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•••••• A••••••• L••

Former SEC-registered adviserBoca Raton, FloridaCRD 140041SEC 801-66757IAPD
Latest filing Mar 18, 2016
First filing on the tape Mar 23, 2012 · 6 filings
RAUM
$679M
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
6 filings and snapshots on the tape
RAUM$679M as of Mar 18, 2016
Mar 23, 2012$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2016
Mar 23, 20120 then
Employees (5.A)3 as of Mar 18, 2016
Mar 6, 20133 then
Private funds: no history
RAUM -20% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2016; 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
$75.4MderivedRAUM 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
-20%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 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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• W•••• F• · President/Managing Member/Chief Compliance Officercontrol
        since 02/2006 · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list H•••••• A••••••• 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 · $849M to $679M
        May 29, 2015 to Mar 18, 2016
      • RAUM · $849M to $679M
        May 29, 2015 to Mar 18, 2016
      • Discretionary RAUM · $964M to $849M
        Feb 24, 2014 to May 29, 2015
      • RAUM · $964M to $849M
        Feb 24, 2014 to May 29, 2015
      • HQ city · MORRISTOWN to BOCA RATON
        Mar 6, 2013 to Feb 24, 2014
      • HQ state · NJ to FL
        Mar 6, 2013 to Feb 24, 2014
      • Discretionary RAUM · $1.2B to $964M
        Mar 6, 2013 to Feb 24, 2014
      • RAUM · $1.2B to $964M
        Mar 6, 2013 to Feb 24, 2014
      • Accounts · 11 to 9
        Apr 17, 2012 to Mar 6, 2013
      • Advisory employees · unset to 3.0
        Apr 17, 2012 to Mar 6, 2013
      • Employees · unset to 3.0
        Apr 17, 2012 to Mar 6, 2013
      • Discretionary RAUM · $1.8B to $1.2B
        Apr 17, 2012 to Mar 6, 2013
      • RAUM · $1.8B to $1.2B
        Apr 17, 2012 to Mar 6, 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