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•••••• I••••••••• R••• E••••• S••••••••• G•••

Former SEC-registered adviserMunich, CRD 143681SEC 801-67904IAPD
Latest filing Jul 12, 2019
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$854M
reported, Item 5.F
Discretionary
98%
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
34
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$854M as of Mar 29, 2019
Mar 30, 2012$62.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Apr 1, 20130 then
Employees (5.A)34 as of Mar 29, 2019
Apr 1, 20134 then
Private funds: no history
RAUM +71% over the last fiscal year+32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 12, 2019; 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
$42.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
6.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+71%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$782M92%
  • State and municipal entities$42.7M5.0%
  • Investment companies$12.5M1.5%
  • Pension and profit-sharing plans$11.6M1.4%
  • Sovereign wealth funds$4.4M0.5%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
20reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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••••••••• L•••••••• J••••• · Chief Financial Officercontrol
        since 01/2014 · owns less than 5%
      • P••••••• J••••••• A••••• C••••• · Senior Vice President, Portfolio Managercontrol
        since 12/2017 · owns less than 5%
      • S••••••• A•••••• · Chief Legal Officercontrol
        since 04/2017 · owns less than 5%
      • W•••••• A•••••• · Senior Vice President, Portfolio Managercontrol
        since 12/2017 · owns less than 5%
      • S••••• S•••••• · Chief Compliance Officer And Deputy General Counsel
        since 07/2019 · owns less than 5%
      Entity owners
      • H•••••• L•• · 100% Shareholder Of H•••••• I••••••••• R••• E••••• S••••••••• G•••
        direct · owns 75% or more
      • K• I• L•• · Member Of H•••••• L••
        indirect · owns 75% or more of H•••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list H•••••• I••••••••• R••• E••••• S••••••••• G••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom3 employees
      What changed
      consecutive filings, newest first
      • Accounts · 17 to 20
        Aug 20, 2018 to Mar 29, 2019
      • Advisory employees · 3 to 4
        Aug 20, 2018 to Mar 29, 2019
      • BD registered reps · 16 to 15
        Aug 20, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 9 to 12
        Aug 20, 2018 to Mar 29, 2019
      • Employees · 35 to 34
        Aug 20, 2018 to Mar 29, 2019
      • Discretionary RAUM · $472M to $836M
        Aug 20, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $27.2M to $17.4M
        Aug 20, 2018 to Mar 29, 2019
      • Pension RAUM · $13.0M to $11.6M
        Aug 20, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $418M to $782M
        Aug 20, 2018 to Mar 29, 2019
      • RAUM · $499M to $854M
        Aug 20, 2018 to Mar 29, 2019
      • Advisory employees · 2 to 3
        Feb 15, 2018 to Mar 30, 2018
      • BD registered reps · 15 to 16
        Feb 15, 2018 to Mar 30, 2018
      • Employees · 32 to 35
        Feb 15, 2018 to Mar 30, 2018
      • Discretionary RAUM · $435M to $472M
        Feb 15, 2018 to Mar 30, 2018
      • Non-discretionary RAUM · $28.1M to $27.2M
        Feb 15, 2018 to Mar 30, 2018
      • Pension RAUM · $12.1M to $13.0M
        Feb 15, 2018 to Mar 30, 2018
      • Pooled vehicle RAUM · $387M to $418M
        Feb 15, 2018 to Mar 30, 2018
      • RAUM · $463M to $499M
        Feb 15, 2018 to Mar 30, 2018
      • BD registered reps · 14 to 15
        Dec 1, 2017 to Jan 12, 2018
      • Accounts · 16 to 17
        Apr 10, 2017 to Dec 1, 2017
      • Advisory employees · 3 to 2
        Apr 10, 2017 to Dec 1, 2017
      • Pooled vehicle clients · unset to 9.0
        Apr 10, 2017 to Dec 1, 2017
      • Employees · 31 to 32
        Apr 10, 2017 to Dec 1, 2017
      • Other offices · unset to 1.0
        Apr 10, 2017 to Dec 1, 2017
      • Discretionary RAUM · $335M to $435M
        Apr 10, 2017 to Dec 1, 2017
      • Non-discretionary RAUM · $39.0M to $28.1M
        Apr 10, 2017 to Dec 1, 2017
      • Pension RAUM · unset to 12109227.0
        Apr 10, 2017 to Dec 1, 2017
      • Pooled vehicle RAUM · unset to 386712442.0
        Apr 10, 2017 to Dec 1, 2017
      • RAUM · $374M to $463M
        Apr 10, 2017 to Dec 1, 2017
      • Accounts · 17 to 16
        Mar 30, 2016 to Mar 31, 2017
      • BD registered reps · 10 to 14
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 20 to 31
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $305M to $335M
        Mar 30, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $69.8M to $39.0M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $375M to $374M
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 11 to 17
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 16 to 3
        Mar 31, 2015 to Mar 30, 2016
      • Advisory activities · 2 to 5
        Mar 31, 2015 to Mar 30, 2016
      • BD registered reps · 7 to 10
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 17 to 20
        Mar 31, 2015 to Mar 30, 2016
      Signals
      4 dated events
      • Eldon Roger Smith (Managing Director) no longer on Schedule A of H•••••• I••••••••• R••• E••••• S••••••••• G••• (listed 2019-03-29, absent 2019-05-06)
        May 6, 2019 · Control person left · inference
      • Arnold Claude Jacques Perdrix (Senior Vice President, Portfolio Manager) appeared on Schedule A of H•••••• I••••••••• R••• E••••• S••••••••• G•••
        May 6, 2019 · Control person joined · fact
      • Andreas Welter (Senior Vice President, Portfolio Manager) appeared on Schedule A of H•••••• I••••••••• R••• E••••• S••••••••• G•••
        May 6, 2019 · Control person joined · fact
      • H•••••• I••••••••• R••• E••••• S••••••••• G••• reported RAUM $853.6M, up 71% from $498.9M (2018-08-20 to 2019-03-29)
        Mar 29, 2019 · 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.
      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