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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
H•••• H•• I• L••
Latest filing Sep 30, 2019
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$891M
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
62
26 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$891M gross assets
History
15 filings and snapshots on the tape
RAUM$891M as of Mar 29, 2019
Mar 30, 2012$191M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 30, 20120 then
Employees (5.A)62 as of Mar 29, 2019
Mar 27, 201343 then
Private funds3 as of Mar 29, 2019
Mar 30, 20121 then
RAUM -1.3% over the last fiscal year+13% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Sep 30, 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
- $297MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $891M, 3 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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$891M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $891M for 3 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J••••• E• · Managercontrolsince 04/2003 · owns less than 5%
- R••••• M•••• S• · Manager And Ccocontrolsince 04/2003 · owns less than 5%
- H•••••• J••••• E• · Managing Member/ Ceocontrolsince 10/2005 · owns 50% to 75% of D••••• A••••• A••••••••• L•
Entity owners
- T•• H•••••••• C••••••••• L•• · Sole Ownerdirect · owns 50% to 75%
- D••••• A••••• A••••••••• L• · Ownerindirect · owns 50% to 75% of T•• H•••••••• C••••••••• L••
Related persons
Schedule D 7.A
- F••••• L••investment advisernRAUM $238M
- H••••• L••investment advisernRAUM $726M
Advisers that list H•••• H•• I• L•• as a related person
- 159292 n
Offices
Schedule D 1.F, the 25 largest
- Morristown, NJ26 employees
What changed
consecutive filings, newest first
- Advisory employees · 29 to 26Mar 29, 2018 to Mar 29, 2019
- Assets in custody · $903M to $891MMar 29, 2018 to Mar 29, 2019
- Employees · 58 to 62Mar 29, 2018 to Mar 29, 2019
- State-registered IARs · 1 to 0Mar 29, 2018 to Mar 29, 2019
- Discretionary RAUM · $903M to $891MMar 29, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $903M to $891MMar 29, 2018 to Mar 29, 2019
- RAUM · $903M to $891MMar 29, 2018 to Mar 29, 2019
- Advisory employees · 28 to 29Mar 30, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 3.0Mar 30, 2017 to Mar 29, 2018
- Assets in custody · $909M to $903MMar 30, 2017 to Mar 29, 2018
- Employees · 65 to 58Mar 30, 2017 to Mar 29, 2018
- Other offices · unset to 1.0Mar 30, 2017 to Mar 29, 2018
- Private funds · 2 to 3Mar 30, 2017 to Mar 29, 2018
- Discretionary RAUM · $909M to $903MMar 30, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 902703251.0Mar 30, 2017 to Mar 29, 2018
- RAUM · $909M to $903MMar 30, 2017 to Mar 29, 2018
- Accounts · 2 to 3May 24, 2016 to Mar 30, 2017
- Advisory employees · 26 to 28May 24, 2016 to Mar 30, 2017
- Assets in custody · $501M to $909MMay 24, 2016 to Mar 30, 2017
- Employees · 69 to 65May 24, 2016 to Mar 30, 2017
- State-registered IARs · 2 to 1May 24, 2016 to Mar 30, 2017
- Discretionary RAUM · $622M to $909MMay 24, 2016 to Mar 30, 2017
- RAUM · $622M to $909MMay 24, 2016 to Mar 30, 2017
- Accounts · 1 to 2Jan 11, 2016 to Mar 24, 2016
- Advisory employees · 28 to 26Jan 11, 2016 to Mar 24, 2016
- Employees · 57 to 69Jan 11, 2016 to Mar 24, 2016
- State-registered IARs · 1 to 2Jan 11, 2016 to Mar 24, 2016
- Private funds · 1 to 2Jan 11, 2016 to Mar 24, 2016
- Discretionary RAUM · $501M to $622MJan 11, 2016 to Mar 24, 2016
- RAUM · $501M to $622MJan 11, 2016 to Mar 24, 2016
- Advisory employees · 27 to 28Jun 13, 2014 to Mar 25, 2015
- Assets in custody · $406M to $501MJun 13, 2014 to Mar 25, 2015
- Employees · 53 to 57Jun 13, 2014 to Mar 25, 2015
- Discretionary RAUM · $406M to $501MJun 13, 2014 to Mar 25, 2015
- RAUM · $406M to $501MJun 13, 2014 to Mar 25, 2015
- Advisory employees · 22 to 27May 10, 2013 to Mar 28, 2014
- Assets in custody · $263M to $406MMay 10, 2013 to Mar 28, 2014
- Employees · 43 to 53May 10, 2013 to Mar 28, 2014
- State-registered IARs · 0 to 1May 10, 2013 to Mar 28, 2014
- Discretionary RAUM · $263M to $406MMay 10, 2013 to Mar 28, 2014
Signals
1 dated events
- S. Mark Rosen (Manager And Cco) appeared on Schedule A of H•••• H•• I• L••Sep 27, 2019 · Control person joined · fact
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•••• H•• I• 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.
Checking your plan…