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• C•••••• A•••••••• L••

Former SEC-registered adviserHouston, TexasCRD 114653SEC 801-68230IAPD
Latest filing Aug 9, 2013
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$81.2M
reported, Item 5.F
Discretionary
48%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$81.2M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$81.2M as of Apr 1, 2013
Mar 30, 2012$103M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 1
Employees (5.A): 3
Private funds: no history
RAUM -21% over the last fiscal year
Practice profile
derived from the filing of Aug 9, 2013; every figure names its basis
RAUM per advisor
$81.2MderivedRAUM 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
$30,343derivedRAUM over accounts (5.F.2.f)
Discretionary
48%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-21%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, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
2,675reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• E••• L•••••••Houston, TxAug 18, 200334 y1
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••••• J••••• E••• · Managing Membercontrol
        since 07/2001 · owns 25% to 50%
      • H••••• M•••••• S•• · Member
        since 08/2010 · owns 5% to 10%
      • S•••• D•••••• W••••• · Managing Member
        since 07/2007 · owns 10% to 25%
      • W•••••• D•••••• H••••••• · Chief Compliance Officer
        since 11/2010 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2,684 to 2,675
        Jun 26, 2012 to Apr 1, 2013
      • Advisory employees · unset to 1.0
        Jun 26, 2012 to Apr 1, 2013
      • Employees · unset to 3.0
        Jun 26, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 1.0
        Jun 26, 2012 to Apr 1, 2013
      • Discretionary RAUM · $65.6M to $39.2M
        Jun 26, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $37.2M to $42.0M
        Jun 26, 2012 to Apr 1, 2013
      • RAUM · $103M to $81.2M
        Jun 26, 2012 to Apr 1, 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.
      How to reach
      public business contact points only, each with its source
      Website
      HGADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
      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
      $81.2Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026