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
H•••••• I••••••••• H• L••••••
Latest filing Apr 1, 2026
First filing on the tape Nov 25, 2014 · 32 filings
SEC status approved since Jan 2, 2015
RAUM
$432M
reported, Item 5.F
Discretionary
99%
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
123
27 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
1
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$432M as of Apr 1, 2026
Jan 28, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2026
Mar 31, 20150 then
Employees (5.A)123 as of Apr 1, 2026
Mar 31, 201528 then
Private funds1 as of Apr 1, 2026
Mar 27, 20251 then
RAUM +13% over the last fiscal yearIARs 0 to 0offices 6 to 7
Practice profile
derived from the filing of Apr 1, 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
- $39.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%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, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $18.1M, 4 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$287M66%
- Corporations and businesses$61.4M14%
- State and municipal entities$50.6M12%
- Investment companies$33.3M7.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $18.1M for 4 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.74 institutional_share=0.12 related_bd=true related_bank=true bd_reps=14.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• L•••••••• J••••• · Director And Chief Financial Officercontrolsince 06/2013 · owns less than 5%
- S•••••••• H•••••• A••• · Directorcontrolsince 06/2013 · owns less than 5%
- T••••••••• M••••• R••••• · Ceo Directorcontrolsince 06/2013 · owns less than 5%
Entity owners
- H•••••• L•• · 100% Shareholder Of H•••••• I••••••••• H• L••••••direct · owns 75% or more
- K• I• L•• · Member Of H•••••• L••indirect · owns 75% or more of H•••••• L••
Related persons
Schedule D 7.A
- H••• I• L••bankpooled vehicle sponsory
- H•••••• A•••••• R••• E••••• T••••• L••bankpooled vehicle sponsorn
- H•••••• C•••••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $6.1B
- H•••••• C••• R••• E••••• D••• I••••• T••••• L••bankpooled vehicle sponsorn
- H•••••• E••••• V•••• P••••••• F••• G•pooled vehicle sponsorn
- H•••••• E••••••• R••••••••• I••••••••• G•pooled vehicle sponsorn
- H•••••• G••••• R••• E••••• P••••••• G•• L••bankpooled vehicle sponsorn
- H•••••• I••••••••• L••investment adviserpooled vehicle sponsornRAUM $352M
- H•••••• I••••••••• R••• E••••• S••••••••• P•• L••••••broker-dealerinvestment advisern
- H•••••• I••••••••• R••• E••••• S••••••••• U• L••••••broker-dealern
- H•••••• L••• S•••••• P••••••• C••••••••• G•• L••pooled vehicle sponsorn
- H•••••• R••• E••••• D••• P••••••• I•• L••bankpooled vehicle sponsorn
- H•••••• R••• E••••• D••• P••••••• I••• L••bankpooled vehicle sponsorn
- H•••••• R••• E••••• S••••••••• L••investment advisernRAUM $1.8B
- H•••••• S••••••••• L••broker-dealern
- H•••••• U• L••••••broker-dealern
- H•••••• V•••• P••••••• I••• L••pooled vehicle sponsorn
- H•••••• V•••• P••••••• I•• L••pooled vehicle sponsorn
- H•••••• V•••• P••••••• V• L••pooled vehicle sponsorn
- H••• I• M••••••••• C•••••• S•••pooled vehicle sponsorn
- R•• A•••• I• G•• L••pooled vehicle sponsorn
Advisers that list H•••••• I••••••••• H• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL18 employees
- London, United Kingdom2 employees
- New York, NY2 employees
- J•••-Gu, Seoul, Korea, South1 employees
- Melbourne, Australia1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Apr 1, 2026institutional share of RAUM moved from 0.0% to 26.0% between the annual amendments of 2025-03-27 and 2026-04-01peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Accounts · 1 to 11Mar 27, 2026 to Apr 1, 2026
- Corporate clients · unset to 4.0Mar 27, 2026 to Apr 1, 2026
- Pooled vehicle clients · 3 to 8Mar 27, 2026 to Apr 1, 2026
- Discretionary RAUM · $265M to $426MMar 27, 2026 to Apr 1, 2026
- Non-discretionary RAUM · $0 to $6.2MMar 27, 2026 to Apr 1, 2026
- Pooled vehicle RAUM · $265M to $287MMar 27, 2026 to Apr 1, 2026
- RAUM · $265M to $432MMar 27, 2026 to Apr 1, 2026
- Advisory employees · 30 to 27Jan 21, 2026 to Mar 27, 2026
- BD registered reps · 13 to 14Jan 21, 2026 to Mar 27, 2026
- Pooled vehicle clients · 1 to 3Jan 21, 2026 to Mar 27, 2026
- Assets in custody · $5.3M to $18.1MJan 21, 2026 to Mar 27, 2026
- Employees · 128 to 123Jan 21, 2026 to Mar 27, 2026
- Other offices · 6 to 7Jan 21, 2026 to Mar 27, 2026
- Discretionary RAUM · $381M to $265MJan 21, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $381M to $265MJan 21, 2026 to Mar 27, 2026
- RAUM · $381M to $265MJan 21, 2026 to Mar 27, 2026
- Accounts · 0 to 1Jan 28, 2025 to Mar 27, 2025
- Advisory employees · 33 to 30Jan 28, 2025 to Mar 27, 2025
- BD registered reps · 14 to 13Jan 28, 2025 to Mar 27, 2025
- Pooled vehicle clients · unset to 1.0Jan 28, 2025 to Mar 27, 2025
- Assets in custody · $8.5M to $5.3MJan 28, 2025 to Mar 27, 2025
- Employees · 136 to 128Jan 28, 2025 to Mar 27, 2025
- Financial planning clients · unset to Jan 28, 2025 to Mar 27, 2025
- Other offices · 5 to 6Jan 28, 2025 to Mar 27, 2025
- Private funds · unset to 1Jan 28, 2025 to Mar 27, 2025
- Discretionary RAUM · $0 to $381MJan 28, 2025 to Mar 27, 2025
- Pooled vehicle RAUM · unset to 381179200.0Jan 28, 2025 to Mar 27, 2025
- RAUM · $0 to $381MJan 28, 2025 to Mar 27, 2025
- Accounts · unset to 0.0Mar 27, 2024 to Jan 28, 2025
- HQ state · unset to Mar 27, 2024 to Jan 28, 2025
- Discretionary RAUM · unset to 0.0Mar 27, 2024 to Jan 28, 2025
- Non-discretionary RAUM · unset to 0.0Mar 27, 2024 to Jan 28, 2025
- RAUM · unset to 0.0Mar 27, 2024 to Jan 28, 2025
- Advisory employees · 38 to 33Apr 24, 2023 to Mar 27, 2024
- BD registered reps · 16 to 14Apr 24, 2023 to Mar 27, 2024
- Assets in custody · $1.3M to $8.5MApr 24, 2023 to Mar 27, 2024
- Employees · 134 to 136Apr 24, 2023 to Mar 27, 2024
- Advisory employees · 36 to 38May 5, 2022 to Mar 31, 2023
- BD registered reps · 18 to 16May 5, 2022 to Mar 31, 2023
- Assets in custody · $2.5M to $1.3MMay 5, 2022 to Mar 31, 2023
Signals
10 dated events
- H•••••• I••••••••• H• L•••••• reported RAUM $431.9M, up 63% from $264.6M (2026-03-27 to 2026-04-01)Apr 1, 2026 · RAUM change · derived
- H•••••• I••••••••• H• L•••••• reported RAUM $264.6M, down 31% from $381.2M (2026-01-21 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Anthony Stamato (Head Of Compliance, Executive Vice President And Chief Legal Officer) no longer on Schedule A of H•••••• I••••••••• H• L•••••• (listed 2023-04-24, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Katherine Mary Ludgin (Investment Committee Member) no longer on Schedule A of H•••••• I••••••••• H• L•••••• (listed 2020-05-20, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Steven Lewis Ingall (Investment Committee Member) no longer on Schedule A of H•••••• I••••••••• H• L•••••• (listed 2019-07-16, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Jung Yun Choi (Investment Committee Member) no longer on Schedule A of H•••••• I••••••••• H• L•••••• (listed 2019-07-16, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Joseph Jerome Claeys (Investment Committee Member) no longer on Schedule A of H•••••• I••••••••• H• L•••••• (listed 2018-10-30, absent 2019-01-25)Jan 25, 2019 · Control person left · inference
- Steven Lewis Ingall (Investment Committee Member) appeared on Schedule A of H•••••• I••••••••• H• L••••••Jan 25, 2019 · Control person joined · fact
- Jung Yun Choi (Investment Committee Member) appeared on Schedule A of H•••••• I••••••••• H• L••••••Jan 25, 2019 · Control person joined · fact
- H•••••• I••••••••• H• L•••••• filed its initial SEC registration (Form ADV)Nov 25, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H•••••• I••••••••• H• L•••••• · Independent Sponsorsshared crd · intermediary
- H•••••• I••••••••• H• L•••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- H••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 852 3976 6800reportedpublic record, Form ADV, Apr 1, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
H•••••• I••••••••• H• 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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