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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

H•••••••• R••• A•••• M••••••••• L••

Former SEC-registered adviserIndianapolis, IndianaCRD 167420SEC 801-78008IAPD
Latest filing Mar 9, 2017
First filing on the tape Apr 24, 2013 · 10 filings
RAUM
$236M
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$236M as of Mar 9, 2017
Feb 12, 2014$189M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 9, 2017
Feb 12, 20142 then
Employees (5.A)1 as of Mar 9, 2017
Feb 12, 20146 then
Private funds: no history
RAUM +13% over the last fiscal year+7.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 9, 2017; every figure names its basis
RAUM per advisor
$236MderivedRAUM 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
$78.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+13%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 individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
yesreportedItem 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 custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      • H••••••••• F•••• H••••• · Presidentcontrol
        since 02/2013 · owns 75% or more
      • M•••••• D••••• C•••••• · Chief Compliance Officer, Vice Presidentcontrol
        since 02/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      • H•••••••• R••• E••••• S•••••••• I•••
        investment companyn
      • U• A•••••••••
        investment advisernRAUM $759M
      Offices
      Schedule D 1.F, the 25 largest
      • Wabash, IN
      What changed
      consecutive filings, newest first
      • Non-discretionary RAUM · $212M to $236M
        Jul 15, 2016 to Mar 9, 2017
      • RAUM · $212M to $236M
        Jul 15, 2016 to Mar 9, 2017
      • Advisory employees · 5 to 1
        Mar 24, 2016 to Jul 15, 2016
      • Assets in custody · $147M to $0
        Mar 24, 2016 to Jul 15, 2016
      • Employees · 6 to 1
        Mar 24, 2016 to Jul 15, 2016
      • Insurance-licensed employees · 0 to 1
        Mar 24, 2016 to Jul 15, 2016
      • Non-discretionary RAUM · $210M to $212M
        Mar 24, 2016 to Jul 15, 2016
      • RAUM · $210M to $212M
        Mar 24, 2016 to Jul 15, 2016
      • Related adviser · false to true
        Mar 24, 2016 to Jul 15, 2016
      • Advisory employees · 6 to 5
        Feb 19, 2015 to Mar 24, 2016
      • Assets in custody · $123M to $147M
        Feb 19, 2015 to Mar 24, 2016
      • Employees · 7 to 6
        Feb 19, 2015 to Mar 24, 2016
      • State-registered IARs · 2 to 1
        Feb 19, 2015 to Mar 24, 2016
      • Non-discretionary RAUM · $193M to $210M
        Feb 19, 2015 to Mar 24, 2016
      • RAUM · $193M to $210M
        Feb 19, 2015 to Mar 24, 2016
      • Advisory employees · 5 to 6
        Apr 10, 2014 to Feb 19, 2015
      • Assets in custody · $82.3M to $123M
        Apr 10, 2014 to Feb 19, 2015
      • Employees · 6 to 7
        Apr 10, 2014 to Feb 19, 2015
      • Non-discretionary RAUM · $189M to $193M
        Apr 10, 2014 to Feb 19, 2015
      • RAUM · $189M to $193M
        Apr 10, 2014 to Feb 19, 2015
      • Discretionary RAUM · $189M to $0
        Feb 12, 2014 to Feb 14, 2014
      • Non-discretionary RAUM · $0 to $189M
        Feb 12, 2014 to Feb 14, 2014
      • Accounts · 2 to 3
        Nov 11, 2013 to Feb 12, 2014
      • Assets in custody · $0 to $82.3M
        Nov 11, 2013 to Feb 12, 2014
      • State-registered IARs · 5 to 2
        Nov 11, 2013 to Feb 12, 2014
      • Discretionary RAUM · $150M to $189M
        Nov 11, 2013 to Feb 12, 2014
      • RAUM · $150M to $189M
        Nov 11, 2013 to Feb 12, 2014
      • Accounts · 1 to 2
        Apr 24, 2013 to Aug 2, 2013
      • Discretionary RAUM · $50.0M to $150M
        Apr 24, 2013 to Aug 2, 2013
      • RAUM · $50.0M to $150M
        Apr 24, 2013 to Aug 2, 2013
      Signals
      1 dated events
      • H•••••••• R••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 24, 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