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•••• T••••• A•••••••• L•

Former SEC-registered adviserBoston, MassachusettsCRD 155025SEC 801-71873IAPD
Latest filing Jun 7, 2013
First filing on the tape Jan 11, 2012 · 8 filings
RAUM
$1.6B
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
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$1.6B as of Mar 28, 2013
Jan 11, 2012$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2013
Jan 11, 20120 then
Employees (5.A): 10
Private funds1 as of Mar 28, 2013
Jan 11, 20121 then
RAUM -14% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 7, 2013; 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
$156MderivedRAUM 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
-13%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
otherreportedItem 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)
  • 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
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
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
T••••• C•••••• A••••••• R••••• E••••• M••••• F•••• L•••Hedge Fund$21.0M11Jan 11, 2012
Owners and control persons
Schedule A and B, latest filing
  • H••••• R•••••• J• · Ceo, Cio, Limited Partnercontrol
    since 08/2010 · owns 50% to 75%
  • K•••••••• J••••••• K••••••• · Chief Investment Officercontrol
    since 06/2013 · owns less than 5%
  • K•••••••• P••••• W••••• · Chief Compliance Officer, General Counselcontrol
    since 06/2013 · owns less than 5%
  • M••••••••• P••••• J• · President, Director Of Research, Limited Partnercontrol
    since 10/2011 · owns 10% to 25%
  • D••••• G•••• · Managing Membercontrol
    since 08/2010 · owns F of H•••• T••••• A•••••••• L••
  • H••••• R•••••• J• · Managing Membercontrol
    since 08/2010 · owns 50% to 75% of H•••• T••••• A•••••••• L••
  • M••••••••• P••••• J• · Managing Membercontrol
    since 01/2012 · owns F of H•••• T••••• A•••••••• L••
Entity owners
  • H•••• T••••• A•••••••• L•• · General Partner
    direct · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 7 to 10
    Mar 28, 2013 to Jun 7, 2013
  • Advisory employees · 7 to 4
    Mar 28, 2013 to Jun 7, 2013
  • Advisory activities · 2 to 1
    Mar 28, 2013 to Jun 7, 2013
  • Assets in custody · 20967907.0 to unset
    Mar 28, 2013 to Jun 7, 2013
  • Custody of client assets · true to false
    Mar 28, 2013 to Jun 7, 2013
  • Employees · 10 to 7
    Mar 28, 2013 to Jun 7, 2013
  • Private funds · 1 to unset
    Mar 28, 2013 to Jun 7, 2013
  • Discretionary RAUM · $1.6B to $1.6B
    Mar 28, 2013 to Jun 7, 2013
  • RAUM · $1.6B to $1.6B
    Mar 28, 2013 to Jun 7, 2013
  • Accounts · 8 to 7
    Mar 15, 2013 to Mar 28, 2013
  • Discretionary RAUM · $1.6B to $1.6B
    Mar 15, 2013 to Mar 28, 2013
  • RAUM · $1.6B to $1.6B
    Mar 15, 2013 to Mar 28, 2013
  • Advisory employees · 8 to 7
    Feb 12, 2013 to Mar 15, 2013
  • Employees · 11 to 10
    Feb 12, 2013 to Mar 15, 2013
  • Discretionary RAUM · $156M to $1.6B
    Feb 2, 2013 to Feb 12, 2013
  • RAUM · $156M to $1.6B
    Feb 2, 2013 to Feb 12, 2013
  • Accounts · 10 to 8
    Jul 19, 2012 to Feb 2, 2013
  • Advisory employees · unset to 8.0
    Jul 19, 2012 to Feb 2, 2013
  • Assets in custody · $24.3M to $21.0M
    Jul 19, 2012 to Feb 2, 2013
  • Employees · unset to 11.0
    Jul 19, 2012 to Feb 2, 2013
  • Discretionary RAUM · $1.8B to $156M
    Jul 19, 2012 to Feb 2, 2013
  • RAUM · $1.8B to $156M
    Jul 19, 2012 to Feb 2, 2013
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