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•••••
Wealth manager with institutional or fund businessAventura, FloridaCRD 170580SEC 801-113143websiteIAPD
Legal name H••••• I••••• W•• L••
Latest filing Mar 31, 2026
First filing on the tape Sep 29, 2014 · 24 filings
SEC status approved since May 4, 2018
RAUM
$171M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
37%
$64.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$85.6M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$171M as of Mar 31, 2026
Mar 29, 2019$119M then
HNW client RAUM$64.0M as of Mar 31, 2026
Mar 29, 2019$86.6M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 29, 20194 then
Employees (5.A)7 as of Mar 31, 2026
Mar 29, 20197 then
Private funds10 as of Mar 31, 2026
Mar 29, 20192 then
RAUM +7.2% over the last fiscal year+7.3% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $85.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$107M63%
- High-net-worth individuals$64.0M37%
- Individual clients
- n/areported
- HNW clients
- 33reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 70reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.37 fund_share=0.63 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• B•••••••• M••••• | Aventura, Fl | Jan 4, 2024 | 11 y | 0 |
| C••••• A•••••• M•••••• | Aventura, Fl | Jan 1, 2025 | 11 y | 0 |
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
- E•••••• I•••••• S•••• P•••• S••• to S•••••• A•••••••Apr 13, 2022 · Other
- J••••• A•••••• L••••• to S••••• W••••• M••••••••• L••Jul 27, 2021 · RIA to a state-registered adviser
- E••• L••• H••••••••• V••••••• to K••••••• C••••••Oct 1, 2019 · RIA to RIA
- B•••••• C• R••••• to I••• I••••••••• S••••••••• I•••May 2, 2018 · RIA to RIA
- A•••••• B•••••• to F••• C•••••• A•••••••Oct 31, 2017 · Other
- J•••• C•••• C•••• to F•••••• A•••• M•••••••••Jul 26, 2017 · Other
Joined, latest
- B•••••• C• R••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 6, 2017 · Other
- A•••••• B•••••• from W•••• C•••••• A••••••• L••Aug 15, 2017 · Other
- E••• L••• H••••••••• V••••••• from C••• A••••••• L••Jan 30, 2017 · Other
- J•••• C•••• C•••• from E•• C•••••• M••••••••• L••May 22, 2015 · Other
- J••••• A•••••• L••••• from B••••• G••••• A•••• M•••••••••Jan 21, 2015 · Other
Private funds
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• I••••• R••••••• P•••••• C••••• S••••••••• S• | Other Private Fund | $22.0M | 28 | Apr 3, 2018 |
| H••••• I••••• T••••••• S••••• A••••••••• R••• E••••• S• | Real Estate Fund | $18.9M | 19 | Mar 30, 2022 |
| H••••• I••••• L••• S••••••••• M•••• S••••••• F••• S• | Real Estate Fund | $12.1M | 13 | Mar 30, 2022 |
| H• P•••••• C••••• O••••••••• F••• | Other Private Fund | $10.3M | 19 | May 1, 2023 |
| H• B• F••••• S• | Real Estate Fund | $9.8M | 1 | Mar 30, 2022 |
| H••••• I••••• R••• S•••• I••••• S• | Real Estate Fund | $8.5M | 10 | Mar 30, 2022 |
| H••••• I••••• F••• S••••• S•••• • R•••no longer reported | Other Private Fund | $5.7M | 20 | Mar 31, 2020 |
| H••••• I••••• S•••• D••••••• C•••••••• C••••• F•••no longer reported | Liquidity Fund | $4.6M | 30 | Mar 31, 2020 |
| H••••• I••••• R•••••• A••••••••• S••••••••• I• | Other Private Fund | $2.4M | 1 | Mar 30, 2022 |
| H••••• I••••• P•••••• C••••• M••••••••• S•no longer reported | Other Private Fund | $1.3M | 3 | Mar 31, 2021 |
| H••••• I••••• D••••••••• R••• E••••• S••••••••• P•••••••• | Real Estate Fund | $834,208 | 5 | Apr 3, 2018 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• R•••••• A•••••••• · Managing Director & Ccocontrolsince 08/2014 · owns less than 5%
- A••••••••• R•••••• A•••••••• · Sole Membercontrolsince 02/2019 · owns 75% or more of L••••••• V••••••• L••
Entity owners
- H••••• F•••••••• H••••••• L•• · Ownerdirect · owns 75% or more
- L••••••• V••••••• L•• · Sole Memberindirect · owns 75% or more of H••••• F•••••••• H••••••• L••
Related persons
Schedule D 7.A
- 1• H••••• A••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Aventura, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 76 to 70Mar 24, 2025 to Mar 31, 2026
- Advisory employees · 2 to 3Mar 24, 2025 to Mar 31, 2026
- HNW clients · 34 to 33Mar 24, 2025 to Mar 31, 2026
- Pooled vehicle clients · 8 to 10Mar 24, 2025 to Mar 31, 2026
- Employees · 5 to 7Mar 24, 2025 to Mar 31, 2026
- HQ city · MIAMI to AVENTURAMar 24, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 3Mar 24, 2025 to Mar 31, 2026
- Private funds · 8 to 10Mar 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $120M to $137MMar 24, 2025 to Mar 31, 2026
- HNW RAUM · $63.4M to $64.0MMar 24, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $39.2M to $34.0MMar 24, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $96.2M to $107MMar 24, 2025 to Mar 31, 2026
- RAUM · $160M to $171MMar 24, 2025 to Mar 31, 2026
- Accounts · 74 to 76Mar 28, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 24, 2025
- Discretionary RAUM · $114M to $120MMar 28, 2024 to Mar 24, 2025
- HNW RAUM · $66.6M to $63.4MMar 28, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $37.9M to $39.2MMar 28, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $84.9M to $96.2MMar 28, 2024 to Mar 24, 2025
- RAUM · $151M to $160MMar 28, 2024 to Mar 24, 2025
- Accounts · 57 to 74May 1, 2023 to Mar 25, 2024
- Advisory employees · 1 to 2May 1, 2023 to Mar 25, 2024
- HNW clients · 29 to 34May 1, 2023 to Mar 25, 2024
- State-registered IARs · 1 to 2May 1, 2023 to Mar 25, 2024
- Discretionary RAUM · $98.9M to $114MMay 1, 2023 to Mar 25, 2024
- HNW RAUM · $61.6M to $66.6MMay 1, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $39.6M to $37.9MMay 1, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $76.8M to $84.9MMay 1, 2023 to Mar 25, 2024
- RAUM · $138M to $151MMay 1, 2023 to Mar 25, 2024
- Accounts · 79 to 57Nov 15, 2022 to May 1, 2023
- HNW clients · 20 to 29Nov 15, 2022 to May 1, 2023
- Pooled vehicle clients · 7 to 8Nov 15, 2022 to May 1, 2023
- Private funds · 7 to 8Nov 15, 2022 to May 1, 2023
- Discretionary RAUM · $84.9M to $98.9MNov 15, 2022 to May 1, 2023
- HNW RAUM · $56.6M to $61.6MNov 15, 2022 to May 1, 2023
- Non-discretionary RAUM · $43.0M to $39.6MNov 15, 2022 to May 1, 2023
- Pooled vehicle RAUM · $71.3M to $76.8MNov 15, 2022 to May 1, 2023
- RAUM · $128M to $138MNov 15, 2022 to May 1, 2023
- Employees · 7 to 5Apr 13, 2022 to Nov 15, 2022
- Accounts · 16 to 79Mar 31, 2021 to Mar 30, 2022
Signals
2 dated events
- E•••••• I•••••• S•••• P•••• S••• left H••••• I••••• for S•••••• A••••••• (registered 2022-11-08)Apr 13, 2022 · Advisor changed firm · fact
- H••••• I••••• filed its initial SEC registration (Form ADV)Apr 3, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••• I••••• Wm · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 305-755-7600reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/H•••••-I•••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 305-755-7600reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- harbor-ithaka.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $85.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
H••••• I••••• 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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