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 adviserMadison, WisconsinCRD 120668SEC 801-61220IAPD
Latest filing Mar 28, 2014
First filing on the tape Apr 16, 2012 · 4 filings
RAUM
$36.4M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$36.4M gross assets
History
4 filings and snapshots on the tape
RAUM$36.4M as of Mar 28, 2014
Apr 16, 2012$243M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Apr 16, 20120 then
Employees (5.A)3 as of Mar 28, 2014
Apr 1, 20135 then
Private funds1 as of Mar 28, 2014
Apr 16, 20124 then
RAUM -88% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2014; 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
$36.4MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-88%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$36.4M, 1 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$36.4M for 1 clientsreported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••••••• I••••••••• P••••••• M••••• F•••• L•••no longer reportedHedge Fund$126M14Apr 16, 2012
      F•••••••• I••••••••• P•••••••• L•••Hedge Fund$51.0M13Apr 1, 2013
      H•••• C••••• O••••••••• M••••• F•••• L•••Hedge Fund$39.1M14Apr 16, 2012
      F•••••••• I••••••••• P••••••• I••• L•••Hedge Fund$30.3M11Apr 16, 2012
      F•••••••• I••••••••• P••••••• I•• L••no longer reportedHedge Fund$9.6M11Apr 16, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H••••• E•••• D••••• · President, Ceo, Managing Membercontrol
        since 04/2002 · owns 50% to 75%
      • C••••••• J••••• R••• · Chief Compliance Officer
        since 08/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      • H•••• P•••••• E••••• A••••••• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 1
        Aug 15, 2013 to Mar 28, 2014
      • Advisory employees · 5 to 2
        Aug 15, 2013 to Mar 28, 2014
      • Assets in custody · $306M to $36.4M
        Aug 15, 2013 to Mar 28, 2014
      • Employees · 5 to 3
        Aug 15, 2013 to Mar 28, 2014
      • Private funds · 3 to 1
        Aug 15, 2013 to Mar 28, 2014
      • Discretionary RAUM · $170M to $36.4M
        Aug 15, 2013 to Mar 28, 2014
      • RAUM · $170M to $36.4M
        Aug 15, 2013 to Mar 28, 2014
      • HQ city · WASHINGTON to MADISON
        Apr 1, 2013 to Aug 15, 2013
      • HQ state · DC to WI
        Apr 1, 2013 to Aug 15, 2013
      • Discretionary RAUM · $306M to $170M
        Apr 1, 2013 to Aug 15, 2013
      • RAUM · $306M to $170M
        Apr 1, 2013 to Aug 15, 2013
      • Accounts · 6 to 5
        Apr 16, 2012 to Apr 1, 2013
      • Advisory employees · unset to 5.0
        Apr 16, 2012 to Apr 1, 2013
      • Assets in custody · $288M to $306M
        Apr 16, 2012 to Apr 1, 2013
      • Employees · unset to 5.0
        Apr 16, 2012 to Apr 1, 2013
      • Private funds · 4 to 3
        Apr 16, 2012 to Apr 1, 2013
      • Discretionary RAUM · $243M to $306M
        Apr 16, 2012 to Apr 1, 2013
      • RAUM · $243M to $306M
        Apr 16, 2012 to Apr 1, 2013
      • Related bank · false to true
        Apr 16, 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.
      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