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.
Former SEC-registered adviser
Hgi Capital Management, LLC.
Latest filing Mar 27, 2026
First filing on the tape Sep 25, 2013 · 25 filings
SEC status approved since Oct 10, 2013
RAUM
$41.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.1%
$53,928 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
2
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$41.6M as of Mar 27, 2026
Mar 26, 2014$83.0M then
HNW client RAUM$53,928 as of Mar 27, 2026
Mar 26, 2019$19.3M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 26, 20140 then
Employees (5.A)12 as of Mar 27, 2026
Mar 26, 20147 then
Private funds2 as of Mar 27, 2026
Mar 26, 20142 then
RAUM -75% over the last fiscal year-57% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $5.9MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -75%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
- 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 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)
- 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
- Pooled investment vehicles$41.5M100%
- Corporations and businesses$66,6660.2%
- High-net-worth individuals$53,9280.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- reported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Harbor Group International Real Estate Securities Fund, LP | Hedge Fund | $87.4M | 65 | Sep 25, 2013 |
| Harbor Group International Real Estate Securities Master Fund, LP | Hedge Fund | $27.8M | 12 | Sep 25, 2013 |
| Harbor Group International Real Estate Securities Fund II, LPno longer reported | Hedge Fund | $12,290 | 0 | Mar 30, 2016 |
Owners and control persons
Schedule A and B, latest filing
- Roger Christopher Gruszczynski · Chief Legal Officer/ Chief Compliance Officercontrolsince 04/2022 · owns less than 5%
- Richard Thomas Jr. Litton · Presidentcontrolsince 07/2013 · owns less than 5%
- (Nmn) Saul Lubetski · Vice Chairmancontrolsince 07/2013 · owns less than 5%
- Eric Jordan Slone · Chairman/Chief Executive Officercontrolsince 07/2013 · owns less than 5%
- Ramey Carla Stoner · Chief Financial Officercontrolsince 10/2024 · owns less than 5%
- Eric Jordan Slone · Membercontrolsince 01/2013 · owns 25% to 50% of Harbor Capital II, LLC
Entity owners
- Hgi Res, LLC · Sole Member/Managerdirect · owns 75% or more
- Harbor Capital II, LLC · Memberindirect · owns 25% to 50% of Hgi Res Holdings, LLC
- Hgi Res Holdings, LLC · Managing Memberindirect · owns 50% to 75% of Hgi Res, LLC
Related persons
Schedule D 7.A
- Harbor Group Insurance Agency, LLCreal estaten
- Harbor Group International, LLCinvestment advisernRAUM $3.8B
- Harbor Group Management Co., LLCinvestment companyn
- Hgi Asset Management, LLCpooled vehicle sponsorn
Advisers that list Hgi Capital Management, LLC. as a related person
- 285895 n
Offices
Schedule D 1.F, the 25 largest
- Norfolk, VA3 employees
- Baltimore, MD2 employees
- Ramat Gan, Israel2 employees
What changed
consecutive filings, newest first
- Accounts · 8 to 7Mar 31, 2025 to Mar 27, 2026
- Advisory employees · 2 to 7Mar 31, 2025 to Mar 27, 2026
- Corporate clients · 3 to 0Mar 31, 2025 to Mar 27, 2026
- Pooled vehicle clients · 5 to 4Mar 31, 2025 to Mar 27, 2026
- Private funds · 3 to 2Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $163M to $41.6MMar 31, 2025 to Mar 27, 2026
- HNW RAUM · unset to 53928.0Mar 31, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $147M to $41.5MMar 31, 2025 to Mar 27, 2026
- RAUM · $163M to $41.6MMar 31, 2025 to Mar 27, 2026
- Advisory employees · 3 to 2Oct 31, 2024 to Mar 31, 2025
- Corporate clients · 0 to 3Oct 31, 2024 to Mar 31, 2025
- HNW clients · 5 to 0Oct 31, 2024 to Mar 31, 2025
- Pooled vehicle clients · 3 to 5Oct 31, 2024 to Mar 31, 2025
- Financial planning clients · unset to Oct 31, 2024 to Mar 31, 2025
- Private funds · 2 to 3Oct 31, 2024 to Mar 31, 2025
- Discretionary RAUM · $186M to $163MOct 31, 2024 to Mar 31, 2025
- HNW RAUM · 54963521.0 to unsetOct 31, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $132M to $147MOct 31, 2024 to Mar 31, 2025
- RAUM · $186M to $163MOct 31, 2024 to Mar 31, 2025
- Other offices · 2 to 3Jul 24, 2024 to Oct 31, 2024
- Advisory employees · 5 to 3Jul 28, 2023 to Mar 28, 2024
- Assets in custody · unset to 0.0Jul 28, 2023 to Mar 28, 2024
- Custody of client assets · false to trueJul 28, 2023 to Mar 28, 2024
- Employees · 8 to 12Jul 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $511M to $186MJul 28, 2023 to Mar 28, 2024
- HNW RAUM · $401M to $55.0MJul 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $110M to $132MJul 28, 2023 to Mar 28, 2024
- RAUM · $511M to $186MJul 28, 2023 to Mar 28, 2024
- Accounts · 34 to 8Jan 24, 2023 to Mar 30, 2023
- HNW clients · 28 to 5Jan 24, 2023 to Mar 30, 2023
- Pooled vehicle clients · 6 to 3Jan 24, 2023 to Mar 30, 2023
- Assets in custody · 0.0 to unsetJan 24, 2023 to Mar 30, 2023
- Custody of client assets · true to falseJan 24, 2023 to Mar 30, 2023
- Employees · 6 to 8Jan 24, 2023 to Mar 30, 2023
- Discretionary RAUM · $398M to $511MJan 24, 2023 to Mar 30, 2023
- HNW RAUM · $47.0M to $401MJan 24, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $351M to $110MJan 24, 2023 to Mar 30, 2023
- RAUM · $398M to $511MJan 24, 2023 to Mar 30, 2023
- Related broker-dealer · true to falseJan 24, 2023 to Mar 30, 2023
- Accounts · 18 to 34Jan 7, 2022 to Mar 30, 2022
Signals
13 dated events
- Hgi Capital Management, Llc. no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $41.6M)Jun 1, 2026 · Left the SEC roster · derived
- Hgi Capital Management, Llc. reported RAUM $41.6M, down 75% from $163.4M (2025-03-31 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Ramey Carla Stoner (Chief Financial Officer) appeared on Schedule A of Hgi Capital Management, Llc.Oct 31, 2024 · Control person joined · fact
- Toby Robyn Geffner (Chief Financial Officer) no longer on Schedule A of Hgi Capital Management, Llc. (listed 2024-03-28, absent 2024-07-24)Jul 24, 2024 · Control person left · inference
- Hgi Capital Management, Llc. reported RAUM $186.5M, down 64% from $511.0M (2023-07-28 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Maria Natasha Kassian (Chief Compliance Officer) no longer on Schedule A of Hgi Capital Management, Llc. (listed 2023-03-30, absent 2023-07-28)Jul 28, 2023 · Control person left · inference
- Hgi Capital Management, Llc. reported RAUM $511.0M, up 28% from $398.3M (2023-01-24 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Maria Natasha Kassian (Chief Compliance Officer) appeared on Schedule A of Hgi Capital Management, Llc.Jan 24, 2023 · Control person joined · fact
- Roger Christopher Gruszczynski (Chief Compliance Officer / Chief Legal Officer) appeared on Schedule A of Hgi Capital Management, Llc.Jul 25, 2022 · Control person joined · fact
- Louis Geoffrey Butler (Chief Compliance Officer) no longer on Schedule A of Hgi Capital Management, Llc. (listed 2022-03-30, absent 2022-07-25)Jul 25, 2022 · Control person left · inference
- Ward Lucinda Klevecz (Chief Compliance Officer) no longer on Schedule A of Hgi Capital Management, Llc. (listed 2021-03-25, absent 2022-01-07)Jan 7, 2022 · Control person left · inference
- Louis Geoffrey Butler (Chief Compliance Officer) appeared on Schedule A of Hgi Capital Management, Llc.Jan 7, 2022 · Control person joined · fact
- Hgi Capital Management, Llc. filed its initial SEC registration (Form ADV)Sep 25, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- HGI Capital Management, LLC. · Private Equityshared crd · organization
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