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•• I••••••••• M••••••••• L••

Former SEC-registered adviserDallas, TexasCRD 160820SEC 801-73312IAPD
Latest filing Mar 31, 2016
First filing on the tape Feb 10, 2012 · 6 filings
RAUM
$929M
reported, Item 5.F
Discretionary
21%
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
11
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$929M gross assets
History
6 filings and snapshots on the tape
RAUM$929M as of Mar 31, 2016
Mar 28, 2013$229M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2016
Mar 28, 20130 then
Employees (5.A)11 as of Mar 31, 2016
Mar 28, 201317 then
Private funds3 as of Mar 31, 2016
Mar 28, 20131 then
RAUM +117% over the last fiscal year+60% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2016; 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
$232MderivedRAUM over accounts (5.F.2.f)
Discretionary
21%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
+117%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, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• S••••• P•••••••• L•••Real Estate Fund$429M3Feb 10, 2012
      A•••• S••••• I••••••••• L•••Real Estate Fund$300M3Mar 31, 2016
      A•••• S••••• S••••• H••••••• L•••Real Estate Fund$200M3Mar 31, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• N•••••• J• · Chief Compliance Officer And Secretarycontrol
        since 01/2012 · owns less than 5%
      • G•••••• P•••••••• L• · Presidentcontrol
        since 01/2012 · owns less than 5%
      • M••••••••• M••• · Chief Financial Officercontrol
        since 01/2012 · owns less than 5%
      • O•••••• G•••••••• D• · S••••• Vice President And General Counselcontrol
        since 01/2012 · owns less than 5%
      • S••••• E•••••••• · S••••• Vice Presidentcontrol
        since 01/2012 · owns less than 5%
      • M•••••• T•••••• E• · Trusteecontrol
        since 08/2015 · owns F of L•••• T•••• N•• 1•
      Entity owners
      • H••• C••••••••• I••••••••• L••••• · Member
        direct · owns 75% or more
      • H••• C••••••••• I••• · Member
        indirect · owns 75% or more of H••• C••••••••• I••••••••• L•••••
      • L•••• T•••• N•• 1• · Shareholder
        indirect · owns 25% to 50% of R•• C•••••••••
      • R•• C••••••••• · Shareholder
        indirect · owns 75% or more of H••• C••••••••• I•••
      Related persons
      Schedule D 7.A
      • H•• A•••• S••••• G•• L•••••
        pooled vehicle sponsorn
      • H•• A•••• S••••• I••••••••• G•• L•••••
        pooled vehicle sponsorn
      • H•• A•••• S••••• S• G•• L•••••
        pooled vehicle sponsorn
      • H• F••• I• G•• L••
        pooled vehicle sponsorn
      • H• F••• I• M••••••••• C•• L••
        investment advisern
      Advisers that list H•• I••••••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 4
        Mar 31, 2015 to Mar 31, 2016
      • Advisory employees · 13 to 11
        Mar 31, 2015 to Mar 31, 2016
      • Employees · 13 to 11
        Mar 31, 2015 to Mar 31, 2016
      • Private funds · 1 to 3
        Mar 31, 2015 to Mar 31, 2016
      • Non-discretionary RAUM · $238M to $738M
        Mar 31, 2015 to Mar 31, 2016
      • RAUM · $429M to $929M
        Mar 31, 2015 to Mar 31, 2016
      • Advisory employees · 15 to 13
        Mar 28, 2014 to Mar 31, 2015
      • Employees · 15 to 13
        Mar 28, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $38.0M to $238M
        Mar 28, 2014 to Mar 31, 2015
      • RAUM · $229M to $429M
        Mar 28, 2014 to Mar 31, 2015
      • Advisory employees · 17 to 15
        Mar 28, 2013 to Mar 28, 2014
      • Employees · 17 to 15
        Mar 28, 2013 to Mar 28, 2014
      • Advisory employees · unset to 17.0
        Mar 22, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Mar 22, 2012 to Mar 28, 2013
      • Employees · unset to 17.0
        Mar 22, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 22, 2012 to Mar 28, 2013
      • Discretionary RAUM · $195M to $191M
        Mar 22, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $30.0M to $38.0M
        Mar 22, 2012 to Mar 28, 2013
      • RAUM · $225M to $229M
        Mar 22, 2012 to Mar 28, 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
      Across the graphs

      H•• I••••••••• M••••••••• 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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