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

B••••• H••• A•••••••• I• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 169933SEC 801-78899websiteIAPD
Latest filing Mar 31, 2025
First filing on the tape Nov 29, 2013 · 26 filings
SEC status approved since Dec 2, 2013
RAUM
$16.3M
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$16.3M as of Mar 31, 2025
Mar 31, 2014$37.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2025
Mar 31, 20140 then
Employees (5.A)0 as of Mar 31, 2025
Mar 31, 20140 then
Private funds: no history
RAUM -69% over the last fiscal year-52% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2025; 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
$16.3MderivedRAUM 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
-69%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$16.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • D•••••• J••••• O• · Chief Executive Officer, Chief Investment Officercontrol
        since 01/2014 · owns less than 5%
      • F•••••••• J••••• Z•• · Chief Financial Officercontrol
        since 01/2017 · owns less than 5%
      • F•••••• J•••• B••••••• · Chief Compliance Officer, General Counselcontrol
        since 09/2024 · owns less than 5%
      • D•••••• J••••• O• · Chief Executive Officercontrol
        since 10/2018 · owns 50% to 75% of B••••• H••• M••••••••• P••••••• L•
      • D•••••• J••••• O• · Chief Executive Officercontrol
        since 10/2018 · owns 75% or more of B••••• H••• M••••••••• P••••••• G• L••
      Entity owners
      • B••••• H••• I••••••••• P••••••• G• L•• · General Partner
        direct · owns less than 5%
      • B••••• H••• I••••••••• P••••••• L• · Limited Partner
        direct · owns 75% or more
      • B••••• H••• I••••••••• P••••••• G• L•• · General Partner
        indirect · owns F of B••••• H••• I••••••••• P••••••• L•
      • B••••• H••• M••••••••• P••••••• G• L•• · General Partner
        indirect · owns F of B••••• H••• M••••••••• P••••••• L•
      • B••••• H••• M••••••••• P••••••• L• · Member
        indirect · owns 75% or more of B••••• H••• I••••••••• P••••••• G• L••
      • B••••• H••• M••••••••• P••••••• L• · Limited Partner
        indirect · owns 50% to 75% of B••••• H••• I••••••••• P••••••• L•
      Related persons
      Schedule D 7.A
      Advisers that list B••••• H••• A•••••••• I• M••••••••• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · unset to
        Sep 12, 2024 to Mar 31, 2025
      • Discretionary RAUM · $52.4M to $16.3M
        Sep 12, 2024 to Mar 31, 2025
      • RAUM · $52.4M to $16.3M
        Sep 12, 2024 to Mar 31, 2025
      • Accounts · 2 to 1
        Jun 7, 2023 to Mar 28, 2024
      • Discretionary RAUM · $131M to $52.4M
        Jun 7, 2023 to Mar 28, 2024
      • RAUM · $131M to $52.4M
        Jun 7, 2023 to Mar 28, 2024
      • Discretionary RAUM · $144M to $131M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $144M to $131M
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $171M to $144M
        May 27, 2021 to Mar 31, 2022
      • RAUM · $171M to $144M
        May 27, 2021 to Mar 31, 2022
      • Discretionary RAUM · $171M to $171M
        Mar 27, 2020 to Mar 31, 2021
      • RAUM · $171M to $171M
        Mar 27, 2020 to Mar 31, 2021
      • Discretionary RAUM · $166M to $171M
        Nov 18, 2019 to Mar 27, 2020
      • RAUM · $166M to $171M
        Nov 18, 2019 to Mar 27, 2020
      • Business name · H•••••• A•••••••• I• M••••••••• L• to B••••• H••• A•••••••• I• M••••••••• L•
        Mar 29, 2019 to Nov 18, 2019
      • Legal name · H•••••• A•••••••• I• M••••••••• L• to B••••• H••• A•••••••• I• M••••••••• L•
        Nov 1, 2018 to Mar 29, 2019
      • Discretionary RAUM · $144M to $166M
        Nov 1, 2018 to Mar 29, 2019
      • RAUM · $144M to $166M
        Nov 1, 2018 to Mar 29, 2019
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $109M to $144M
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $109M to $144M
        Mar 31, 2017 to Mar 29, 2018
      • Accounts · 1 to 2
        Jan 11, 2017 to Mar 31, 2017
      • Discretionary RAUM · $44.7M to $109M
        Jan 11, 2017 to Mar 31, 2017
      • RAUM · $44.7M to $109M
        Jan 11, 2017 to Mar 31, 2017
      • Accounts · 3 to 1
        Jan 20, 2016 to Mar 29, 2016
      • Advisory activities · 2 to 1
        Jan 20, 2016 to Mar 29, 2016
      • Business name · H•••••• L••••• S••••••••• I• M••••••••• L• to H•••••• A•••••••• I• M••••••••• L•
        Jan 20, 2016 to Mar 29, 2016
      • Legal name · H•••••• L••••• S••••••••• I• M••••••••• L• to H•••••• A•••••••• I• M••••••••• L•
        Jan 20, 2016 to Mar 29, 2016
      • Discretionary RAUM · $217M to $44.7M
        Jan 20, 2016 to Mar 29, 2016
      • RAUM · $217M to $44.7M
        Jan 20, 2016 to Mar 29, 2016
      • Accounts · 2 to 3
        Sep 18, 2014 to Mar 31, 2015
      • Advisory activities · 1 to 2
        Sep 18, 2014 to Mar 31, 2015
      • Discretionary RAUM · $180M to $217M
        Sep 18, 2014 to Mar 31, 2015
      • RAUM · $180M to $217M
        Sep 18, 2014 to Mar 31, 2015
      • Accounts · 1 to 2
        Mar 31, 2014 to Sep 18, 2014
      • Discretionary RAUM · $37.7M to $180M
        Mar 31, 2014 to Sep 18, 2014
      • RAUM · $37.7M to $180M
        Mar 31, 2014 to Sep 18, 2014
      • Discretionary RAUM · $34.4M to $37.7M
        Feb 26, 2014 to Mar 31, 2014
      • RAUM · $34.4M to $37.7M
        Feb 26, 2014 to Mar 31, 2014
      • Accounts · unset to 1.0
        Jan 15, 2014 to Feb 26, 2014
      Signals
      8 dated events
      • B••••• H••• A•••••••• I• M••••••••• L• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $16.3M)
        Dec 20, 2025 · Left the SEC roster · derived
      • Benjamin John Freese (Chief Compliance Officer, General Counsel) appeared on Schedule A of B••••• H••• A•••••••• I• M••••••••• L•
        Sep 12, 2024 · Control person joined · fact
      • Suzanne Mcdermott (Chief Operating Officer, Chief Legal Officer, Chief Compliance Officer) no longer on Schedule A of B••••• H••• A•••••••• I• M••••••••• L• (listed 2024-03-28, absent 2024-09-12)
        Sep 12, 2024 · Control person left · inference
      • Ross Kevah Konner (Chief Risk Officer) no longer on Schedule A of B••••• H••• A•••••••• I• M••••••••• L• (listed 2020-03-27, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • Wolf Joseph Hill (Managing Principal, Executive Committee Member) no longer on Schedule A of B••••• H••• A•••••••• I• M••••••••• L• (listed 2019-11-18, absent 2020-03-27)
        Mar 27, 2020 · Control person left · inference
      • Nelson Mark Simons (Portfolio Manager, Managing Principal) no longer on Schedule A of B••••• H••• A•••••••• I• M••••••••• L• (listed 2019-11-18, absent 2020-03-27)
        Mar 27, 2020 · Control person left · inference
      • Ross Brian Smead (Portfolio Manager, Executive Committee Member) no longer on Schedule A of B••••• H••• A•••••••• I• M••••••••• L• (listed 2019-11-18, absent 2020-03-27)
        Mar 27, 2020 · Control person left · inference
      • H•••••• L••••• S••••••••• I• M••••••••• L• filed its initial SEC registration (Form ADV)
        Nov 29, 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