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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SEC-registered adviser
H•••••••• F••••
Legal name H•••••••• F••••• L••
Latest filing Mar 12, 2026
First filing on the tape Mar 20, 2012 · 23 filings
SEC status approved since Mar 6, 2006
RAUM
$318M
reported, Item 5.F
Discretionary
28%
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
2
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$318M as of Mar 12, 2026
Mar 20, 2012$532M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Feb 26, 20130 then
Employees (5.A)2 as of Mar 12, 2026
Feb 26, 20134 then
Private funds2 as of Mar 12, 2026
Feb 27, 20183 then
RAUM -39% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- 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
- $106MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 28%derivedof RAUM
- Institutional
- 72%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
- -39%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $88.9M, 2 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Sovereign wealth funds$229M72%
- Pooled investment vehicles$88.9M28%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $88.9M for 2 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.28 institutional_share=0.72 related_bd=false related_bank=false bd_reps=1.0derived
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• C••••• S••••••••• A••••• E••••• F•••• L•••no longer reported | Other Private Fund | $54.2M | 1 | Feb 27, 2018 |
| S••••• C••••• A••••• E••••• F•••• L•• | Other Private Fund | $52.0M | 3 | Feb 27, 2018 |
| H•••••••• S••••••••• M•••• P•••••••• C•••••••• S•• | Other Private Fund | $13.0M | 2 | Jan 24, 2020 |
| S••••• C••••• S••••••••• A••••• E••••• F•••• L••no longer reported | Other Private Fund | $0 | 1 | Feb 27, 2018 |
Owners and control persons
Schedule A and B, latest filing
- A••••• J••••• A••••• · Managing Director/Chief Investment Officer/Chief Compliance Officer, Managing Membercontrolsince 12/2005 · owns 75% or more
- A••••• J••••• A••••• · Shareholdercontrolsince 03/2024 · owns 75% or more of S••••• I••••••••• I••••••••• U•• H•••••••• I•••
Entity owners
- S••••• I••••••••• I••••••••• U•• H•••••••• I••• · Memberdirect · 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.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 12, 2026discretionary share of RAUM moved from 100.0% to 28.0% between the annual amendments of 2025-01-16 and 2026-03-12peers: institutional managers, $100M to $500M (108)
- institutional asset share shiftChange between filings · filing Mar 12, 2026institutional share of RAUM moved from 0.0% to 72.0% between the annual amendments of 2025-01-16 and 2026-03-12peers: institutional managers, $100M to $500M (108)
- RAUM down 25 %Change between filings · filing Mar 12, 2026RAUM (Item 5.F) moved from $521,800,000 to $317,600,000 (-39.0%) between the annual amendments of 2025-01-16 and 2026-03-12; the peer median change was +9.0% (93 comparable advisers, 2.0th percentile of changes)peers: institutional managers, $100M to $500M (93) · 2.2% percentile
What changed
consecutive filings, newest first
- Assets in custody · $72.6M to $88.9MJul 31, 2025 to Mar 12, 2026
- Employees · 3 to 2Jul 31, 2025 to Mar 12, 2026
- Discretionary RAUM · $72.6M to $88.9MJul 31, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $220M to $229MJul 31, 2025 to Mar 12, 2026
- Pooled vehicle RAUM · $72.6M to $88.9MJul 31, 2025 to Mar 12, 2026
- RAUM · $292M to $318MJul 31, 2025 to Mar 12, 2026
- Accounts · 6 to 3Jan 16, 2025 to Jul 31, 2025
- Advisory employees · 2 to 1Jan 16, 2025 to Jul 31, 2025
- Advisory activities · 4 to 3Jan 16, 2025 to Jul 31, 2025
- Business name · C••••• A•••• M••••••••• to H•••••••• F••••Jan 16, 2025 to Jul 31, 2025
- Pooled vehicle clients · unset to 2.0Jan 16, 2025 to Jul 31, 2025
- Assets in custody · $66.0M to $72.6MJan 16, 2025 to Jul 31, 2025
- Financial planning clients · unset to Jan 16, 2025 to Jul 31, 2025
- Legal name · C••••• A•••• M•••••••••, LLC to H•••••••• F••••• L••Jan 16, 2025 to Jul 31, 2025
- Discretionary RAUM · $522M to $72.6MJan 16, 2025 to Jul 31, 2025
- Non-discretionary RAUM · $0 to $220MJan 16, 2025 to Jul 31, 2025
- Pooled vehicle RAUM · unset to 72600000.0Jan 16, 2025 to Jul 31, 2025
- RAUM · $522M to $292MJan 16, 2025 to Jul 31, 2025
- Assets in custody · $65.0M to $66.0MOct 10, 2024 to Jan 16, 2025
- Discretionary RAUM · $547M to $522MOct 10, 2024 to Jan 16, 2025
- RAUM · $547M to $522MOct 10, 2024 to Jan 16, 2025
- Assets in custody · $69.9M to $65.0MJan 12, 2024 to Oct 10, 2024
- Discretionary RAUM · $504M to $547MJan 12, 2024 to Oct 10, 2024
- RAUM · $504M to $547MJan 12, 2024 to Oct 10, 2024
- Assets in custody · $78.8M to $69.9MJan 20, 2023 to Jan 12, 2024
- Discretionary RAUM · $482M to $504MJan 20, 2023 to Jan 12, 2024
- RAUM · $482M to $504MJan 20, 2023 to Jan 12, 2024
- Accounts · 8 to 6Feb 8, 2022 to Jan 18, 2023
- Assets in custody · $145M to $78.8MFeb 8, 2022 to Jan 18, 2023
- Private funds · 3 to 2Feb 8, 2022 to Jan 18, 2023
- Discretionary RAUM · $367M to $482MFeb 8, 2022 to Jan 18, 2023
- RAUM · $367M to $482MFeb 8, 2022 to Jan 18, 2023
- Accounts · 12 to 8Nov 2, 2021 to Feb 8, 2022
- Advisory employees · 4 to 2Nov 2, 2021 to Feb 8, 2022
- BD registered reps · 2 to 1Nov 2, 2021 to Feb 8, 2022
- Assets in custody · $131M to $145MNov 2, 2021 to Feb 8, 2022
- Employees · 5 to 3Nov 2, 2021 to Feb 8, 2022
- State-registered IARs · 2 to 0Nov 2, 2021 to Feb 8, 2022
- Discretionary RAUM · $545M to $367MNov 2, 2021 to Feb 8, 2022
- RAUM · $545M to $367MNov 2, 2021 to Feb 8, 2022
Signals
10 dated events
- H•••••••• F•••• reported RAUM $292.2M, down 44% from $521.8M (2025-01-16 to 2025-07-31)Jul 31, 2025 · RAUM change · derived
- Reece Briesies (Non-Executive Director) no longer on Schedule A of H•••••••• F•••• (listed 2023-01-20, absent 2024-01-12)Jan 12, 2024 · Control person left · inference
- H•••••••• F•••• reported RAUM $481.6M, up 31% from $367.3M (2022-02-08 to 2023-01-18)Jan 18, 2023 · RAUM change · derived
- H•••••••• F•••• reported RAUM $367.3M, down 33% from $545.4M (2021-11-02 to 2022-02-08)Feb 8, 2022 · RAUM change · derived
- Robert Roux (Non-Executive Director & Chairman) no longer on Schedule A of H•••••••• F•••• (listed 2021-11-02, absent 2022-02-08)Feb 8, 2022 · Control person left · inference
- Thomas Van Heerden (Non-Executive Director) appeared on Schedule A of H•••••••• F••••Mar 11, 2021 · Control person joined · fact
- H•••••••• F•••• reported RAUM $545.4M, down 46% from $1.0B (2020-01-24 to 2021-03-11)Mar 11, 2021 · RAUM change · derived
- Reece Briesies (Director) appeared on Schedule A of H•••••••• F••••Feb 6, 2019 · Control person joined · fact
- Daniel Kriel (Director) no longer on Schedule A of H•••••••• F•••• (listed 2018-02-27, absent 2019-02-06)Feb 6, 2019 · Control person left · inference
- H•••••••• F•••• reported RAUM $864.2M, up 44% from $599.1M (2018-02-27 to 2019-02-06)Feb 6, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- H•••••••• F•••• · Independent Sponsorsshared crd · capital_provider
- CSP Securities, LP · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-918-4706reportedpublic record, Form ADV, Mar 12, 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
- Institutional managerderiveda 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