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••••••• T••••••••• G••••• C••••••• I•••

Former SEC-registered adviserPalo Alto, CaliforniaCRD 165799SEC 801-78884IAPD
Latest filing Feb 10, 2014
First filing on the tape Nov 26, 2013 · 2 filings
RAUM
$1.1B
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
66
39 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$1.1B as of Feb 10, 2014
Nov 26, 2013$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 10, 2014
Nov 26, 20130 then
Employees (5.A)66 as of Feb 10, 2014
Nov 26, 201366 then
Private funds: no history
Practice profile
derived from the filing of Feb 10, 2014; 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
$1.1BderivedRAUM 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
unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, performance-basedreportedItem 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)
  • 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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• R•••••• P• · Directorcontrol
        since 03/2006 · owns less than 5%
      • B••••• J••••••• T••• · Vice President Of Finance And Chief Financial Officercontrol
        since 06/2011 · owns less than 5%
      • C•••• J•••••• W• · Directorcontrol
        since 02/2004 · owns less than 5%
      • H••••••••• M•••••• A• · Chairman Of The Board, President And Chief Executive Officercontrol
        since 12/2003 · owns less than 5%
      • M••••••• P•••••• T••••• · General Counsel, Chief Compliance Officer And Secretarycontrol
        since 07/2013 · owns less than 5%
      • W•••••••• A••••• C• · Directorcontrol
        since 02/2004 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Boston, MA
      • Mclean, VA
      • New York, NY
      • Westminster, CO
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • H••••••• T••••••••• G••••• C••••••• I••• filed its initial SEC registration (Form ADV)
        Nov 26, 2013 · 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.
      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