DFX Intelligence

RIA Intelligence

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SEC-registered adviser

H••••••• A•••••••• I•••

Asset manager (funds and pooled vehicles)Novato, CaliforniaCRD 110770SEC 801-36288website IAPD

Latest filing Nov 14, 2025

First filing on the tape Dec 5, 2011 · 21 filings

SEC status approved since Apr 2, 1990

RAUM

$4.3B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$4.3B

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$4.3B as of Nov 14, 2025

Dec 5, 2011$801M then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Nov 14, 2025

Dec 5, 20110 then

Employees (5.A)19 as of Nov 14, 2025

Dec 19, 201220 then

Private funds: 1

RAUM +38% over the last fiscal year+1.2% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Nov 14, 2025; every figure names its basis

Archetypes, each a printed rule

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $4.3BderivedRAUM 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: $250MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 19.0derivedItem 5.A over advisors
Advisors per office: 0.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year: +68%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for investment companiesreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Investment companies$4.3B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 17reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
B•••• C•••••• C••••••Chartered Financial Consultant	Novato, Ca	Sep 2, 2014	28 y	4

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

B•••• C•••••• C•••••• from C••••• • A••••••••• I•••
Sep 2, 2014 · Other

Every departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
H••••••• M•••• C•• G••••• F•••• L••no longer reported	Hedge Fund	$1.5M	10	Dec 5, 2011

Owners and control persons

Schedule A and B, latest filing

F•••• K••••••• R••• · Chief Financial Officer, Senior Vice President & Shareholdercontrol
since 01/2018 · owns less than 5%
H•••••• H••••• C••••• · Director & Shareholdercontrol
since 05/2001 · owns less than 5%
H•••••••• B••••• A•••••• · Director & Shareholdercontrol
since 02/1989 · owns less than 5%
H•••••••• N•••• J••••• · Chairman, Chief Executive Officer & Shareholdercontrol
since 01/2018 · owns 25% to 50%
K••••••••• L••••• D••• · Director & Shareholdercontrol
since 12/2021 · owns less than 5%
N•••••• K••••• M•••••• · Director & Shareholdercontrol
since 12/2022 · owns less than 5%
N•••••• T•••••• M•••••• · President, Chief Operating Officer, Corporate Secretary, Director & Shareholdercontrol
since 01/2018 · owns less than 5%
P••••••• S••••• W•••• · Director & Shareholdercontrol
since 04/2014 · owns less than 5%
S•••••• T•••••• L••••••• · Director & Shareholdercontrol
since 05/2001 · owns less than 5%
S•••••••• D•••••• B•••• · Executive Vice President & Shareholdercontrol
since 12/2022 · owns less than 5%
C••••••• B••••• C•••••• · Chief Compliance Officer, Senior Vice President & Shareholder
since 01/2018 · owns less than 5%
E••••••• J•••••••• L••• · General Counsel & Shareholder
since 06/2013 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Chapel Hill, NC2 employees
Boston, MA1 employees
Dallas, TX1 employees

What changed

consecutive filings, newest first

BD registered reps · 2 to 3
Dec 16, 2024 to Nov 14, 2025
Employees · 18 to 19
Dec 16, 2024 to Nov 14, 2025
Financial planning clients · unset to
Dec 16, 2024 to Nov 14, 2025
Discretionary RAUM · $5.1B to $4.3B
Dec 16, 2024 to Nov 14, 2025
RAUM · $5.1B to $4.3B
Dec 16, 2024 to Nov 14, 2025
Employees · 17 to 18
Dec 15, 2023 to Dec 16, 2024
Discretionary RAUM · $3.1B to $5.1B
Dec 15, 2023 to Dec 16, 2024
RAUM · $3.1B to $5.1B
Dec 15, 2023 to Dec 16, 2024
Employees · 19 to 17
Jan 3, 2023 to Dec 15, 2023
Discretionary RAUM · $3.0B to $3.1B
Jan 3, 2023 to Dec 15, 2023
RAUM · $3.0B to $3.1B
Jan 3, 2023 to Dec 15, 2023
Accounts · 16 to 17
Dec 23, 2021 to Jan 3, 2023
Advisory employees · 7 to 8
Dec 23, 2021 to Jan 3, 2023
BD registered reps · 4 to 2
Dec 23, 2021 to Jan 3, 2023
Other offices · 2 to 3
Dec 23, 2021 to Jan 3, 2023
Discretionary RAUM · $4.1B to $3.0B
Dec 23, 2021 to Jan 3, 2023
RAUM · $4.1B to $3.0B
Dec 23, 2021 to Jan 3, 2023
BD registered reps · 5 to 4
Dec 10, 2020 to Dec 23, 2021
Employees · 22 to 19
Dec 10, 2020 to Dec 23, 2021
Discretionary RAUM · $3.6B to $4.1B
Dec 10, 2020 to Dec 23, 2021
RAUM · $3.6B to $4.1B
Dec 10, 2020 to Dec 23, 2021
Employees · 21 to 22
Dec 18, 2019 to Dec 10, 2020
Discretionary RAUM · $4.9B to $3.6B
Dec 18, 2019 to Dec 10, 2020
RAUM · $4.9B to $3.6B
Dec 18, 2019 to Dec 10, 2020
Employees · 23 to 21
Aug 26, 2019 to Dec 18, 2019
Discretionary RAUM · $5.8B to $4.9B
Aug 26, 2019 to Dec 18, 2019
RAUM · $5.8B to $4.9B
Aug 26, 2019 to Dec 18, 2019
Accounts · 14 to 16
Jan 30, 2018 to Dec 19, 2018
Advisory employees · 8 to 7
Jan 30, 2018 to Dec 19, 2018
BD registered reps · 6 to 5
Jan 30, 2018 to Dec 19, 2018
Other offices · 3 to 2
Jan 30, 2018 to Dec 19, 2018
Discretionary RAUM · $6.7B to $5.8B
Jan 30, 2018 to Dec 19, 2018
RAUM · $6.7B to $5.8B
Jan 30, 2018 to Dec 19, 2018
Other offices · 2 to 3
Dec 15, 2017 to Jan 30, 2018
Accounts · 16 to 14
Dec 15, 2016 to Dec 15, 2017
Advisory employees · 9 to 8
Dec 15, 2016 to Dec 15, 2017
Employees · 22 to 23
Dec 15, 2016 to Dec 15, 2017
Other offices · unset to 2.0
Dec 15, 2016 to Dec 15, 2017
Discretionary RAUM · $6.4B to $6.7B
Dec 15, 2016 to Dec 15, 2017
RAUM · $6.4B to $6.7B
Dec 15, 2016 to Dec 15, 2017

Signals

7 dated events

H••••••• A•••••••• I••• reported RAUM $5.1B, up 68% from $3.1B (2023-12-15 to 2024-12-16)
Dec 16, 2024 · RAUM change · derived
H••••••• A•••••••• I••• reported RAUM $3.0B, down 27% from $4.1B (2021-12-23 to 2023-01-03)
Jan 3, 2023 · RAUM change · derived
George Daniel Libarle (Director & Shareholder) no longer on Schedule A of H••••••• A•••••••• I••• (listed 2021-12-23, absent 2023-01-03)
Jan 3, 2023 · Control person left · inference
Dean Rodger Offenbach (Director & Shareholder) no longer on Schedule A of H••••••• A•••••••• I••• (listed 2021-12-23, absent 2023-01-03)
Jan 3, 2023 · Control person left · inference
M•••••• K•••• N••••• (Director) appeared on Schedule A of H••••••• A•••••••• I•••
Jan 3, 2023 · Control person joined · fact
D••• L•••• K••••••••• (Director) appeared on Schedule A of H••••••• A•••••••• I•••
Dec 23, 2021 · Control person joined · fact
H••••••• A•••••••• I••• reported RAUM $3.6B, down 28% from $4.9B (2019-12-18 to 2020-12-10)
Dec 10, 2020 · 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: LINKEDIN.COM/COMPANY/H•••••••-ADVISORS-INC.reportedpublic record, Form ADV, Sep 21, 2026
Firm profile: LINKEDIN.COM/COMPANY/H•••••••-FUNDSreportedpublic record, Form ADV, Sep 21, 2026
Website: h•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 415-899-1555reportedpublic record, Form ADV, Nov 14, 2025

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: Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor: $4.3Bderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026