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••• S••••• R••••• C••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 168416SEC 801-79322IAPD
Latest filing Mar 30, 2015
First filing on the tape Mar 3, 2014 · 2 filings
RAUM
$205M
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
17
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$205M gross assets
History
2 filings and snapshots on the tape
RAUM$205M as of Mar 30, 2015
Mar 3, 2014$210M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 3, 20140 then
Employees (5.A)17 as of Mar 30, 2015
Mar 3, 201415 then
Private funds2 as of Mar 30, 2015
Mar 3, 20142 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2015; 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
$103MderivedRAUM 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
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
Custody
$205M, 2 clientsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$205M for 2 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••• S••••• R••• E••••• F••• I•• L••Real Estate Fund$176M81Mar 3, 2014
      H••• S••••• R••• E••••• F••• I• L••Real Estate Fund$29.4M30Mar 3, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• R•••••• L• · Member, Ciocontrol
        since 12/2003 · owns 10% to 25%
      • C••••• B•••••••• P• · Coocontrol
        since 05/2004 · owns less than 5%
      • C•••••••• D•••••• C• · Member, Senior Managing Directorcontrol
        since 01/2003 · owns 10% to 25%
      • H••••••• J•••• R• · Cfo, Ccocontrol
        since 09/2008 · owns less than 5%
      • K••••••• J•••• T• · Member, Ceocontrol
        since 01/2003 · owns 10% to 25%
      • Z••••••••• A•••••• M••• · Member, Managing Directorcontrol
        since 04/2008 · owns less than 5%
      • C•••••••• H••••• W• · Trustee Of K•••••• F••••• 2••• T•••• And K•••••• Family Gst Trust - 2022
        since 04/2010 · owns F of H••• S••••• R••••• C••••••• L••
      Entity owners
      • K•••••• F••••• 2••• T•••• · Member
        direct · owns less than 5%
      • K•••••• F••••• G•• T•••• 2••• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • H••• S••••• E••••• A••••••• I•• L••
        pooled vehicle sponsory
      • H••• S••••• E••••• A••••••• L••
        pooled vehicle sponsory
      • H••• S••••• R••• E••••• F••• I•• G•• L••
        pooled vehicle sponsory
      • H••• S••••• R••• E••••• F••• I• G•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $210M to $205M
        Mar 3, 2014 to Mar 30, 2015
      • Employees · 15 to 17
        Mar 3, 2014 to Mar 30, 2015
      • Discretionary RAUM · $210M to $205M
        Mar 3, 2014 to Mar 30, 2015
      • RAUM · $210M to $205M
        Mar 3, 2014 to Mar 30, 2015
      Signals
      1 dated events
      • H••• S••••• R••••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 3, 2014 · 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
      Across the graphs

      H••• S••••• R••••• C••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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