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•• W••••• A•••••••

Former SEC-registered adviserOakbrook Terrace, IllinoisCRD 159910SEC 801-72995IAPD
Legal name H•• W••••• A•••••••• L••
Latest filing Mar 12, 2018
First filing on the tape Dec 20, 2011 · 17 filings
RAUM
$165M
reported, Item 5.F
Discretionary
42%
of RAUM
Private clients
95%
$157M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$165M as of Mar 12, 2018
Feb 20, 2013$140M then
HNW client RAUM: $157M
State-registered IARs (5.B.3)1 as of Mar 12, 2018
Feb 20, 20131 then
Employees (5.A)1 as of Mar 12, 2018
Feb 20, 20133 then
Private funds1 as of Mar 23, 2016
Mar 5, 20142 then
RAUM +0.0% over the last fiscal year+5.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 12, 2018; every figure names its basis
RAUM per advisor
$165MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$31.4MderivedHNW RAUM over HNW clients
Average account
$3.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
42%derivedof RAUM
Institutional
4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$157M95%
  • Charitable organizations$8.0M4.8%
Individual clients
n/areported
HNW clients
5reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
43reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H• I••••••••• P••••••• I• L•no longer reportedPrivate Equity Fund$6.2M48Aug 22, 2013
      H• I••••••••• P••••••• Q•• L•no longer reportedPrivate Equity Fund$3.6M15Aug 22, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• J•••• A•••• · Managing Partner And Chief Compliance Officercontrol
        since 02/2012 · owns 75% or more
      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
      • HNW clients · unset to 5.0
        Jul 7, 2017 to Mar 12, 2018
      • Other offices · unset to 0.0
        Jul 7, 2017 to Mar 12, 2018
      • HNW RAUM · unset to 157000000.0
        Jul 7, 2017 to Mar 12, 2018
      • Discretionary RAUM · $65.0M to $70.0M
        Oct 5, 2016 to Mar 16, 2017
      • Non-discretionary RAUM · $90.0M to $95.0M
        Oct 5, 2016 to Mar 16, 2017
      • RAUM · $155M to $165M
        Oct 5, 2016 to Mar 16, 2017
      • HQ city · CLARENDON HILLS to OAKBROOK TERRACE
        Apr 29, 2016 to Oct 5, 2016
      • Assets in custody · 1200000.0 to unset
        Mar 23, 2016 to Apr 29, 2016
      • Custody of client assets · true to false
        Mar 23, 2016 to Apr 29, 2016
      • Private funds · 1 to unset
        Mar 23, 2016 to Apr 29, 2016
      • Accounts · 40 to 43
        Mar 24, 2015 to Mar 23, 2016
      • Private funds · 2 to 1
        Mar 24, 2015 to Mar 23, 2016
      • Discretionary RAUM · $60.0M to $65.0M
        Mar 24, 2015 to Mar 23, 2016
      • Non-discretionary RAUM · $80.0M to $90.0M
        Mar 24, 2015 to Mar 23, 2016
      • RAUM · $140M to $155M
        Mar 24, 2015 to Mar 23, 2016
      • Accounts · 25 to 40
        Mar 18, 2014 to Mar 24, 2015
      • Assets in custody · $6.2M to $1.2M
        Mar 18, 2014 to Mar 24, 2015
      • Accounts · 37 to 25
        Aug 22, 2013 to Mar 5, 2014
      • Employees · 3 to 1
        Aug 22, 2013 to Mar 5, 2014
      • Discretionary RAUM · $0 to $60.0M
        Aug 22, 2013 to Mar 5, 2014
      • Non-discretionary RAUM · $140M to $80.0M
        Aug 22, 2013 to Mar 5, 2014
      • RAUM · $140M to $140M
        Aug 22, 2013 to Mar 5, 2014
      • Assets in custody · unset to 6166000.0
        Feb 20, 2013 to Aug 22, 2013
      • Custody of client assets · false to true
        Feb 20, 2013 to Aug 22, 2013
      • Private funds · unset to 2
        Feb 20, 2013 to Aug 22, 2013
      • Advisory employees · 2 to 1
        Dec 4, 2012 to Feb 20, 2013
      • Employees · 2 to 3
        Dec 4, 2012 to Feb 20, 2013
      • State-registered IARs · 2 to 1
        Dec 4, 2012 to Feb 20, 2013
      • Non-discretionary RAUM · $135M to $140M
        Dec 4, 2012 to Feb 20, 2013
      • RAUM · $135M to $140M
        Dec 4, 2012 to Feb 20, 2013
      • Advisory employees · unset to 2.0
        Jun 12, 2012 to Dec 4, 2012
      • BD registered reps · unset to 0.0
        Jun 12, 2012 to Dec 4, 2012
      • Employees · unset to 2.0
        Jun 12, 2012 to Dec 4, 2012
      • State-registered IARs · unset to 2.0
        Jun 12, 2012 to Dec 4, 2012
      • Accounts · 0 to 37
        Feb 14, 2012 to Jun 12, 2012
      • Non-discretionary RAUM · $0 to $135M
        Feb 14, 2012 to Jun 12, 2012
      • RAUM · $0 to $135M
        Feb 14, 2012 to Jun 12, 2012
      • Legal name · H•• W••••• A••••••• to H•• W••••• A•••••••• L••
        Dec 20, 2011 to Feb 13, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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