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•••••••• I••••••••• M••••••••• L•••

Former SEC-registered adviserLondon, CRD 112077SEC 801-55577IAPD
Legal name H•••••••• I••••••••• M••••••••• L••••••
Latest filing Sep 28, 2017
First filing on the tape Mar 30, 2012 · 16 filings
RAUM
$12B
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
25
24 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$12B as of Mar 28, 2017
Mar 30, 2012$5.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2017
Mar 30, 20120 then
Employees (5.A)25 as of Mar 28, 2017
Mar 28, 201344 then
Private funds1 as of Mar 28, 2013
Mar 30, 20121 then
RAUM -13% over the last fiscal year+3.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 28, 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
$1.3BderivedRAUM 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
unknownderived2 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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, 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
  • 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
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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• C••••••••• B••••••• · Directorcontrol
        since 04/2014 · owns less than 5%
      • O••••••• J••••• G••••• · Directorcontrol
        since 03/2015 · owns less than 5%
      • C••••••••• R•••••••• W••••• · Director
        since 09/2017 · owns less than 5%
      • G•••• M••••• A••••• · Chief Compliance Officer
        since 08/2017 · owns less than 5%
      Entity owners
      • H•••••••• G••••• I•••••••• ••••••••• P•• · Shareholder
        direct · owns 75% or more
      • H•••••••• G••••• G•••• L•••••• · Shareholder
        indirect · owns 75% or more of H•••••••• H••••••• G•••• L••••••
      • H•••••••• H••••••• G•••• L•••••• · Shareholder
        indirect · owns 75% or more of Hgi Group
      • H•• G•••• L•••••• · Shareholder
        indirect · owns 75% or more of H•••••••• Global Investors (Holdings) L••••••
      • J•••• H•••••••• G•••• P•• · Shareholder
        indirect · owns 75% or more of H•••••••• G••••• G•••• L•••••• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list H•••••••• I••••••••• M••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL
      What changed
      consecutive filings, newest first
      • Accounts · 20 to 9
        Mar 30, 2016 to Mar 28, 2017
      • Discretionary RAUM · $13B to $12B
        Mar 30, 2016 to Mar 28, 2017
      • RAUM · $13B to $12B
        Mar 30, 2016 to Mar 28, 2017
      • Accounts · 19 to 20
        Apr 29, 2015 to Mar 30, 2016
      • Advisory employees · 45 to 24
        Apr 29, 2015 to Mar 30, 2016
      • Advisory activities · 2 to 4
        Apr 29, 2015 to Mar 30, 2016
      • Employees · 71 to 25
        Apr 29, 2015 to Mar 30, 2016
      • Discretionary RAUM · $12B to $13B
        Apr 29, 2015 to Mar 30, 2016
      • RAUM · $12B to $13B
        Apr 29, 2015 to Mar 30, 2016
      • Accounts · 17 to 19
        Apr 17, 2014 to Mar 31, 2015
      • Advisory employees · 22 to 45
        Apr 17, 2014 to Mar 31, 2015
      • Employees · 44 to 71
        Apr 17, 2014 to Mar 31, 2015
      • Discretionary RAUM · $10B to $12B
        Apr 17, 2014 to Mar 31, 2015
      • RAUM · $10B to $12B
        Apr 17, 2014 to Mar 31, 2015
      • Organization form · Limited Partnership to Other (specify)
        Jan 8, 2014 to Apr 8, 2014
      • Discretionary RAUM · $6.2B to $10B
        Jan 8, 2014 to Apr 8, 2014
      • RAUM · $6.2B to $10B
        Jan 8, 2014 to Apr 8, 2014
      • Private funds · 1 to unset
        Dec 18, 2013 to Jan 8, 2014
      • Accounts · 19 to 17
        Mar 30, 2012 to Mar 28, 2013
      • Advisory employees · unset to 22.0
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 44.0
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $5.3B to $6.2B
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · $5.3B to $6.2B
        Mar 30, 2012 to Mar 28, 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