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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
H••••••••• A•••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Mar 26, 2012 · 16 filings
SEC status approved since Jun 30, 2004
RAUM
$148M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$148M as of Mar 19, 2026
Mar 26, 2012$104M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 19, 2026
Mar 26, 20120 then
Employees (5.A)2 as of Mar 19, 2026
Mar 26, 20132 then
Private funds: no history
RAUM +2.2% over the last fiscal year-16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $148MderivedRAUM 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
- $148MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.2%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- Investment companies$148M100%
- 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
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• M•••• K•••••• · Managing Membercontrolsince 12/2003 · owns less than 5%
- D••••••• R••••• J••• · Managing Membercontrolsince 12/2003 · owns less than 5%
- C••••••• M•••• K•••••• · Trusteecontrolsince 03/2004 · owns F of S••••• D••••••••• C••••••••• F•••••••••
- D••• C••••••• M••••••• · Trusteecontrolsince 11/2019 · owns F of S••••• D••••••••• C••••••••• F•••••••••
- D•••••• J••••••• D••• · Trusteesince 10/2006 · owns F of S••••• D••••••••• C••••••••• F•••••••••
Entity owners
- S••••• D••••••••• C••••••••• F••••••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••••• F•••••••• I••investment adviseryRAUM $236M
Advisers that list H••••••••• A•••••••• L•• as a related person
- 105618 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $145M to $148MMar 26, 2025 to Mar 19, 2026
- RAUM · $145M to $148MMar 26, 2025 to Mar 19, 2026
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $183M to $145MMar 27, 2024 to Mar 26, 2025
- RAUM · $183M to $145MMar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $250M to $183MMar 24, 2023 to Mar 27, 2024
- RAUM · $250M to $183MMar 24, 2023 to Mar 27, 2024
- Discretionary RAUM · $279M to $250MMar 17, 2022 to Mar 24, 2023
- RAUM · $279M to $250MMar 17, 2022 to Mar 24, 2023
- Discretionary RAUM · $167M to $279MMar 26, 2021 to Mar 17, 2022
- RAUM · $167M to $279MMar 26, 2021 to Mar 17, 2022
- Financial planning clients · unset to 0Mar 20, 2020 to Mar 26, 2021
- Discretionary RAUM · $51.2M to $167MMar 20, 2020 to Mar 26, 2021
- RAUM · $51.2M to $167MMar 20, 2020 to Mar 26, 2021
- Discretionary RAUM · $50.6M to $51.2MAug 8, 2019 to Mar 20, 2020
- RAUM · $50.6M to $51.2MAug 8, 2019 to Mar 20, 2020
- Discretionary RAUM · $53.6M to $50.6MMar 31, 2018 to Mar 30, 2019
- RAUM · $53.6M to $50.6MMar 31, 2018 to Mar 30, 2019
- Other offices · unset to 0.0Mar 27, 2017 to Mar 31, 2018
- Discretionary RAUM · $66.5M to $53.6MMar 27, 2017 to Mar 31, 2018
- RAUM · $66.5M to $53.6MMar 27, 2017 to Mar 31, 2018
- Discretionary RAUM · $71.5M to $66.5MMar 30, 2016 to Mar 27, 2017
- RAUM · $71.5M to $66.5MMar 30, 2016 to Mar 27, 2017
- Accounts · 2 to 1Mar 24, 2015 to Mar 30, 2016
- Discretionary RAUM · $96.2M to $71.5MMar 24, 2015 to Mar 30, 2016
- RAUM · $96.2M to $71.5MMar 24, 2015 to Mar 30, 2016
- Discretionary RAUM · $135M to $96.2MMar 27, 2014 to Mar 24, 2015
- RAUM · $135M to $96.2MMar 27, 2014 to Mar 24, 2015
- Accounts · 4 to 2Mar 26, 2013 to Mar 27, 2014
- Discretionary RAUM · $132M to $135MMar 26, 2013 to Mar 27, 2014
- RAUM · $132M to $135MMar 26, 2013 to Mar 27, 2014
- Accounts · 3 to 4Mar 26, 2012 to Mar 26, 2013
- Advisory employees · unset to 1.0Mar 26, 2012 to Mar 26, 2013
- Employees · unset to 2.0Mar 26, 2012 to Mar 26, 2013
- State-registered IARs · 0 to 1Mar 26, 2012 to Mar 26, 2013
- Discretionary RAUM · $104M to $132MMar 26, 2012 to Mar 26, 2013
- RAUM · $104M to $132MMar 26, 2012 to Mar 26, 2013
Signals
4 dated events
- H••••••••• A•••••••• L•• reported RAUM $278.5M, up 67% from $166.8M (2021-03-26 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
- H••••••••• A•••••••• L•• reported RAUM $166.8M, up 226% from $51.2M (2020-03-20 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- M••••••• C•••••• Day (Trustee) appeared on Schedule A of H••••••••• A•••••••• L••Mar 20, 2020 · Control person joined · fact
- A. Reginaldo Kruklis (Trustee) no longer on Schedule A of H••••••••• A•••••••• L•• (listed 2019-08-08, absent 2020-03-20)Mar 20, 2020 · Control person left · inference
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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 757-463-7600reportedpublic record, Form ADV, Mar 19, 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
- Asset manager (funds and pooled vehicles)deriveda 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