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••••••• S••••• S••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 143103SEC 801-67583IAPD
Latest filing Mar 31, 2017
First filing on the tape Dec 14, 2011 · 14 filings
RAUM
$35.1M
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$3.6M gross assets
History
14 filings and snapshots on the tape
RAUM$35.1M as of Mar 31, 2017
Mar 29, 2012$467M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 28, 20130 then
Employees (5.A)4 as of Mar 31, 2017
Mar 28, 20138 then
Private funds1 as of Mar 31, 2017
Mar 29, 20121 then
RAUM -11% over the last fiscal year-66% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$11.7MderivedRAUM 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
-11%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 institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$3.6M, 1 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$3.6M for 1 clientsreported
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
      • K••••••• J••••• H••• · Member And Managercontrol
        since 06/2005 · owns 10% to 25%
      • M•••••••• J••••• P•••••• · Senior Vice President - Trading & Operationscontrol
        since 08/2005 · owns less than 5%
      • M••••••• C••••••••• N••••• · Managercontrol
        since 12/2010 · owns 10% to 25%
      • G•••••• C••••••••• B•••• · Manager And Membercontrol
        since 12/2010 · owns 25% to 50% of H• S••••••••• H•••••••• L••
      • G•••••• M••••••• P••• · Manager And Membercontrol
        since 12/2010 · owns 25% to 50% of H• S••••••••• H•••••••• L••
      • N•••••• T••••• R• · Chief Compliance Officer
        since 03/2016 · owns less than 5%
      • P••••• R•••••• A••• · Member
        since 06/2005 · owns 10% to 25%
      Entity owners
      • H• S••••••••• H•••••••• L•• · Member
        direct · owns 25% to 50%
      • N•••• I•••••••• A••••••• L•• · Member
        direct · owns 10% to 25%
      • N••••• R••• E••••• D••••••••• C••• L••• · Sole Owner
        indirect · owns 75% or more of N•••• Investors A•••••• LLC
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 4
        Jan 23, 2017 to Mar 31, 2017
      • Advisory activities · 3 to 2
        Jan 23, 2017 to Mar 31, 2017
      • Assets in custody · $3.8M to $3.6M
        Jan 23, 2017 to Mar 31, 2017
      • Employees · 5 to 4
        Jan 23, 2017 to Mar 31, 2017
      • Discretionary RAUM · $39.3M to $35.1M
        Jan 23, 2017 to Mar 31, 2017
      • RAUM · $39.3M to $35.1M
        Jan 23, 2017 to Mar 31, 2017
      • Accounts · 5 to 3
        Nov 19, 2015 to Mar 30, 2016
      • Advisory activities · 4 to 3
        Nov 19, 2015 to Mar 30, 2016
      • Assets in custody · $4.1M to $3.8M
        Nov 19, 2015 to Mar 30, 2016
      • Discretionary RAUM · $292M to $39.3M
        Nov 19, 2015 to Mar 30, 2016
      • RAUM · $292M to $39.3M
        Nov 19, 2015 to Mar 30, 2016
      • Accounts · 9 to 5
        Mar 27, 2015 to Sep 23, 2015
      • Advisory employees · 7 to 3
        Mar 27, 2015 to Sep 23, 2015
      • Assets in custody · $4.5M to $4.1M
        Mar 27, 2015 to Sep 23, 2015
      • Employees · 9 to 5
        Mar 27, 2015 to Sep 23, 2015
      • Discretionary RAUM · $731M to $292M
        Mar 27, 2015 to Sep 23, 2015
      • RAUM · $731M to $292M
        Mar 27, 2015 to Sep 23, 2015
      • Accounts · 8 to 9
        Jul 14, 2014 to Mar 27, 2015
      • Advisory employees · 6 to 7
        Jul 14, 2014 to Mar 27, 2015
      • Assets in custody · $4.4M to $4.5M
        Jul 14, 2014 to Mar 27, 2015
      • Employees · 8 to 9
        Jul 14, 2014 to Mar 27, 2015
      • Discretionary RAUM · $896M to $731M
        Jul 14, 2014 to Mar 27, 2015
      • RAUM · $896M to $731M
        Jul 14, 2014 to Mar 27, 2015
      • Accounts · 6 to 8
        Mar 28, 2013 to Mar 28, 2014
      • Assets in custody · $8.6M to $4.4M
        Mar 28, 2013 to Mar 28, 2014
      • Discretionary RAUM · $861M to $896M
        Mar 28, 2013 to Mar 28, 2014
      • RAUM · $861M to $896M
        Mar 28, 2013 to Mar 28, 2014
      • Accounts · 5 to 6
        Mar 29, 2012 to Mar 28, 2013
      • Advisory employees · unset to 6.0
        Mar 29, 2012 to Mar 28, 2013
      • Advisory activities · 3 to 4
        Mar 29, 2012 to Mar 28, 2013
      • Assets in custody · unset to 8636752.0
        Mar 29, 2012 to Mar 28, 2013
      • Custody of client assets · false to true
        Mar 29, 2012 to Mar 28, 2013
      • Employees · unset to 8.0
        Mar 29, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Mar 28, 2013
      • Discretionary RAUM · $467M to $861M
        Mar 29, 2012 to Mar 28, 2013
      • RAUM · $467M to $861M
        Mar 29, 2012 to Mar 28, 2013
      • Accounts · 3 to 5
        Dec 14, 2011 to Mar 29, 2012
      • Business name · T••••••••• S••••••••• M••••••••• L••••• to H••••••• S••••• S••••••••• L••
        Dec 14, 2011 to Mar 29, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 14, 2011 to Mar 29, 2012
      • Private funds · unset to 1
        Dec 14, 2011 to Mar 29, 2012
      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