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••• P•••• L••

Former SEC-registered adviserBoca Raton, FloridaCRD 125212SEC 801-61820IAPD
Latest filing May 11, 2017
First filing on the tape Mar 23, 2012 · 7 filings
RAUM
$630M
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$630M as of May 11, 2017
Mar 23, 2012$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 11, 2017
Mar 23, 20120 then
Employees (5.A)3 as of May 11, 2017
Mar 5, 20133 then
Private funds: no history
RAUM -5.3% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 11, 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
$158MderivedRAUM 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
-5.3%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••• W•••• F• · President/Chief Compliance Officercontrol
      since 02/2006 · owns less than 5%
    • C•••• W•••• F• · President/Managing Member/Chief Compliance Officercontrol
      since 02/2006 · owns 75% or more of H•••••• A••••••• L••
    Entity owners
    • H•••••• A••••••• L•• · Parent Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Advisers that list H••• P•••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $665M to $630M
      Mar 18, 2016 to May 11, 2017
    • RAUM · $665M to $630M
      Mar 18, 2016 to May 11, 2017
    • Discretionary RAUM · $821M to $665M
      Mar 30, 2015 to Mar 18, 2016
    • RAUM · $821M to $665M
      Mar 30, 2015 to Mar 18, 2016
    • Discretionary RAUM · $935M to $821M
      Feb 13, 2014 to Mar 30, 2015
    • RAUM · $935M to $821M
      Feb 13, 2014 to Mar 30, 2015
    • HQ city · MORRISTOWN to BOCA RATON
      Mar 5, 2013 to Feb 13, 2014
    • HQ state · NJ to FL
      Mar 5, 2013 to Feb 13, 2014
    • Discretionary RAUM · $1.1B to $935M
      Mar 5, 2013 to Feb 13, 2014
    • RAUM · $1.1B to $935M
      Mar 5, 2013 to Feb 13, 2014
    • Advisory employees · unset to 3.0
      Apr 17, 2012 to Mar 5, 2013
    • Employees · unset to 3.0
      Apr 17, 2012 to Mar 5, 2013
    • Discretionary RAUM · $1.4B to $1.1B
      Apr 17, 2012 to Mar 5, 2013
    • RAUM · $1.4B to $1.1B
      Apr 17, 2012 to Mar 5, 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