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•• C•••• C••••••• L•••••
Latest filing Feb 5, 2026
First filing on the tape Jul 22, 2022 · 6 filings
SEC status approved since Aug 23, 2022
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$136M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$136M as of Feb 5, 2026
Jan 31, 2023$123M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 5, 2026
Jan 31, 20231 then
Employees (5.A)2 as of Feb 5, 2026
Jan 31, 20232 then
Private funds1 as of Feb 5, 2026
Jan 31, 20231 then
RAUM +0.5% over the last fiscal year+3.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $136MderivedRAUM 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
- $136MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.5%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
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $136M, 1 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$136M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $136M for 1 clientsreported
- Compensation
- % of AUM, 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• R• T•••••••••Chartered Financial Analyst | Kirkland, Wa | Feb 8, 2013 | 18 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•• C•••• I••••••••• L••• | Hedge Fund | $127M | 20 | Jul 22, 2022 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• D••••• M••••••• W•••••• · Membercontrolsince 03/1994 · owns 5% to 10%
- S•••••••• J••••• P•••••• · Managing Membercontrolsince 06/2008 · owns 25% to 50%
- T••••••••• D•••••• R• · Chief Compliance Officercontrolsince 11/2019 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Assets in custody · $135M to $136MFeb 18, 2025 to Feb 5, 2026
- Discretionary RAUM · $135M to $136MFeb 18, 2025 to Feb 5, 2026
- Pooled vehicle RAUM · $135M to $136MFeb 18, 2025 to Feb 5, 2026
- RAUM · $135M to $136MFeb 18, 2025 to Feb 5, 2026
- Financial planning clients · unset to Mar 4, 2024 to Feb 18, 2025
- Assets in custody · $127M to $135MMar 4, 2024 to Feb 18, 2025
- Discretionary RAUM · $127M to $135MMar 4, 2024 to Feb 18, 2025
- Pooled vehicle RAUM · $127M to $135MMar 4, 2024 to Feb 18, 2025
- RAUM · $127M to $135MMar 4, 2024 to Feb 18, 2025
- Assets in custody · $123M to $127MJan 31, 2023 to Mar 4, 2024
- Other offices · 2 to 1Jan 31, 2023 to Mar 4, 2024
- Discretionary RAUM · $123M to $127MJan 31, 2023 to Mar 4, 2024
- Pooled vehicle RAUM · $123M to $127MJan 31, 2023 to Mar 4, 2024
- RAUM · $123M to $127MJan 31, 2023 to Mar 4, 2024
- Assets in custody · $120M to $123MAug 30, 2022 to Jan 31, 2023
- Discretionary RAUM · $120M to $123MAug 30, 2022 to Jan 31, 2023
- Pooled vehicle RAUM · $120M to $123MAug 30, 2022 to Jan 31, 2023
- RAUM · $120M to $123MAug 30, 2022 to Jan 31, 2023
Signals
1 dated events
- H•• C•••• C••••••• L••••• filed its initial SEC registration (Form ADV)Jul 22, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- HOTC••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 2066233800reportedpublic record, Form ADV, Feb 5, 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
- $136Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026