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

H••••••• L••••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 112214SEC 801-54718IAPD
Legal name H••••••• L•••• F•••••••• A•••••••• I•••
Latest filing Jun 30, 2016
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
177
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$110M as of Jun 30, 2015
Jun 29, 2012$134M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 30, 2016
Jun 29, 20120 then
Employees (5.A)177 as of Jun 30, 2016
Jun 28, 2013117 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2016; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween 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, fixed feesreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • A••••• J••••• L•••••• · Chief Financial Officercontrol
        since 12/2012 · owns less than 5%
      • B•••••• S••••• L•• · Treasurer & Directorcontrol
        since 12/2000 · owns less than 5%
      • B••••• J•••• W••• · President & Directorcontrol
        since 01/1997 · owns less than 5%
      • C•••••••• J••••• A•• M•••••• · Vice President & Chief Compliance Officercontrol
        since 10/2004 · owns less than 5%
      • C••••• C••••••••• M•••••• · General Counselcontrol
        since 10/2004 · owns less than 5%
      • B•••••• S••••• L•• · Trustee/Series E Commoncontrol
        since 04/2007 · owns F of Series E Trust
      Entity owners
      • H••••••• L••••• I••• · Parent Company
        direct · owns 75% or more · public reporting company
      • H• V••••• T•••• · Trustee / Class B Common
        indirect · owns 50% to 75% of H••••••• L••••• I•••
      • O••• C•••••• M••••••• L•• · Owner
        indirect · owns 75% or more of O••• H••• H•••••• L••
      • O••• C••••••••• · Owner
        indirect · owns 75% or more of O••• U•• C••••••••• · public reporting company
      • O••• H••• H•••••• L•• · Shareholder Class B Common
        indirect · owns 25% to 50% of H••••••• L••••• I•••
      • O••• U•• C••••••••• · Owner
        indirect · owns 75% or more of O••• C•••••• M••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2.0 to unset
        Jul 6, 2015 to Jun 30, 2016
      • Advisory employees · 10 to 0
        Jul 6, 2015 to Jun 30, 2016
      • Advisory activities · 2 to 1
        Jul 6, 2015 to Jun 30, 2016
      • BD registered reps · 141 to 159
        Jul 6, 2015 to Jun 30, 2016
      • Assets in custody · 110011884.0 to unset
        Jul 6, 2015 to Jun 30, 2016
      • Custody of client assets · true to false
        Jul 6, 2015 to Jun 30, 2016
      • Employees · 151 to 177
        Jul 6, 2015 to Jun 30, 2016
      • Discretionary RAUM · 0.0 to unset
        Jul 6, 2015 to Jun 30, 2016
      • Non-discretionary RAUM · 110011884.0 to unset
        Jul 6, 2015 to Jun 30, 2016
      • RAUM · 110011884.0 to unset
        Jul 6, 2015 to Jun 30, 2016
      • BD registered reps · 135 to 141
        Nov 4, 2014 to Jun 30, 2015
      • Assets in custody · $120M to $110M
        Nov 4, 2014 to Jun 30, 2015
      • Employees · 142 to 151
        Nov 4, 2014 to Jun 30, 2015
      • Non-discretionary RAUM · $120M to $110M
        Nov 4, 2014 to Jun 30, 2015
      • RAUM · $120M to $110M
        Nov 4, 2014 to Jun 30, 2015
      • Accounts · 3 to 2
        Jul 2, 2013 to Jun 30, 2014
      • BD registered reps · 117 to 135
        Jul 2, 2013 to Jun 30, 2014
      • Assets in custody · $134M to $120M
        Jul 2, 2013 to Jun 30, 2014
      • Employees · 117 to 142
        Jul 2, 2013 to Jun 30, 2014
      • Non-discretionary RAUM · $136M to $120M
        Jul 2, 2013 to Jun 30, 2014
      • RAUM · $136M to $120M
        Jul 2, 2013 to Jun 30, 2014
      • BD registered reps · 123 to 117
        Dec 7, 2012 to Jun 28, 2013
      • Employees · 123 to 117
        Dec 7, 2012 to Jun 28, 2013
      • Non-discretionary RAUM · $134M to $136M
        Dec 7, 2012 to Jun 28, 2013
      • RAUM · $134M to $136M
        Dec 7, 2012 to Jun 28, 2013
      • Advisory employees · unset to 10.0
        Aug 21, 2012 to Dec 7, 2012
      • BD registered reps · unset to 123.0
        Aug 21, 2012 to Dec 7, 2012
      • Employees · unset to 123.0
        Aug 21, 2012 to Dec 7, 2012
      • Assets in custody · $131M to $134M
        Mar 30, 2012 to Jun 29, 2012
      • Non-discretionary RAUM · $131M to $134M
        Mar 30, 2012 to Jun 29, 2012
      • RAUM · $131M to $134M
        Mar 30, 2012 to Jun 29, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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