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••••• R••••• C•••••• L••
Latest filing Mar 31, 2023
First filing on the tape Feb 13, 2012 · 15 filings
RAUM
$144M
reported, Item 5.F
Discretionary
87%
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
14
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$24.5M gross assets
History
15 filings and snapshots on the tape
RAUM$144M as of Mar 31, 2023
Apr 1, 2013$456M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Apr 1, 20130 then
Employees (5.A)14 as of Mar 31, 2023
Apr 1, 201340 then
Private funds4 as of Mar 31, 2023
Mar 30, 20155 then
RAUM +5.2% over the last fiscal year+2.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2023; 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
- $20.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%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
- +5.2%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
- $116M, 6 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$116M100%
- 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
- $116M for 6 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
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• R••••• C•••••• F••• C•••• L•no longer reported | Real Estate Fund | $18.0M | 3 | Mar 30, 2015 |
| N•• C••••• L•• | Real Estate Fund | $10.7M | 5 | Mar 30, 2015 |
| C•••• B•• U•••••• L•• | Real Estate Fund | $7.5M | 16 | Mar 30, 2015 |
| M••••••• U•••••• L•• | Real Estate Fund | $3.6M | 13 | Mar 29, 2017 |
| B••• C••• U•••••• L•• | Real Estate Fund | $2.7M | 4 | Mar 27, 2020 |
| H••••• R••••• C•••••• F••• V• ••••••••• B•• L•no longer reported | Real Estate Fund | $248,721 | 4 | Mar 30, 2015 |
| H••••• R••••• C•••••• F••• V• C••• L•no longer reported | Real Estate Fund | $161,320 | 2 | Mar 30, 2015 |
Owners and control persons
Schedule A and B, latest filing
- B••••• A••••• · General Counsel & Chief Compliance Officercontrolsince 09/2014 · owns less than 5%
- L••• D••••• J•• · Managing Director & Founding Partnercontrolsince 01/2003 · owns 50% to 75%
- O••••• R••••••• A•••••• · Managing Director & Founding Partnercontrolsince 01/2003 · owns 50% to 75%
Related persons
Schedule D 7.A
- B••• C••• H••••• L••pooled vehicle sponsory
- C•••• B•• H••••••• L••pooled vehicle sponsory
- H••••••• I• P•••••••• I•••••••• L••pooled vehicle sponsory
- H••••• O••••••••• M• L••pooled vehicle sponsory
- M••••••• H••••• L••pooled vehicle sponsory
- N•• • M•••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $120M to $116MMar 31, 2022 to Mar 31, 2023
- Employees · 12 to 14Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $128M to $125MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $8.4M to $18.6MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $128M to $116MMar 31, 2022 to Mar 31, 2023
- RAUM · $137M to $144MMar 31, 2022 to Mar 31, 2023
- Accounts · 9 to 7Mar 30, 2021 to Mar 31, 2022
- Advisory employees · 6 to 7Mar 30, 2021 to Mar 31, 2022
- Advisory activities · 1 to 2Mar 30, 2021 to Mar 31, 2022
- Assets in custody · $109M to $120MMar 30, 2021 to Mar 31, 2022
- Employees · 11 to 12Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $113M to $128MMar 30, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $0 to $8.4MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $113M to $128MMar 30, 2021 to Mar 31, 2022
- RAUM · $113M to $137MMar 30, 2021 to Mar 31, 2022
- Accounts · 7 to 9Mar 27, 2020 to Mar 30, 2021
- Advisory employees · 5 to 6Mar 27, 2020 to Mar 30, 2021
- Pooled vehicle clients · 7 to 6Mar 27, 2020 to Mar 30, 2021
- Assets in custody · $135M to $109MMar 27, 2020 to Mar 30, 2021
- Employees · 10 to 11Mar 27, 2020 to Mar 30, 2021
- Private funds · 5 to 4Mar 27, 2020 to Mar 30, 2021
- Discretionary RAUM · $135M to $113MMar 27, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $135M to $113MMar 27, 2020 to Mar 30, 2021
- RAUM · $135M to $113MMar 27, 2020 to Mar 30, 2021
- Accounts · 8 to 7May 3, 2019 to Mar 27, 2020
- Pooled vehicle clients · 8 to 7May 3, 2019 to Mar 27, 2020
- Assets in custody · $119M to $135MMay 3, 2019 to Mar 27, 2020
- Discretionary RAUM · $119M to $135MMay 3, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $119M to $135MMay 3, 2019 to Mar 27, 2020
- RAUM · $119M to $135MMay 3, 2019 to Mar 27, 2020
- Accounts · 9 to 8May 2, 2018 to Mar 29, 2019
- Pooled vehicle clients · 9 to 8May 2, 2018 to Mar 29, 2019
- Assets in custody · $147M to $119MMay 2, 2018 to Mar 29, 2019
- Employees · 12 to 10May 2, 2018 to Mar 29, 2019
- Private funds · 6 to 5May 2, 2018 to Mar 29, 2019
- Discretionary RAUM · $147M to $119MMay 2, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $147M to $119MMay 2, 2018 to Mar 29, 2019
- RAUM · $147M to $119MMay 2, 2018 to Mar 29, 2019
- Related adviser · true to falseMay 2, 2018 to Mar 29, 2019
- Accounts · 16 to 9Mar 29, 2017 to Mar 30, 2018
Signals
2 dated events
- Clyde Paul Griffin (Chief Financial Officer) no longer on Schedule A of H••••• R••••• C•••••• L•• (listed 2019-03-29, absent 2019-05-03)May 3, 2019 · Control person left · inference
- H••••• R••••• C•••••• L•• reported RAUM $146.6M, down 45% from $266.4M (2017-03-29 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
Across the graphs
H••••• R••••• C•••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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