F••••• W•••••••• H••••••• G•• L••pooled vehicle sponsorn
- H••••••• I••••••• G•• L••pooled vehicle sponsorn
- H•••• M••••••••• C•••••• I•• S•••bankpooled vehicle sponsorn
- H•••••• A•••••• R••• E••••• T••••• L••bankpooled vehicle sponsorn
- H•••••• C•••••• M••••••••• L••investment adviserpooled vehicle sponsoryRAUM $6.1B
- H•••••• H• L••••••broker-dealern
- H•••••• I••••••••• L••investment adviserpooled vehicle sponsorn
- H•••••• I••••••••• L•• • J•••• B•••••investment advisern
- H•••••• I••••••••• R••• E••••• S••••••••• G•••investment advisernRAUM $854M
- H•••••• I••••••••• R••• E••••• S••••••••• H• L••••••investment advisernRAUM $142M
- H•••••• I••••••••• R••• E••••• S••••••••• P•• L••••••investment advisern
- H•••••• M••••• G•• L••pooled vehicle sponsorn
- H•••••• R••• E••••• S••••••••• L••investment advisernRAUM $1.8B
- H•••••• S••••••••• L••broker-dealern
- H•••••• U• L••••••broker-dealern
- H•••••• V•••• P••••••• I•• L••bankpooled vehicle sponsorn
- H•••••• V•••• P•••••••• L••bankpooled vehicle sponsorn
- H••• I• M••••••••• C•••••• S•••bankpooled vehicle sponsorn
- H••• M••••••••• C•••••• I•• S•••bankpooled vehicle sponsorn
- M••••••• H•••• A•••••••• 2• P•• L••••••bankpooled vehicle sponsorn
- M••••••• H•••• A•••••••• P•• L••••••bankpooled vehicle sponsorn
- M••••••• H••••• L••bankpooled vehicle sponsorn
- O•• M••••• I••••••••• M••••••••• L••••••pooled vehicle sponsorn
- R•••• G••••• P•••••••investment adviserbanknRAUM $23B
Advisers that list H•••••• I••••••••• A••••••• as a related person
- 105483 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · unset to 101.0Mar 30, 2012 to Apr 1, 2013
- BD registered reps · unset to 11.0Mar 30, 2012 to Apr 1, 2013
- Assets in custody · $312,656 to $301,772Mar 30, 2012 to Apr 1, 2013
- Employees · unset to 180.0Mar 30, 2012 to Apr 1, 2013
- Discretionary RAUM · $312,656 to $301,772Mar 30, 2012 to Apr 1, 2013
- RAUM · $312,656 to $301,772Mar 30, 2012 to Apr 1, 2013
- Related bank · false to trueMar 30, 2012 to Apr 1, 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