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.

Former SEC-registered adviser

The Harbinger Group Jv

Former SEC-registered adviserBirmingham, AlabamaCRD 110440SEC 801-45421IAPD
Latest filing Mar 14, 2017
First filing on the tape Mar 20, 2012 · 6 filings
RAUM
$187,455
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
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$187,455 gross assets
History
6 filings and snapshots on the tape
RAUM$187,455 as of Mar 14, 2017
Mar 20, 2012$58.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 14, 2017
Mar 20, 20120 then
Employees (5.A)0 as of Mar 14, 2017
Mar 21, 20130 then
Private funds1 as of Mar 14, 2017
Mar 20, 20121 then
RAUM -13% over the last fiscal year-85% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 14, 2017; 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
$187,455derivedRAUM 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
-13%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 pooled vehicles, otherreportedItem 5.G
Custody
$58.2M, 1 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$58.2M for 1 clientsreported
Compensation
% of AUM, performancereported
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Harbinger Independent Power Fund I, LLCOther Private Fund$187,45510Mar 20, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Alan David Boutwell · Executive Vice President & Cfo Of Managing Venturercontrol
        since 11/1993 · owns less than 5%
      • Jones Raymond Harbert · Chairman & Ceo Of Managing Venturercontrol
        since 11/1993 · owns less than 5%
      • Jean Sonja Keeton · Senior Vice President & Chief Administrative Officer Of Managing Venturercontrol
        since 01/2011 · owns less than 5%
      • Donald Charles Miller · Executive Vice President & Global Head Of Distribution Of Managing Venturercontrol
        since 11/2001 · owns less than 5%
      • Jones Raymond Harbert · Shareholdercontrol
        since 11/1993 · owns 50% to 75% of Harbert Management Corporation
      • Conrad Michael Bauder · Vp & Chief Compliance Officer Of Managing Venturer
        since 07/2006 · owns less than 5%
      • Redman Joel Wilson · Shareholder
        since 11/1993 · owns 75% or more of Josar Associates, Inc.
      Entity owners
      • Harbert Fund Advisors, Inc. · Partner And Managing Venturer
        direct · owns 75% or more
      • Harbert Management Corporation · Shareholder
        indirect · owns 75% or more of Harbinger Corporation
      • Harbinger Corporation · Shareholder
        indirect · owns 75% or more of Harbert Fund Advisors, Inc.
      • Josar Associates, Inc. · Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $214,894 to $187,455
        Mar 14, 2016 to Mar 14, 2017
      • RAUM · $214,894 to $187,455
        Mar 14, 2016 to Mar 14, 2017
      • Discretionary RAUM · $2.0M to $214,894
        Mar 27, 2015 to Mar 14, 2016
      • RAUM · $2.0M to $214,894
        Mar 27, 2015 to Mar 14, 2016
      • Discretionary RAUM · $60.0M to $2.0M
        Mar 24, 2014 to Mar 27, 2015
      • RAUM · $60.0M to $2.0M
        Mar 24, 2014 to Mar 27, 2015
      • Discretionary RAUM · $60.8M to $60.0M
        Mar 21, 2013 to Mar 24, 2014
      • RAUM · $60.8M to $60.0M
        Mar 21, 2013 to Mar 24, 2014
      • Advisory employees · unset to 0.0
        Mar 20, 2012 to Mar 21, 2013
      • BD registered reps · unset to 0.0
        Mar 20, 2012 to Mar 21, 2013
      • Employees · unset to 0.0
        Mar 20, 2012 to Mar 21, 2013
      • Discretionary RAUM · $58.2M to $60.8M
        Mar 20, 2012 to Mar 21, 2013
      • RAUM · $58.2M to $60.8M
        Mar 20, 2012 to Mar 21, 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