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••••• E••••••• E••••••• L••••••

Former SEC-registered adviserLondon, CRD 152630SEC 801-70967IAPD
Latest filing Apr 1, 2020
First filing on the tape Dec 9, 2011 · 31 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
96%
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
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.1B as of Apr 1, 2020
Mar 23, 2012$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2020
Mar 27, 20130 then
Employees (5.A)5 as of Apr 1, 2020
Mar 27, 201310 then
Private funds: no history
RAUM -11% over the last fiscal year-32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2020; 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
$153MderivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
5.1%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$701M66%
  • Banks and thrifts$272M25%
  • Pension and profit-sharing plans$54.9M5.1%
  • Other investment advisers$42.1M3.9%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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••••••• I••• M••••••• · Directorcontrol
        since 10/2015 · owns less than 5%
      • N••••••••• S••••• A•••• · Directorcontrol
        since 12/2009 · owns less than 5%
      • S••••• H••••••• A••• · Directorcontrol
        since 07/2017 · owns less than 5%
      • J•••••• K••••• A••••• · Chief Compliance Officer
        since 03/2020 · owns less than 5%
      • M•••••• E•••• A•••• · Director
        since 10/2019 · owns less than 5%
      • T•••••• C••••••••• M••• · Director
        since 06/2017 · owns less than 5%
      Entity owners
      • H••••• F••• M••••••• L•••••• · Shareholder
        direct · owns 75% or more
      • B••••• F••• N••••••• L•••••• · Shareholder
        indirect · owns 75% or more of B••••• F••• T••••••• L••••••
      • B••••• F••• T••••••• L•••••• · Shareholder
        indirect · owns 75% or more of B••••• F••• N••••••• L••••••
      • B••••• F••• T••••••• L•••••• · Shareholder
        indirect · owns 25% to 50% of H••••• F••• M••••••• L••••••
      • B• P•••••• S••••• T••••••• L•••••• · Corporate Trustee
        indirect · owns F of B••••• F••• T••••••• L••••••
      • F•••••••• H••••• I•• · Shareholder
        indirect · owns 75% or more of F•• H••••••• I•• · public reporting company
      • F•••••••• H••••••• ••• I• L•••••• · Shareholder
        indirect · owns 50% to 75% of H••••• F••• M••••••• L••••••
      • F•••••••• I••••••••• H••••••• B••• · Shareholder
        indirect · owns 75% or more of F•••••••• H••••••• ••• I• L••••••
      • F•• H••••••• I•• · Shareholder
        indirect · owns 75% or more of F•••••••• I••••••••• H••••••• B•••
      Related persons
      Schedule D 7.A
      Advisers that list H••••• E••••••• E••••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 7
        Mar 28, 2019 to Apr 1, 2020
      • Advisory employees · 7 to 5
        Mar 28, 2019 to Apr 1, 2020
      • Pension plan clients · 4.0 to unset
        Mar 28, 2019 to Apr 1, 2020
      • Pooled vehicle clients · unset to 3.0
        Mar 28, 2019 to Apr 1, 2020
      • Employees · 7 to 5
        Mar 28, 2019 to Apr 1, 2020
      • Discretionary RAUM · $1.2B to $1.0B
        Mar 28, 2019 to Apr 1, 2020
      • Non-discretionary RAUM · $24.2M to $42.1M
        Mar 28, 2019 to Apr 1, 2020
      • Pension RAUM · $198M to $54.9M
        Mar 28, 2019 to Apr 1, 2020
      • Pooled vehicle RAUM · unset to 701446568.0
        Mar 28, 2019 to Apr 1, 2020
      • RAUM · $1.2B to $1.1B
        Mar 28, 2019 to Apr 1, 2020
      • Accounts · 13 to 6
        Jul 27, 2018 to Mar 28, 2019
      • Pension plan clients · 9 to 4
        Jul 27, 2018 to Mar 28, 2019
      • Discretionary RAUM · $2.3B to $1.2B
        Jul 27, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · $109M to $24.2M
        Jul 27, 2018 to Mar 28, 2019
      • Pension RAUM · $872M to $198M
        Jul 27, 2018 to Mar 28, 2019
      • RAUM · $2.4B to $1.2B
        Jul 27, 2018 to Mar 28, 2019
      • Related broker-dealer · false to true
        Apr 20, 2018 to Jul 27, 2018
      • Accounts · 17 to 13
        Aug 17, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 9.0
        Aug 17, 2017 to Mar 30, 2018
      • Employees · 8 to 7
        Aug 17, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Aug 17, 2017 to Mar 30, 2018
      • Discretionary RAUM · $3.3B to $2.3B
        Aug 17, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $121M to $109M
        Aug 17, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 872351514.0
        Aug 17, 2017 to Mar 30, 2018
      • RAUM · $3.4B to $2.4B
        Aug 17, 2017 to Mar 30, 2018
      • Accounts · 20 to 17
        Dec 2, 2016 to Mar 22, 2017
      • Advisory employees · 6 to 7
        Dec 2, 2016 to Mar 22, 2017
      • Employees · 7 to 8
        Dec 2, 2016 to Mar 22, 2017
      • Discretionary RAUM · $4.3B to $3.3B
        Dec 2, 2016 to Mar 22, 2017
      • Non-discretionary RAUM · $157M to $121M
        Dec 2, 2016 to Mar 22, 2017
      • RAUM · $4.4B to $3.4B
        Dec 2, 2016 to Mar 22, 2017
      • Business name · H••••• S•••••••• L•••••• to H••••• E••••••• E••••••• L••••••
        Jul 13, 2016 to Nov 29, 2016
      • Legal name · H••••• S•••••••• L•••••• to H••••• E••••••• E••••••• L••••••
        Jul 5, 2016 to Jul 13, 2016
      • Accounts · 19 to 20
        Dec 17, 2015 to Mar 24, 2016
      • Employees · 11 to 7
        Dec 17, 2015 to Mar 24, 2016
      • Discretionary RAUM · $3.0B to $4.3B
        Dec 17, 2015 to Mar 24, 2016
      • Non-discretionary RAUM · $151M to $157M
        Dec 17, 2015 to Mar 24, 2016
      • RAUM · $3.2B to $4.4B
        Dec 17, 2015 to Mar 24, 2016
      • Accounts · 18 to 19
        Oct 7, 2014 to Mar 31, 2015
      • Advisory employees · 7 to 6
        Oct 7, 2014 to Mar 31, 2015
      Signals
      4 dated events
      • Andrew Robert Parry (Director) no longer on Schedule A of H••••• E••••••• E••••••• L•••••• (listed 2019-03-28, absent 2020-04-01)
        Apr 1, 2020 · Control person left · inference
      • Wilkie James Rutherford (Director, Cio) no longer on Schedule A of H••••• E••••••• E••••••• L•••••• (listed 2019-03-28, absent 2020-04-01)
        Apr 1, 2020 · Control person left · inference
      • H••••• E••••••• E••••••• L•••••• reported RAUM $1.2B, down 50% from $2.4B (2018-07-27 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      • H••••• E••••••• E••••••• L•••••• reported RAUM $2.4B, down 30% from $3.4B (2017-08-17 to 2018-03-30)
        Mar 30, 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.
      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