DFX Intelligence
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SEC-registered adviser
H••• C••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Apr 4, 2024 · 5 filings
SEC status approved since May 7, 2024
RAUM
$180M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$175M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$90.0M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$180M as of Mar 3, 2026
Feb 10, 2025$164M then
HNW client RAUM$170M as of Mar 3, 2026
Feb 10, 2025$156M then
State-registered IARs (5.B.3)2 as of Mar 3, 2026
Feb 10, 20252 then
Employees (5.A)3 as of Mar 3, 2026
Feb 10, 20253 then
Private funds: no history
RAUM +9.8% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $90.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- High-net-worth individuals$170M94%
- Individuals$5.0M2.8%
- Charitable organizations$5.0M2.8%
- Individual clients
- 5reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 133reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• R•••••• K••• | Pasadena, Ca | Nov 12, 2024 | 24 y | 1 |
| D••••• E•••• H•••Chartered Financial Analyst | Pasadena, Ca | Apr 23, 2025 | 43 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- T••••• R•••••• K••• from T••••••••• C•••••• M••••••••• L••Nov 12, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• D•••••• E•••• · Managing Member And Chief Compliance Officercontrolsince 05/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pasadena, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 130 to 133May 9, 2025 to Mar 3, 2026
- Charity clients · unset to 2.0May 9, 2025 to Mar 3, 2026
- HNW clients · 31 to 32May 9, 2025 to Mar 3, 2026
- Discretionary RAUM · $164M to $180MMay 9, 2025 to Mar 3, 2026
- HNW RAUM · $156M to $170MMay 9, 2025 to Mar 3, 2026
- Individual RAUM · $3.8M to $5.0MMay 9, 2025 to Mar 3, 2026
- RAUM · $164M to $180MMay 9, 2025 to Mar 3, 2026
- Financial planning clients · 0 to 0Feb 10, 2025 to May 9, 2025
- Accounts · 75 to 130Nov 21, 2024 to Feb 10, 2025
- Advisory employees · 1 to 2Nov 21, 2024 to Feb 10, 2025
- HNW clients · 23 to 31Nov 21, 2024 to Feb 10, 2025
- Individual clients · unset to 5.0Nov 21, 2024 to Feb 10, 2025
- Employees · 2 to 3Nov 21, 2024 to Feb 10, 2025
- State-registered IARs · 1 to 2Nov 21, 2024 to Feb 10, 2025
- Discretionary RAUM · $107M to $164MNov 21, 2024 to Feb 10, 2025
- HNW RAUM · $101M to $156MNov 21, 2024 to Feb 10, 2025
- Individual RAUM · $1.8M to $3.8MNov 21, 2024 to Feb 10, 2025
- RAUM · $107M to $164MNov 21, 2024 to Feb 10, 2025
Signals
1 dated events
- H••• C••••••• L•• filed its initial SEC registration (Form ADV)Apr 4, 2024 · First SEC registration · fact
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
- Business phone
- 626-578-5700reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 626-578-5710reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••CAPITALMANAGEMENT.COMreportedpublic record, Form ADV, Mar 3, 2026
- Principal office phone
- 626-578-5700reportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- h•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $90.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026