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

A••••• H••• I••••••••• M•••••••••

Former SEC-registered adviserAlameda, CaliforniaCRD 110837SEC 801-44891IAPD
Legal name H••• A••••• J••••• J••
Latest filing Apr 28, 2014
First filing on the tape Mar 29, 2012 · 4 filings
RAUM
$532M
reported, Item 5.F
Discretionary
18%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$532M as of Mar 27, 2014
Mar 29, 2012$246M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 27, 2014
Mar 19, 20131 then
Employees (5.A)2 as of Mar 27, 2014
Mar 19, 20132 then
Private funds: no history
RAUM +116% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 28, 2014; every figure names its basis
RAUM per advisor
$532MderivedRAUM 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
$53.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
18%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+116%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 assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
10reported
Financial planning clients
1-10reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H•••• A•••••• J••••• · Principalcontrol
    since 11/1993 · owns 75% or more
  • A••• K••••• R••••• · Chief Compliance Officer And Vp Operations
    since 06/2009 · owns less than 5%
  • D•••••• P•••• J••••• · Senior Vice President
    since 10/2008 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • ,
What changed
consecutive filings, newest first
  • Accounts · 8 to 10
    Mar 19, 2013 to Mar 27, 2014
  • Discretionary RAUM · $246M to $97.6M
    Mar 19, 2013 to Mar 27, 2014
  • Non-discretionary RAUM · $0 to $434M
    Mar 19, 2013 to Mar 27, 2014
  • RAUM · $246M to $532M
    Mar 19, 2013 to Mar 27, 2014
  • Accounts · 7 to 8
    Mar 29, 2012 to Mar 19, 2013
  • Advisory employees · unset to 2.0
    Mar 29, 2012 to Mar 19, 2013
  • Employees · unset to 2.0
    Mar 29, 2012 to Mar 19, 2013
  • State-registered IARs · unset to 1.0
    Mar 29, 2012 to Mar 19, 2013
  • Discretionary RAUM · $246M to $246M
    Mar 29, 2012 to Mar 19, 2013
  • RAUM · $246M to $246M
    Mar 29, 2012 to Mar 19, 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