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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
H•••••• R••• E••••• S••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 31 filings
SEC status approved since Jan 24, 1995
RAUM
$1.8B
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
141
43 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.8B as of Mar 27, 2026
Mar 30, 2012$2.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Apr 1, 20133 then
Employees (5.A)141 as of Mar 27, 2026
Apr 1, 201317 then
Private funds: no history
RAUM -2.7% over the last fiscal year-8.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; 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
- $67.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 50%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$653M36%
- State and municipal entities$639M35%
- Pension and profit-sharing plans$264M14%
- Investment companies$138M7.6%
- Corporations and businesses$127M7.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.43 institutional_share=0.5 related_bd=true related_bank=true bd_reps=15.0derived
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
- C••••••••• L•••••••• J••••• · Manager, Chief Financial Officer, Treasurer And Secretarycontrolsince 03/2014 · owns less than 5%
- H•••••• C••••••• P••••••• · Managing Director, Portfolio Manager, Co-Head Of Public S••••••••• Groupcontrolsince 03/2023 · owns less than 5%
- S••••••• A•••••• · Senior Managing Director, Chief Legal Officer, Head Of Compliance And Chief Compliance Officercontrolsince 04/2017 · owns less than 5%
- T••••••••• M••••• R••••• · Managercontrolsince 01/1999 · owns less than 5%
- Y•••• J••••••• D••••• · Managing Director, Portfolio Manager, Co-Head Of Public S••••••••• Groupcontrolsince 03/2023 · owns less than 5%
Entity owners
- H•••••• L•• · Sole Member Of H•••••• R••• E••••• S••••••••• L••direct · owns 75% or more
- K• I• L•• · Member Of H•••••• L••indirect · owns 75% or more of H•••••• L••
Related persons
Schedule D 7.A
- H••• I• L••bankpooled vehicle sponsorn
- H•••••• A•••••• R••• E••••• T••••• L••bankpooled vehicle sponsorn
- H•••••• C•••••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $6.1B
- H•••••• C••• R••• E••••• D••• I••••• T••••• L••bankpooled vehicle sponsorn
- H•••••• E••••• V•••• P••••••• F••• G•pooled vehicle sponsorn
- H•••••• E••••••• R••••••••• I••••••••• G•pooled vehicle sponsorn
- H•••••• G••••• R••• E••••• P••••••• G•• L••bankpooled vehicle sponsorn
- H•••••• I••••••••• H• L••••••investment adviserpooled vehicle sponsornRAUM $432M
- H•••••• I••••••••• L••investment adviserpooled vehicle sponsornRAUM $352M
- H•••••• I••••••••• R••• E••••• S••••••••• P•• L••••••broker-dealerinvestment advisern
- H•••••• I••••••••• R••• E••••• S••••••••• U• L••••••broker-dealery
- H•••••• L••• S•••••• P••••••• C••••••••• G•• L••pooled vehicle sponsorn
- H•••••• R••• E••••• D••• P••••••• I• L••bankpooled vehicle sponsorn
- H•••••• R••• E••••• D••• P••••••• I••• L••bankpooled vehicle sponsorn
- H•••••• S••••••••• L••broker-dealern
- H•••••• U• L••••••broker-dealern
- H•••••• V•••• P••••••• I••• L••pooled vehicle sponsorn
- H•••••• V•••• P••••••• I•• L••pooled vehicle sponsorn
- H•••••• V•••• P••••••• V• L••pooled vehicle sponsorn
- H••• I• M••••••••• C•••••• S•••pooled vehicle sponsorn
- R•• A•••• I• G•• L••pooled vehicle sponsorn
Advisers that list H•••••• R••• E••••• S••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom6 employees
- Central, Hong Kong3 employees
- Melbourne, Australia2 employees
- New York, NY2 employees
- Chiyoda-Ku Tokyo, Japan1 employees
- Luxembourg, Luxembourg1 employees
What changed
consecutive filings, newest first
- Accounts · 24 to 27Jan 21, 2026 to Mar 27, 2026
- Advisory employees · 47 to 43Jan 21, 2026 to Mar 27, 2026
- BD registered reps · 14 to 15Jan 21, 2026 to Mar 27, 2026
- Corporate clients · unset to 7.0Jan 21, 2026 to Mar 27, 2026
- Pooled vehicle clients · 9 to 10Jan 21, 2026 to Mar 27, 2026
- Employees · 147 to 141Jan 21, 2026 to Mar 27, 2026
- Discretionary RAUM · $1.9B to $1.8BJan 21, 2026 to Mar 27, 2026
- Pension RAUM · $294M to $264MJan 21, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $673M to $653MJan 21, 2026 to Mar 27, 2026
- RAUM · $1.9B to $1.8BJan 21, 2026 to Mar 27, 2026
- Accounts · 29 to 24Mar 27, 2024 to Mar 27, 2025
- Advisory employees · 42 to 47Mar 27, 2024 to Mar 27, 2025
- Pooled vehicle clients · 13 to 9Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $2.3B to $1.9BMar 27, 2024 to Mar 27, 2025
- Pension RAUM · $329M to $294MMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $786M to $673MMar 27, 2024 to Mar 27, 2025
- RAUM · $2.3B to $1.9BMar 27, 2024 to Mar 27, 2025
- Advisory employees · 50 to 42Apr 24, 2023 to Mar 27, 2024
- BD registered reps · 15 to 14Apr 24, 2023 to Mar 27, 2024
- Corporate clients · 3.0 to unsetApr 24, 2023 to Mar 27, 2024
- Pension plan clients · 4 to 5Apr 24, 2023 to Mar 27, 2024
- Pooled vehicle clients · 14 to 13Apr 24, 2023 to Mar 27, 2024
- Employees · 141 to 147Apr 24, 2023 to Mar 27, 2024
- Other offices · 5 to 6Apr 24, 2023 to Mar 27, 2024
- Discretionary RAUM · $2.4B to $2.3BApr 24, 2023 to Mar 27, 2024
- Pension RAUM · $256M to $329MApr 24, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $947M to $786MApr 24, 2023 to Mar 27, 2024
- RAUM · $2.4B to $2.3BApr 24, 2023 to Mar 27, 2024
- Accounts · 31 to 29Apr 20, 2022 to Mar 31, 2023
- Advisory employees · 49 to 50Apr 20, 2022 to Mar 31, 2023
- BD registered reps · 16 to 15Apr 20, 2022 to Mar 31, 2023
- Corporate clients · 4 to 3Apr 20, 2022 to Mar 31, 2023
- Pension plan clients · unset to 4.0Apr 20, 2022 to Mar 31, 2023
- Employees · 144 to 141Apr 20, 2022 to Mar 31, 2023
- Discretionary RAUM · $3.4B to $2.4BApr 20, 2022 to Mar 31, 2023
- Pension RAUM · $285M to $256MApr 20, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.6B to $947MApr 20, 2022 to Mar 31, 2023
- RAUM · $3.4B to $2.4BApr 20, 2022 to Mar 31, 2023
- Accounts · 34 to 31Oct 11, 2021 to Mar 31, 2022
Signals
6 dated events
- H•••••• R••• E••••• S••••••••• L•• reported RAUM $2.4B, down 31% from $3.4B (2022-04-20 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- William Jerome Ehlinger (Manager, Senior Managing Director) no longer on Schedule A of H•••••• R••• E••••• S••••••••• L•• (listed 2022-04-20, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Pinckney Charles Harbin (Executive Vice President, Portfolio Manager, Co-Head Of Public Securities Group) appeared on Schedule A of H•••••• R••• E••••• S••••••••• L••Mar 31, 2023 · Control person joined · fact
- Donald Jeffrey Yurk (Executive Vice President, Portfolio Manager, Co-Head Of Public Securities Group) appeared on Schedule A of H•••••• R••• E••••• S••••••••• L••Mar 31, 2023 · Control person joined · fact
- H•••••• R••• E••••• S••••••••• L•• reported RAUM $3.4B, down 28% from $4.7B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- H•••••• R••• E••••• S••••••••• L•• reported RAUM $4.1B, up 59% from $2.6B (2018-08-20 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/H••••••/ABOUTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-855-5700reportedpublic record, Form ADV, Mar 27, 2026
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
- Other 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