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.

Former SEC-registered adviser

H••••• F•••••••• A•••••••• I•••

Former SEC-registered adviserTorrance, CaliforniaCRD 107510SEC 801-45480IAPD
Legal name H••••• F•••••••• A••••••• I••
Latest filing Jun 17, 2020
First filing on the tape Mar 27, 2012 · 20 filings
RAUM
$556M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
91%
$509M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$556M as of Mar 29, 2020
Mar 27, 2012$231M then
HNW client RAUM$267M as of Mar 29, 2020
Mar 30, 2018$327M then
State-registered IARs (5.B.3)6 as of Mar 29, 2020
Mar 27, 20120 then
Employees (5.A)15 as of Mar 29, 2020
Apr 1, 20139 then
Private funds: no history
RAUM +23% over the last fiscal year+11% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jun 17, 2020; every figure names its basis
RAUM per advisor
$92.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
65derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$452,326derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
8.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.3%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminars, otherreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$267M48%
  • Individuals$242M44%
  • Charitable organizations$47.7M8.6%
Individual clients
312reported
HNW clients
75reported
Pension plan clients
0reported
Charitable clients
16reported
Accounts
1,230reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
    • H•••••• M•••• G••••• · Chief Executive Officercontrol
      since 08/1992 · owns 75% or more
    • D••••••• S•••••• · President
      since 02/2017 · owns less than 5%
    • K•••••• D••••••• R•••••• · Chief Compliance Officer
      since 09/2004 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,161 to 1,230
      Mar 28, 2019 to Mar 29, 2020
    • Charity clients · 19 to 16
      Mar 28, 2019 to Mar 29, 2020
    • HNW clients · 146 to 75
      Mar 28, 2019 to Mar 29, 2020
    • Individual clients · 218 to 312
      Mar 28, 2019 to Mar 29, 2020
    • Discretionary RAUM · $433M to $541M
      Mar 28, 2019 to Mar 29, 2020
    • HNW RAUM · $306M to $267M
      Mar 28, 2019 to Mar 29, 2020
    • Individual RAUM · $106M to $242M
      Mar 28, 2019 to Mar 29, 2020
    • Non-discretionary RAUM · $21.0M to $15.5M
      Mar 28, 2019 to Mar 29, 2020
    • RAUM · $454M to $556M
      Mar 28, 2019 to Mar 29, 2020
    • Accounts · 1,099 to 1,161
      Nov 23, 2018 to Mar 28, 2019
    • Charity clients · 18 to 19
      Nov 23, 2018 to Mar 28, 2019
    • HNW clients · 152 to 146
      Nov 23, 2018 to Mar 28, 2019
    • Individual clients · 202 to 218
      Nov 23, 2018 to Mar 28, 2019
    • Employees · 14 to 15
      Nov 23, 2018 to Mar 28, 2019
    • Discretionary RAUM · $460M to $433M
      Nov 23, 2018 to Mar 28, 2019
    • HNW RAUM · $327M to $306M
      Nov 23, 2018 to Mar 28, 2019
    • Individual RAUM · $102M to $106M
      Nov 23, 2018 to Mar 28, 2019
    • Non-discretionary RAUM · $15.2M to $21.0M
      Nov 23, 2018 to Mar 28, 2019
    • RAUM · $475M to $454M
      Nov 23, 2018 to Mar 28, 2019
    • Accounts · 1,060 to 1,099
      Mar 28, 2017 to Mar 30, 2018
    • Charity clients · unset to 18.0
      Mar 28, 2017 to Mar 30, 2018
    • Corporate clients · unset to 0.0
      Mar 28, 2017 to Mar 30, 2018
    • HNW clients · unset to 152.0
      Mar 28, 2017 to Mar 30, 2018
    • Individual clients · unset to 202.0
      Mar 28, 2017 to Mar 30, 2018
    • Pension plan clients · unset to 0.0
      Mar 28, 2017 to Mar 30, 2018
    • Pooled vehicle clients · unset to 0.0
      Mar 28, 2017 to Mar 30, 2018
    • Employees · 15 to 14
      Mar 28, 2017 to Mar 30, 2018
    • State-registered IARs · 7 to 6
      Mar 28, 2017 to Mar 30, 2018
    • Other offices · unset to 1.0
      Mar 28, 2017 to Mar 30, 2018
    • Discretionary RAUM · $398M to $460M
      Mar 28, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 326796655.0
      Mar 28, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 101662173.0
      Mar 28, 2017 to Mar 30, 2018
    • Non-discretionary RAUM · $13.6M to $15.2M
      Mar 28, 2017 to Mar 30, 2018
    • Pension RAUM · unset to 0.0
      Mar 28, 2017 to Mar 30, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Mar 28, 2017 to Mar 30, 2018
    • RAUM · $411M to $475M
      Mar 28, 2017 to Mar 30, 2018
    • Accounts · 978 to 1,060
      Nov 17, 2016 to Mar 28, 2017
    • Employees · 12 to 15
      Nov 17, 2016 to Mar 28, 2017
    • State-registered IARs · 6 to 7
      Nov 17, 2016 to Mar 28, 2017
    • Discretionary RAUM · $308M to $398M
      Nov 17, 2016 to Mar 28, 2017
    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