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••••••• C•••••• P••••••• L••

Former SEC-registered adviserLondon, CRD 168075SEC 801-78312IAPD
Latest filing Mar 31, 2017
First filing on the tape Jul 1, 2013 · 14 filings
RAUM
$2.6M
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
22
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$2.6M as of Mar 31, 2017
Sep 26, 2014$98.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Sep 26, 20140 then
Employees (5.A)22 as of Mar 31, 2017
Sep 26, 201425 then
Private funds: no history
RAUM -97% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
$285,807derivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-97%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 assets, performance-basedreportedItem 5.E
Advisory activities
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
9reported
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••••• M••••••• P••••• · Chief Technology Officer And Partnercontrol
        since 04/2007 · owns 5% to 10%
      • C••••• N•••••• C•••• E•• · Chief Compliance Officer And Chief Legal Officercontrol
        since 03/2014 · owns less than 5%
      • I•••••••• P•• K•••• O•••• · Partnercontrol
        since 01/2012 · owns 5% to 10%
      • K••••• R•••••• H•••• I••••• · Chief Executive Officer And Partnercontrol
        since 07/2016 · owns 5% to 10%
      • S••••••••• S•••• P••••• · Chief Investment Officer And Partnercontrol
        since 07/2015 · owns 5% to 10%
      • S••••••••• S••••• A•••••••• · Partnercontrol
        since 02/2011 · owns 5% to 10%
      • S••••• A•••••••• B••••••• · Head Of Marketing And Partnercontrol
        since 02/2011 · owns 5% to 10%
      • W•••••• D••••• L••••• I••• · Chief Financial Officercontrol
        since 09/2016 · owns less than 5%
      Entity owners
      • H••••••• C•••••• L•••••• · Corporate Partner
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 9
        Oct 3, 2016 to Mar 31, 2017
      • Advisory employees · 4 to 3
        Oct 3, 2016 to Mar 31, 2017
      • Employees · 28 to 22
        Oct 3, 2016 to Mar 31, 2017
      • Discretionary RAUM · $102M to $2.6M
        Oct 3, 2016 to Mar 31, 2017
      • RAUM · $102M to $2.6M
        Oct 3, 2016 to Mar 31, 2017
      • Accounts · 1 to 10
        Dec 21, 2015 to Mar 30, 2016
      • Employees · 26 to 28
        Dec 21, 2015 to Mar 30, 2016
      • Discretionary RAUM · $94.6M to $102M
        Dec 21, 2015 to Mar 30, 2016
      • RAUM · $94.6M to $102M
        Dec 21, 2015 to Mar 30, 2016
      • Employees · 25 to 26
        Sep 25, 2015 to Sep 28, 2015
      • Discretionary RAUM · $98.5M to $94.6M
        Sep 25, 2015 to Sep 28, 2015
      • RAUM · $98.5M to $94.6M
        Sep 25, 2015 to Sep 28, 2015
      • Related bank · true to false
        Sep 25, 2015 to Sep 28, 2015
      • Accounts · 2 to 1
        Mar 18, 2014 to Sep 26, 2014
      • Discretionary RAUM · $82.6M to $98.5M
        Mar 18, 2014 to Sep 26, 2014
      • RAUM · $82.6M to $98.5M
        Mar 18, 2014 to Sep 26, 2014
      • Related bank · false to true
        Mar 18, 2014 to Sep 26, 2014
      • Employees · 21 to 25
        Jul 1, 2013 to Mar 18, 2014
      • Discretionary RAUM · $88.4M to $82.6M
        Jul 1, 2013 to Mar 18, 2014
      • RAUM · $88.4M to $82.6M
        Jul 1, 2013 to Mar 18, 2014
      Signals
      1 dated events
      • H••••••• C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 1, 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