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•••••••• F•••••••• S•••••••

Former SEC-registered adviserBloomington, MinnesotaCRD 115530SEC 801-92176IAPD
Legal name H•••••••• F•••••••• S•••••••• L••
Latest filing Feb 9, 2017
First filing on the tape Mar 9, 2012 · 10 filings
RAUM
$153M
reported, Item 5.F
Discretionary
0.0%
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$153M as of Feb 9, 2017
Mar 9, 2012$58.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 9, 2017
Mar 9, 20120 then
Employees (5.A)3 as of Feb 9, 2017
Mar 2, 20163 then
Private funds: no history
RAUM +7.5% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 9, 2017; every figure names its basis
RAUM per advisor
$50.9MderivedRAUM 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
$998,573derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.5%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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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
153reported
Financial planning clients
101-250reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••••• M•••• I••• · President, Chief Compliance Officercontrol
        since 06/1988 · owns 75% or more
      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 · 132 to 153
        Nov 16, 2016 to Feb 9, 2017
      • Discretionary RAUM · $142M to $0
        Nov 16, 2016 to Feb 9, 2017
      • Non-discretionary RAUM · $0 to $153M
        Nov 16, 2016 to Feb 9, 2017
      • RAUM · $142M to $153M
        Nov 16, 2016 to Feb 9, 2017
      • Accounts · 121 to 132
        Jan 15, 2016 to Mar 2, 2016
      • Employees · 4 to 3
        Jan 15, 2016 to Mar 2, 2016
      • Discretionary RAUM · $0 to $142M
        Jan 15, 2016 to Mar 2, 2016
      • Non-discretionary RAUM · $109M to $0
        Jan 15, 2016 to Mar 2, 2016
      • RAUM · $109M to $142M
        Jan 15, 2016 to Mar 2, 2016
      • Accounts · 82 to 121
        Jun 14, 2012 to Apr 8, 2015
      • Advisory employees · unset to 3.0
        Jun 14, 2012 to Apr 8, 2015
      • BD registered reps · unset to 3.0
        Jun 14, 2012 to Apr 8, 2015
      • Employees · unset to 4.0
        Jun 14, 2012 to Apr 8, 2015
      • Financial planning clients · 51-100 to 101-250
        Jun 14, 2012 to Apr 8, 2015
      • State-registered IARs · 0 to 3
        Jun 14, 2012 to Apr 8, 2015
      • Non-discretionary RAUM · $58.5M to $109M
        Jun 14, 2012 to Apr 8, 2015
      • RAUM · $58.5M to $109M
        Jun 14, 2012 to Apr 8, 2015
      • Discretionary RAUM · $58.5M to $0
        Apr 12, 2012 to Jun 14, 2012
      • Non-discretionary RAUM · $0 to $58.5M
        Apr 12, 2012 to Jun 14, 2012
      Signals
      1 dated events
      • H•••••••• F•••••••• S••••••• filed its initial SEC registration (Form ADV)
        Apr 8, 2015 · First SEC registration · fact
      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