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••••••••• R••• E••••• S••••••••• H• L••••••

Former SEC-registered adviserCentral, CRD 165930SEC 801-77351IAPD
Latest filing Mar 31, 2023
First filing on the tape Nov 5, 2012 · 24 filings
RAUM
$142M
reported, Item 5.F
Discretionary
94%
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
141
50 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$142M as of Mar 31, 2023
Mar 31, 2014$198M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Apr 1, 20130 then
Employees (5.A)141 as of Mar 31, 2023
Apr 1, 20133 then
Private funds: no history
RAUM -44% over the last fiscal year-48% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2023; 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
$17.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
55%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived6 offices incl. principal (1.F.5)
RAUM growth, one year
-44%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 vehicles, portfolio management for investment companies, selection of other advisersreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$78.4M55%
  • Pooled investment vehicles$43.5M31%
  • Investment companies$20.1M14%
  • Corporations and businesses$82,5090.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• L•••••••• J••••• · Director And Chief Financial Officercontrol
        since 06/2013 · owns less than 5%
      • S••••••• A•••••• · Senior Managing Director, Chief Legal Officer, Head Of Compliance And Chief Compliance Officercontrol
        since 04/2017 · owns less than 5%
      • T••••••••• M••••• R••••• · Directorcontrol
        since 02/2012 · owns less than 5%
      • W••••• J•••• R••••• · Directorcontrol
        since 02/2012 · owns less than 5%
      Entity owners
      • H•••••• L•• · 100% Shareholder Of H•••••• I••••••••• R••• E••••• S••••••••• H• L••••••
        direct · owns 75% or more
      • K• I• L•• · Member Of H•••••• L••
        indirect · owns 75% or more of H•••••• L••
      Related persons
      Schedule D 7.A
      • H••• I• L••
        bankpooled vehicle sponsory
      • H•••• M••••••••• C•••••• I• S•••
        pooled vehicle sponsorn
      • H•••••• A•••••• R••• E••••• T••••• L••
        bankpooled vehicle sponsorn
      • H•••••• C•••••• M••••••••• L••
        investment adviserpooled vehicle sponsornRAUM $6.1B
      • H•••••• C••• R••• E••••• D••• I••••• T••••• L••
        bankpooled vehicle sponsorn
      • H•••••• E••••• V•••• P••••••• F••• G•
        pooled vehicle sponsorn
      • H•••••• E••••••• R••••••••• I••••••••• G•
        pooled vehicle sponsorn
      • H•••••• G••••• R••• E••••• P••••••• G•• L••
        bankpooled vehicle sponsorn
      • H•••••• H• L••••••
        broker-dealern
      • H•••••• I••••••••• H• L••••••
        investment adviserpooled vehicle sponsornRAUM $432M
      • H•••••• I••••••••• L••
        investment adviserpooled vehicle sponsornRAUM $352M
      • H•••••• I••••••••• R••• E••••• S••••••••• P•• L••••••
        broker-dealerinvestment advisern
      • H•••••• I••••••••• R••• E••••• S••••••••• U• L••••••
        broker-dealern
      • H•••••• R••• E••••• D••• P••••••• I• L••
        bankpooled vehicle sponsorn
      • H•••••• R••• E••••• S••••••••• L••
        investment advisernRAUM $1.8B
      • H•••••• S••••••••• L••
        broker-dealern
      • H•••••• U• L••••••
        broker-dealern
      • H•••••• V•••• P••••••• I••• L••
        pooled vehicle sponsorn
      • H•••••• V•••• P••••••• I•• L••
        pooled vehicle sponsorn
      • H•••••• V•••• P••••••• V• L••
        pooled vehicle sponsorn
      • H••• I•• M••••••••• C•••••• S•••
        pooled vehicle sponsorn
      • H••• I• M••••••••• C•••••• S•••
        pooled vehicle sponsorn
      • R•• A•••• I• G•• L••
        pooled vehicle sponsorn
      Advisers that list H•••••• I••••••••• R••• E••••• S••••••••• H• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL34 employees
      • London, United Kingdom6 employees
      • Melbourne, Australia3 employees
      • New York, NY2 employees
      • Chiyoda-Ku Tokyo, Japan1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 8
        Apr 20, 2022 to Mar 31, 2023
      • Advisory employees · 49 to 50
        Apr 20, 2022 to Mar 31, 2023
      • BD registered reps · 16 to 15
        Apr 20, 2022 to Mar 31, 2023
      • Corporate clients · unset to 1.0
        Apr 20, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 6 to 5
        Apr 20, 2022 to Mar 31, 2023
      • Employees · 142 to 141
        Apr 20, 2022 to Mar 31, 2023
      • Discretionary RAUM · $255M to $134M
        Apr 20, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $0 to $8.3M
        Apr 20, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $135M to $43.5M
        Apr 20, 2022 to Mar 31, 2023
      • RAUM · $255M to $142M
        Apr 20, 2022 to Mar 31, 2023
      • Accounts · 14 to 12
        Oct 11, 2021 to Mar 31, 2022
      • Advisory employees · 51 to 49
        Oct 11, 2021 to Mar 31, 2022
      • BD registered reps · 17 to 16
        Oct 11, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 7 to 6
        Oct 11, 2021 to Mar 31, 2022
      • Employees · 143 to 142
        Oct 11, 2021 to Mar 31, 2022
      • Discretionary RAUM · $604M to $255M
        Oct 11, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $11.6M to $0
        Oct 11, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $523M to $135M
        Oct 11, 2021 to Mar 31, 2022
      • RAUM · $615M to $255M
        Oct 11, 2021 to Mar 31, 2022
      • Accounts · 15 to 14
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 43 to 51
        Mar 30, 2020 to Mar 31, 2021
      • BD registered reps · 19 to 17
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 10 to 7
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 128 to 143
        Mar 30, 2020 to Mar 31, 2021
      • Other offices · 3 to 5
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $1.0B to $604M
        Mar 30, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $0 to $11.6M
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $910M to $523M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $1.0B to $615M
        Mar 30, 2020 to Mar 31, 2021
      • Accounts · 18 to 15
        Jul 12, 2019 to Mar 30, 2020
      • Advisory employees · 6 to 43
        Jul 12, 2019 to Mar 30, 2020
      • BD registered reps · 15 to 19
        Jul 12, 2019 to Mar 30, 2020
      • Employees · 36 to 128
        Jul 12, 2019 to Mar 30, 2020
      • Other offices · 1 to 3
        Jul 12, 2019 to Mar 30, 2020
      • Discretionary RAUM · $956M to $1.0B
        Jul 12, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $20.1M to $0
        Jul 12, 2019 to Mar 30, 2020
      • Pension RAUM · 11271113.0 to unset
        Jul 12, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $873M to $910M
        Jul 12, 2019 to Mar 30, 2020
      • RAUM · $976M to $1.0B
        Jul 12, 2019 to Mar 30, 2020
      • Accounts · 17 to 18
        Oct 30, 2018 to Mar 29, 2019
      Signals
      7 dated events
      • H•••••• I••••••••• R••• E••••• S••••••••• H• L•••••• reported RAUM $142.1M, down 44% from $254.9M (2022-04-20 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • William Jerome Ehlinger (Director) no longer on Schedule A of H•••••• I••••••••• R••• E••••• S••••••••• H• L•••••• (listed 2022-04-20, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • H•••••• I••••••••• R••• E••••• S••••••••• H• L•••••• reported RAUM $254.9M, down 59% from $615.3M (2021-10-11 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • H•••••• I••••••••• R••• E••••• S••••••••• H• L•••••• reported RAUM $615.3M, down 39% from $1.0B (2020-03-30 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • H•••••• I••••••••• R••• E••••• S••••••••• H• L•••••• reported RAUM $975.9M, up 42% from $688.8M (2018-10-30 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • H•••••• I••••••••• R••• E••••• S••••••••• H• L•••••• reported RAUM $622.1M, up 50% from $414.6M (2017-04-10 to 2018-01-12)
        Jan 12, 2018 · RAUM change · derived
      • H•••••• I••••••••• R••• E••••• S••••••••• H• filed its initial SEC registration (Form ADV)
        Nov 5, 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.
      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