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•••••••• I••••••••• I••••••••
Legal name H•••••••• I••••••••• I•••••••• L••
Latest filing Jun 29, 2026
First filing on the tape Mar 5, 2012 · 36 filings
SEC status approved since Jun 6, 2006
RAUM
$742M
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
16
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$742M as of Jun 29, 2026
May 24, 2012$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2026
May 24, 20120 then
Employees (5.A)16 as of Jun 29, 2026
Jun 18, 201315 then
Private funds2 as of Jun 29, 2026
May 24, 20122 then
RAUM -74% over the last fiscal year-50% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 2026; 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
- $371MderivedRAUM 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
- -25%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 pooled vehiclesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$742M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••••• I••••••••• I•••••••• S•••••• C•••••••• F••• | Other Private Fund | $1.6B | 112 | Mar 5, 2012 |
| H•••••••• I••••••••• I•••••••• E••••••• M•••••• S••• F•••no longer reported | Other Private Fund | $738M | 122 | Jan 29, 2014 |
| H•••••••• I••••••••• I•••••••• S••• F••• | Other Private Fund | $603M | 96 | Mar 5, 2012 |
| T•• H•••••••• I••••••••• I•••••••• Q•••••• V•••• F••• | Other Private Fund | $56.4M | 28 | Dec 16, 2020 |
| T•• H•••••••• I••••••••• I•••••••• Q•••••• G••••• F••• | Other Private Fund | $21.0M | 14 | Jun 20, 2022 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• F•••••• W•••••• · Chief Operating Officer, Chief Compliance Officer, Partnercontrolsince 01/2006 · owns less than 5%
- M••••• E•••••• L•••••••• · Chairman, Partner, Ciocontrolsince 01/2006 · owns less than 5%
- S•••••• S••••• J••••• · Director Of Marketing And Client Servicecontrolsince 02/2006 · owns less than 5%
- B•••• S••••••• C•••••• · Chairman, Ciocontrolsince 04/1995 · owns 50% to 75% of S••••••••• P••••••• L••••••
- M••••• E•••••• L•••••••• · Chairman, Ceo, Ciocontrolsince 04/2006 · owns 25% to 50% of H•••••••• I••••••••• M••••••••• L••••••
Entity owners
- H•••••••• I••••••••• M••••••••• L•••••• · Partnerdirect · owns 75% or more
- S••••••••• P••••••• L•••••• · Shareholderindirect · owns 25% to 50% of H•••••••• I••••••••• M••••••••• L••••••
Related persons
Schedule D 7.A
No related person reported.
Advisers that list H•••••••• I••••••••• I•••••••• as a related person
- 110987 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 9 to 7Jun 25, 2025 to Jun 29, 2026
- Employees · 20 to 16Jun 25, 2025 to Jun 29, 2026
- Discretionary RAUM · $1.3B to $742MJun 25, 2025 to Jun 29, 2026
- Pooled vehicle RAUM · $1.3B to $742MJun 25, 2025 to Jun 29, 2026
- RAUM · $1.3B to $742MJun 25, 2025 to Jun 29, 2026
- Advisory employees · 12 to 9Jun 27, 2024 to Jun 25, 2025
- Employees · 24 to 20Jun 27, 2024 to Jun 25, 2025
- Financial planning clients · unset to Jun 27, 2024 to Jun 25, 2025
- HQ state · unset to Jun 27, 2024 to Jun 25, 2025
- Discretionary RAUM · $2.2B to $1.3BJun 27, 2024 to Jun 25, 2025
- Pooled vehicle RAUM · $2.2B to $1.3BJun 27, 2024 to Jun 25, 2025
- RAUM · $2.2B to $1.3BJun 27, 2024 to Jun 25, 2025
- Accounts · 4 to 2Feb 14, 2024 to Jun 27, 2024
- Advisory employees · 10 to 12Feb 14, 2024 to Jun 27, 2024
- Pooled vehicle clients · 4 to 2Feb 14, 2024 to Jun 27, 2024
- Employees · 22 to 24Feb 14, 2024 to Jun 27, 2024
- Private funds · 4 to 2Feb 14, 2024 to Jun 27, 2024
- Discretionary RAUM · $2.9B to $2.2BFeb 14, 2024 to Jun 27, 2024
- Pooled vehicle RAUM · $2.9B to $2.2BFeb 14, 2024 to Jun 27, 2024
- RAUM · $2.9B to $2.2BFeb 14, 2024 to Jun 27, 2024
- Advisory employees · 11 to 10Mar 14, 2023 to May 15, 2023
- Discretionary RAUM · $4.1B to $2.9BMar 14, 2023 to May 15, 2023
- Pooled vehicle RAUM · $4.1B to $2.9BMar 14, 2023 to May 15, 2023
- RAUM · $4.1B to $2.9BMar 14, 2023 to May 15, 2023
- Accounts · 3 to 4Jun 28, 2022 to Mar 14, 2023
- Accounts · 4 to 3Jun 20, 2022 to Jun 23, 2022
- Discretionary RAUM · $3.8B to $4.1BJun 20, 2022 to Jun 23, 2022
- Pooled vehicle RAUM · $3.8B to $4.1BJun 20, 2022 to Jun 23, 2022
- RAUM · $3.8B to $4.1BJun 20, 2022 to Jun 23, 2022
- Advisory employees · 12 to 11May 14, 2021 to Jun 20, 2022
- Employees · 24 to 22May 14, 2021 to Jun 20, 2022
- Discretionary RAUM · $5.9B to $3.8BMay 14, 2021 to Jun 20, 2022
- Pooled vehicle RAUM · $5.9B to $3.8BMay 14, 2021 to Jun 20, 2022
- RAUM · $5.9B to $3.8BMay 14, 2021 to Jun 20, 2022
- Accounts · 3 to 4Dec 16, 2020 to May 14, 2021
- Pooled vehicle clients · 3 to 4Dec 16, 2020 to May 14, 2021
- Discretionary RAUM · $4.2B to $5.9BDec 16, 2020 to May 14, 2021
- Pooled vehicle RAUM · $4.2B to $5.9BDec 16, 2020 to May 14, 2021
- RAUM · $4.2B to $5.9BDec 16, 2020 to May 14, 2021
- Private funds · 3 to 4Jun 10, 2020 to Dec 16, 2020
Signals
8 dated events
- H•••••••• I••••••••• I•••••••• reported RAUM $742.3M, down 42% from $1.3B (2025-06-25 to 2026-06-29)Jun 29, 2026 · RAUM change · derived
- H•••••••• I••••••••• I•••••••• reported RAUM $1.3B, down 41% from $2.2B (2024-06-27 to 2025-06-25)Jun 25, 2025 · RAUM change · derived
- H•••••••• I••••••••• I•••••••• reported RAUM $2.2B, down 25% from $2.9B (2024-02-14 to 2024-06-27)Jun 27, 2024 · RAUM change · derived
- H•••••••• I••••••••• I•••••••• reported RAUM $2.9B, down 29% from $4.1B (2023-03-14 to 2023-05-15)May 15, 2023 · RAUM change · derived
- H•••••••• I••••••••• I•••••••• reported RAUM $3.8B, down 36% from $5.9B (2021-05-14 to 2022-06-20)Jun 20, 2022 · RAUM change · derived
- Nikunj Hindocha (Portfolio Manager, Partner) no longer on Schedule A of H•••••••• I••••••••• I•••••••• (listed 2021-05-14, absent 2022-06-20)Jun 20, 2022 · Control person left · inference
- H•••••••• I••••••••• I•••••••• reported RAUM $5.9B, up 40% from $4.2B (2020-12-16 to 2021-05-14)May 14, 2021 · RAUM change · derived
- H•••••••• I••••••••• I•••••••• reported RAUM $6.7B, up 26% from $5.3B (2017-06-16 to 2018-03-14)Mar 14, 2018 · RAUM change · derived
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••••••••INVESTORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- +44 207-258-9830reportedpublic record, Form ADV, Jun 29, 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