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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SEC-registered adviser
H•••••• G•••• I••••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Feb 14, 2012 · 17 filings
SEC status approved since Mar 30, 2012
RAUM
$448M
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
25
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$448M as of Mar 27, 2026
Mar 20, 2013$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 20, 20130 then
Employees (5.A)25 as of Mar 27, 2026
Mar 20, 201325 then
Private funds3 as of Mar 27, 2026
Mar 20, 20133 then
RAUM +10% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; 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
- $112MderivedRAUM 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
- +10%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, hourly, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- 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$448M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••• G•••• I••••••••• V•••••••• | Private Equity Fund | $599M | 38 | Mar 29, 2024 |
| H•••••• G•••• I••••••••• V• L••• | Private Equity Fund | $208M | 33 | Feb 14, 2012 |
| H•••••• G•••• I••••••••• V•• L••• | Private Equity Fund | $5.1M | 67 | Mar 20, 2013 |
| H•••••• G•••• I••••••••• I•• L••• | Private Equity Fund | $1.7M | 27 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• D••••• V•••••• · Assistant Secretarycontrolsince 06/2007 · owns less than 5%
- B•••••• G•••• D••••• · Chief Financial Officer, Chief Compliance Officer And Treasurercontrolsince 04/2021 · owns less than 5%
- F••• J••••••• L••••••• · Director And Chief Executive Officercontrolsince 12/2006 · owns less than 5%
- L•••••• M•••• D•••• · Presidentcontrolsince 04/2021 · owns less than 5%
- M••••••••• J•••• B•••••• · Directorcontrolsince 03/2021 · owns less than 5%
- N••••••••• D•••••• E••••• · Directorcontrolsince 06/2020 · owns less than 5%
- N••••••••• D•••••• E••••• · Trusteecontrolsince 08/2022 · owns F of S•• F•• R•••••••• L••••• T••••
- P••••• I••• H•••• · Trusteecontrolsince 08/2022 · owns F of S•• F•• R•••••••• L••••• T••••
Entity owners
- S•• F•• R•••••••• L••••• T•••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- H•••••• G•••• I• M••••••••• C••• L•••••pooled vehicle sponsory
- H•••••• G•••• V• M••••••••• C••• L••pooled vehicle sponsory
- H•••••• G•••• V• M••••••••• C•• L••pooled vehicle sponsory
- H•••••• G•••• V••• M••••••••• C••• L••pooled vehicle sponsory
- H•••••• G•••• V••••• M••••••••• C•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 4Mar 28, 2025 to Mar 27, 2026
- Pooled vehicle clients · 5 to 4Mar 28, 2025 to Mar 27, 2026
- Employees · 26 to 25Mar 28, 2025 to Mar 27, 2026
- Private funds · 4 to 3Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $406M to $448MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $406M to $448MMar 28, 2025 to Mar 27, 2026
- RAUM · $406M to $448MMar 28, 2025 to Mar 27, 2026
- Advisory employees · 21 to 22Mar 29, 2024 to Mar 28, 2025
- Employees · 24 to 26Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $814M to $406MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $814M to $406MMar 29, 2024 to Mar 28, 2025
- RAUM · $814M to $406MMar 29, 2024 to Mar 28, 2025
- Accounts · 3 to 5Mar 30, 2023 to Mar 29, 2024
- Advisory employees · 22 to 21Mar 30, 2023 to Mar 29, 2024
- Pooled vehicle clients · 3 to 5Mar 30, 2023 to Mar 29, 2024
- Employees · 26 to 24Mar 30, 2023 to Mar 29, 2024
- Private funds · 3 to 4Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $740M to $814MMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $740M to $814MMar 30, 2023 to Mar 29, 2024
- RAUM · $740M to $814MMar 30, 2023 to Mar 29, 2024
- Employees · 27 to 26Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $677M to $740MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $677M to $740MMar 30, 2022 to Mar 30, 2023
- RAUM · $677M to $740MMar 30, 2022 to Mar 30, 2023
- Accounts · 4 to 3Jun 16, 2021 to Mar 30, 2022
- Advisory employees · 23 to 22Jun 16, 2021 to Mar 30, 2022
- Pooled vehicle clients · 4 to 3Jun 16, 2021 to Mar 30, 2022
- Employees · 28 to 27Jun 16, 2021 to Mar 30, 2022
- Discretionary RAUM · $936M to $677MJun 16, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $8.3M to $0Jun 16, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $944M to $677MJun 16, 2021 to Mar 30, 2022
- RAUM · $944M to $677MJun 16, 2021 to Mar 30, 2022
- Discretionary RAUM · $827M to $936MMar 20, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $836M to $944MMar 20, 2020 to Mar 26, 2021
- RAUM · $836M to $944MMar 20, 2020 to Mar 26, 2021
- Advisory employees · 24 to 23Mar 27, 2019 to Mar 20, 2020
- Employees · 29 to 28Mar 27, 2019 to Mar 20, 2020
- Discretionary RAUM · $1.1B to $827MMar 27, 2019 to Mar 20, 2020
- Pooled vehicle RAUM · $1.1B to $836MMar 27, 2019 to Mar 20, 2020
Signals
8 dated events
- H•••••• G•••• I••••••••• I••• reported RAUM $405.9M, down 50% from $813.8M (2024-03-29 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Sam Fox (Director/Chairman Of The Board/Owner) no longer on Schedule A of H•••••• G•••• I••••••••• I••• (listed 2022-03-30, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- H•••• Ira P•••• (Trustee) appeared on Schedule A of H•••••• G•••• I••••••••• I•••Mar 30, 2023 · Control person joined · fact
- H•••••• G•••• I••••••••• I••• reported RAUM $676.7M, down 28% from $944.3M (2021-06-16 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Phillip Michael Santoni (Chief Financial Officer, Chief Compliance Officer And Treasurer) no longer on Schedule A of H•••••• G•••• I••••••••• I••• (listed 2021-06-16, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Mitchell Steven Fox (Director/Vice President Of Corporate Development And Secretary) no longer on Schedule A of H•••••• G•••• I••••••••• I••• (listed 2021-06-16, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Eugene Donald Nickelson (Director) appeared on Schedule A of H•••••• G•••• I••••••••• I•••Mar 26, 2021 · Control person joined · fact
- Brendan John Mcguckian (Director) appeared on Schedule A of H•••••• G•••• I••••••••• I•••Mar 26, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- H•••••• G•••• I••••••••• I••• · Independent Sponsorsshared crd · capital_provider
- H•••••• G•••• I••••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/harbour-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••••GROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 314-727-5550reportedpublic record, Form ADV, Mar 27, 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
- Asset manager (funds and pooled vehicles)deriveda 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