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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SEC-registered adviser
L••••• H••••• A•••••••• L••
Latest filing Sep 14, 2026
First filing on the tape Aug 20, 2013 · 23 filings
SEC status approved since Aug 27, 2013
RAUM
$243M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$243M
derived; firm RAUM over IAPD count
Employees
13
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$243M as of Mar 27, 2026
Mar 28, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20141 then
Employees (5.A)13 as of Mar 27, 2026
Mar 28, 20148 then
Private funds1 as of Mar 27, 2026
Mar 31, 20171 then
RAUM +20% over the last fiscal year+7.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $243MderivedRAUM 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
- $60.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 13.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
- 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$234M96%
- Pooled investment vehicles$8.6M3.6%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• P••• R•••• | Minneapolis, Mn | Nov 25, 2013 | 16 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R•••••• P••• R•••• from A••••• A•••••••••Nov 25, 2013 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•• M••••• S•••• F••• I• L•••no longer reported | Hedge Fund | $5.6M | 27 | Mar 31, 2017 |
| L•• F•••••• L••••••••• F•••• L•••no longer reported | Hedge Fund | $3.9M | 2 | Mar 29, 2019 |
| L•• M••• L••••••••• F•••• L••• | Hedge Fund | $3.5M | 11 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• R••••••• J•••• · Chief Legal Officer & Chief Compliance Officercontrolsince 07/2013 · owns less than 5%
- G•••••• M•••• C•••••• · Chief Risk Officercontrolsince 06/2020 · owns less than 5%
- H••••••• J•••• J••••• · Chief Executive Officercontrolsince 04/2012 · owns 5% to 10%
- L•••••• J••••••• C•••••• · Chief Investment Officercontrolsince 07/2013 · owns less than 5%
- T•••••• R••••••• F•••••• · President-Wealth Advisor Solutionscontrolsince 08/2021 · owns less than 5%
- G••••• D•••• · Shareholdercontrolsince 01/2000 · owns 75% or more of J•••• I•••
- H••••••• J•••• J••••• · Managercontrolsince 09/2010 · owns F of T•• E••••• H•••••••• L••
- V•• O•••••••• E••• D• M•• A•••••••• · Membersince 07/2012 · owns 10% to 25%
Entity owners
- T•• E••••• H•••••••• L•• · Managerdirect · owns 10% to 25%
- J•••• I••• · Trusteeindirect · owns F of J••• W••••• M••••••• T••••
- J••• W••••• M••••••• T•••• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- L•• M••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 27, 2026 to Sep 14, 2026
- Private funds · 1 to unsetMar 27, 2026 to Sep 14, 2026
- Succession · false to unsetMar 27, 2026 to Sep 14, 2026
- Advisory employees · 10 to 11Mar 28, 2025 to Mar 27, 2026
- Employees · 12 to 13Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $202M to $243MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $6.5M to $8.6MMar 28, 2025 to Mar 27, 2026
- RAUM · $202M to $243MMar 28, 2025 to Mar 27, 2026
- Accounts · 5 to 4Aug 26, 2024 to Mar 28, 2025
- BD registered reps · 3 to 1Aug 26, 2024 to Mar 28, 2025
- Employees · 14 to 12Aug 26, 2024 to Mar 28, 2025
- Financial planning clients · unset to Aug 26, 2024 to Mar 28, 2025
- State-registered IARs · 1 to 0Aug 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $205M to $202MAug 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $3.5M to $6.5MAug 26, 2024 to Mar 28, 2025
- RAUM · $205M to $202MAug 26, 2024 to Mar 28, 2025
- BD registered reps · 2 to 3Nov 9, 2023 to Mar 28, 2024
- Employees · 13 to 14Nov 9, 2023 to Mar 28, 2024
- Discretionary RAUM · $184M to $205MNov 9, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $3.4M to $3.5MNov 9, 2023 to Mar 28, 2024
- RAUM · $184M to $205MNov 9, 2023 to Mar 28, 2024
- Accounts · 4 to 5Mar 31, 2023 to Nov 9, 2023
- Advisory employees · 9 to 10Mar 31, 2023 to Nov 9, 2023
- BD registered reps · 3 to 2Mar 31, 2023 to Nov 9, 2023
- Employees · 14 to 13Mar 31, 2023 to Nov 9, 2023
- Discretionary RAUM · $198M to $184MMar 31, 2023 to Nov 9, 2023
- Pooled vehicle RAUM · $3.0M to $3.4MMar 31, 2023 to Nov 9, 2023
- RAUM · $198M to $184MMar 31, 2023 to Nov 9, 2023
- Advisory employees · 11 to 9Mar 30, 2022 to Mar 31, 2023
- BD registered reps · 4 to 3Mar 30, 2022 to Mar 31, 2023
- Employees · 17 to 14Mar 30, 2022 to Mar 31, 2023
- Insurance-licensed employees · 1 to 0Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $353M to $198MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.0M to $3.0MMar 30, 2022 to Mar 31, 2023
- RAUM · $353M to $198MMar 30, 2022 to Mar 31, 2023
- Accounts · 2 to 4Mar 30, 2021 to Mar 30, 2022
- Advisory employees · 10 to 11Mar 30, 2021 to Mar 30, 2022
- Advisory activities · 1 to 2Mar 30, 2021 to Mar 30, 2022
- BD registered reps · 5 to 4Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 0 to 1Mar 30, 2021 to Mar 30, 2022
Signals
6 dated events
- Patrick D•••• Hausler (Chief Financial Officer) no longer on Schedule A of L••••• H••••• A•••••••• L•• (listed 2023-11-09, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- L••••• H••••• A•••••••• L•• reported RAUM $197.9M, down 44% from $352.6M (2022-03-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Francis Richard Tomney (President-Wealth Advisor Solutions) appeared on Schedule A of L••••• H••••• A•••••••• L••Mar 31, 2023 · Control person joined · fact
- Patrick D•••• Hausler (Chief Financial Officer) appeared on Schedule A of L••••• H••••• A•••••••• L••Mar 31, 2023 · Control person joined · fact
- L••••• H••••• A•••••••• L•• reported RAUM $352.6M, up 186% from $123.4M (2021-03-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- L••••• H••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Aug 20, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/little-harbor-advisors-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- LHAFUNDS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 781-639-3000reportedpublic record, Form ADV, Sep 14, 2026
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $243Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026