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•••••••••
Legal name H••••••••• I••••••••• M••••••••• L••
Latest filing Jun 29, 2026
First filing on the tape Jun 22, 2012 · 28 filings
SEC status approved since Jul 9, 2012
RAUM
$935M
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
11
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$935M as of Jun 29, 2026
Jul 16, 2013$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Jul 16, 20130 then
Employees (5.A)11 as of Jun 29, 2026
Jul 16, 20139 then
Private funds1 as of Jun 29, 2026
Jul 16, 20131 then
RAUM -46% over the last fiscal year-23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 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
- $187MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.4%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
- -11%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$913M98%
- Charitable organizations$22.2M2.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.98 institutional_share=0.02 related_bd=false related_bank=true 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••••••• V•••• E••••• F••• | Other Private Fund | $244M | 13 | Jul 16, 2013 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• S••••• D••••• · Executive Committee Member, Partner, Investment Officercontrolsince 01/2024 · owns less than 5%
- C••••• W••••••• B•••• · Executive Committee Member, Partner, Chief Investment Officercontrolsince 11/2005 · owns less than 5%
- C•••••••• L•••• A••• · Non-Executive Committee Membercontrolsince 05/2018 · owns less than 5%
- M••••••• K••••• L••••• · Executive Committee Member, Partner, Chief Operating Officer, Chief Compliance Officercontrolsince 07/2018 · owns less than 5%
- B•••• S••••••• C•••••• · Chairman, Director, Shareholdercontrolsince 11/2005 · owns 50% to 75% of S••••••••• P••••••• L••••••
- C••••••• S••••• D••••• · Director, Shareholdercontrolsince 01/2024 · owns F of H••••••••• L••••••
- C••••• W••••••• B•••• · Director, Shareholdercontrolsince 11/2005 · owns F of H••••••••• L••••••
- C•••••••• L•••• A••• · Directorcontrolsince 05/2018 · owns F of H••••••••• L••••••
- M••••••• K••••• L••••• · Directorcontrolsince 07/2018 · owns F of H••••••••• L••••••
Entity owners
- H••••••••• L•••••• · L•••••• Partnerdirect · owns 75% or more
- S••••••••• P••••••• L•••••• · Shareholderindirect · owns 25% to 50% of H••••••••• L••••••
Related persons
Schedule D 7.A
- H••••••••• ••••••• L••••••pooled vehicle sponsory
- S••••••••• I••••••••• I••••••••investment adviserbankpooled vehicle sponsornRAUM $39B
Advisers that list H••••••••• as a related person
- 110987 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.3B to $935MNov 20, 2025 to Jun 29, 2026
- Pooled vehicle RAUM · $1.3B to $913MNov 20, 2025 to Jun 29, 2026
- RAUM · $1.3B to $935MNov 20, 2025 to Jun 29, 2026
- Employees · 12 to 11Jun 10, 2025 to Nov 20, 2025
- Financial planning clients · unset to Nov 25, 2024 to Jun 10, 2025
- HQ state · unset to Nov 25, 2024 to Jun 10, 2025
- Discretionary RAUM · $1.5B to $1.3BNov 25, 2024 to Jun 10, 2025
- Pooled vehicle RAUM · $1.4B to $1.3BNov 25, 2024 to Jun 10, 2025
- RAUM · $1.5B to $1.3BNov 25, 2024 to Jun 10, 2025
- Accounts · 4 to 5May 30, 2024 to Nov 19, 2024
- Pooled vehicle clients · 3 to 4May 30, 2024 to Nov 19, 2024
- Discretionary RAUM · $1.5B to $1.5BMay 30, 2024 to Nov 19, 2024
- Pooled vehicle RAUM · $1.5B to $1.4BMay 30, 2024 to Nov 19, 2024
- RAUM · $1.5B to $1.5BMay 30, 2024 to Nov 19, 2024
- Discretionary RAUM · $1.7B to $1.5BMar 8, 2024 to May 30, 2024
- Pooled vehicle RAUM · $1.6B to $1.5BMar 8, 2024 to May 30, 2024
- RAUM · $1.7B to $1.5BMar 8, 2024 to May 30, 2024
- Accounts · 5 to 4Nov 2, 2022 to Jul 28, 2023
- Employees · 11 to 12Nov 2, 2022 to Jul 28, 2023
- Discretionary RAUM · $1.8B to $1.7BNov 2, 2022 to Jul 28, 2023
- Pooled vehicle RAUM · $1.5B to $1.6BNov 2, 2022 to Jul 28, 2023
- RAUM · $1.8B to $1.7BNov 2, 2022 to Jul 28, 2023
- Advisory employees · 5 to 4Jul 28, 2022 to Nov 2, 2022
- Employees · 13 to 11Jul 28, 2022 to Nov 2, 2022
- Advisory employees · 4 to 5Jul 22, 2021 to Jul 28, 2022
- Employees · 12 to 13Jul 22, 2021 to Jul 28, 2022
- Discretionary RAUM · $2.0B to $1.8BJul 22, 2021 to Jul 28, 2022
- Pooled vehicle RAUM · $1.8B to $1.5BJul 22, 2021 to Jul 28, 2022
- RAUM · $2.0B to $1.8BJul 22, 2021 to Jul 28, 2022
- Accounts · 7 to 5Jul 23, 2020 to Jul 22, 2021
- Pooled vehicle clients · 5 to 3Jul 23, 2020 to Jul 22, 2021
- Discretionary RAUM · $1.9B to $2.0BJul 23, 2020 to Jul 22, 2021
- Pooled vehicle RAUM · $1.6B to $1.8BJul 23, 2020 to Jul 22, 2021
- RAUM · $1.9B to $2.0BJul 23, 2020 to Jul 22, 2021
- Employees · 11 to 12Jul 19, 2019 to Jul 23, 2020
- Discretionary RAUM · $2.5B to $1.9BJul 19, 2019 to Jul 23, 2020
- Pooled vehicle RAUM · $2.1B to $1.6BJul 19, 2019 to Jul 23, 2020
- RAUM · $2.5B to $1.9BJul 19, 2019 to Jul 23, 2020
- Employees · 12 to 11Jul 26, 2018 to Jul 19, 2019
- Discretionary RAUM · $2.5B to $2.5BJul 26, 2018 to Jul 19, 2019
Signals
6 dated events
- Heronbridge reported RAUM $935.3M, down 31% from $1.3B (2025-11-20 to 2026-06-29)Jun 29, 2026 · RAUM change · derived
- Peter Thomas Day (Executive Committee Member, Partner, Marketing Officer) no longer on Schedule A of Heronbridge (listed 2024-05-30, absent 2024-11-19)Nov 19, 2024 · Control person left · inference
- Donald Scott Cargill (Executive Committee Member, Partner, Investment Officer) appeared on Schedule A of HeronbridgeJan 29, 2024 · Control person joined · fact
- Marie Benoit Bouchaud (Executive Committee Member, Partner, Chairman, Chief Executive Officer) no longer on Schedule A of Heronbridge (listed 2022-07-28, absent 2022-11-02)Nov 2, 2022 · Control person left · inference
- Christopher Gordon Westwood (Executive Committee Member, Partner) no longer on Schedule A of Heronbridge (listed 2018-07-26, absent 2019-07-19)Jul 19, 2019 · Control person left · inference
- Heronbridge filed its initial SEC registration (Form ADV)Jun 22, 2012 · 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
- H•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 011-441225 328300reportedpublic record, Form ADV, Jun 29, 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