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••••••••• P•••••••• L•
Latest filing Sep 9, 2026
First filing on the tape Mar 3, 2014 · 40 filings
SEC status approved since Mar 14, 2014
RAUM
$115M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$23.0M
derived; firm RAUM over IAPD count
Employees
9
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$115M as of Mar 30, 2026
Mar 31, 2015$4.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 30, 2026
Mar 31, 201511 then
Employees (5.A)9 as of Mar 30, 2026
Mar 31, 201544 then
Private funds4 as of Mar 30, 2026
Mar 31, 20152 then
RAUM -39% over the last fiscal year-44% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
- RAUM per advisor
- $23.0MderivedRAUM 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
- $16.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -39%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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 vehicles, 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$40080%
- Investment companies$10020%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=6.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• B•••• P•••••• | Raleigh, Nc | Jan 5, 2018 | 38 y | 5 |
| P•••••• A••• J• W•••••• | Raleigh, Nc | Feb 14, 2022 | 12 y | 0 |
| A•••••••• C••• H••• | Raleigh, Nc | Nov 4, 2022 | 17 y | 0 |
| B•••• F••••• P•••••• | Raleigh, Nc | Nov 8, 2022 | 14 y | 0 |
| T••••• M•••••• M•••••• | Raleigh, Nc | Nov 11, 2022 | 13 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
- C••••• R•••••• N••••• to P•• W••••• M•••••••••Feb 16, 2023 · Other
- D•••• M•••••• W••••• to C•••••••Jul 18, 2018 · Other
- C••••••••• P••• M••••• to F•••••••• S••••••••• C••••Sep 21, 2015 · Other
Joined, latest
- C••••••••• P••• M••••• from N•••••••• B••••• B• L••Aug 14, 2015 · Other
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••••• E•••••••• P•••••• E••••• F•••• L•• | Private Equity Fund | $3.1M | 87 | Mar 31, 2017 |
| H••••••• L••• S•••• V• F••• I• L•••no longer reported | Venture Capital Fund | $2.3M | 32 | Mar 29, 2012 |
| H••••••• G••• I•• L•• | Private Equity Fund | $535,602 | 95 | Mar 2, 2016 |
| H••••••• V• C••••••••• F••• I• L••••••••• T••••no longer reported | Other Private Fund | $497,826 | 199 | Mar 30, 2023 |
| H••••••• G••••• P•••••• E••••• P••••••• I••••••••• L•• | Private Equity Fund | $386,307 | 98 | Mar 2, 2016 |
| H••••••• G••• F•••• L••• | Private Equity Fund | $79,401 | 3 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• B•••••••• L••• · Director Of Operationscontrolsince 09/2019 · owns less than 5%
- L••• M••••••• F•••••• · President Of Distribution, Limited Partnercontrolsince 01/2023 · owns 5% to 10%
- P••••••• D••••• B•••• · Chief Executive Officer, Co-Founder, Chief Compliance Officer, Limited Partnercontrolsince 04/2024 · owns 75% or more
- R••••••• T•••••• P•••••• · Chief Investment Officercontrolsince 03/2020 · owns less than 5%
- Z••••••••• A••••••• C••••••••• · Chief Financial Officercontrolsince 01/2019 · owns less than 5%
- P••••••• D••••• B•••• · Membercontrolsince 01/2016 · owns 75% or more of H•• M••••••••• L••
Entity owners
- H•• M••••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- H••••••• C•••••• D••••••••• L••broker-dealery
Advisers that list H••••••• I••••••••• P•••••••• L• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM down advisors stableCombination · filing Mar 30, 2026peers: other advisers, $100M to $500M (212)
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $187,768,848 to $114,765,846 (-39.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +8.0% (161 comparable advisers, 5.0th percentile of changes)peers: other advisers, $100M to $500M (161) · 5.0% percentile
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 30, 2026 to Sep 9, 2026
- Private funds · 4 to unsetMar 30, 2026 to Sep 9, 2026
- Succession · false to unsetMar 30, 2026 to Sep 9, 2026
- Advisory employees · 3 to 2Mar 28, 2025 to Mar 30, 2026
- Assets in custody · 616785.0 to unsetMar 28, 2025 to Mar 30, 2026
- Custody of client assets · true to falseMar 28, 2025 to Mar 30, 2026
- Employees · 12 to 9Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.7M to $500Mar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $184M to $115MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.3M to $400Mar 28, 2025 to Mar 30, 2026
- RAUM · $188M to $115MMar 28, 2025 to Mar 30, 2026
- Advisory employees · 4 to 3Sep 24, 2024 to Mar 28, 2025
- BD registered reps · 8 to 6Sep 24, 2024 to Mar 28, 2025
- Assets in custody · $17.8M to $616,785Sep 24, 2024 to Mar 28, 2025
- Employees · 17 to 12Sep 24, 2024 to Mar 28, 2025
- Financial planning clients · unset to Sep 24, 2024 to Mar 28, 2025
- State-registered IARs · 8 to 6Sep 24, 2024 to Mar 28, 2025
- Discretionary RAUM · $21.8M to $3.7MSep 24, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $214M to $184MSep 24, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $4.1M to $3.3MSep 24, 2024 to Mar 28, 2025
- RAUM · $236M to $188MSep 24, 2024 to Mar 28, 2025
- Accounts · 8 to 7May 30, 2023 to Mar 28, 2024
- BD registered reps · 10 to 8May 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 5 to 4May 30, 2023 to Mar 28, 2024
- Assets in custody · $331M to $17.8MMay 30, 2023 to Mar 28, 2024
- Employees · 19 to 17May 30, 2023 to Mar 28, 2024
- State-registered IARs · 10 to 8May 30, 2023 to Mar 28, 2024
- Private funds · 5 to 4May 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $389M to $21.8MMay 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $281M to $214MMay 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $65.9M to $4.1MMay 30, 2023 to Mar 28, 2024
- RAUM · $670M to $236MMay 30, 2023 to Mar 28, 2024
- Advisory employees · 3 to 4Jan 16, 2023 to Mar 30, 2023
- BD registered reps · 4 to 10Jan 16, 2023 to Mar 30, 2023
- Pooled vehicle clients · 4 to 5Jan 16, 2023 to Mar 30, 2023
- Assets in custody · $318M to $331MJan 16, 2023 to Mar 30, 2023
- Employees · 16 to 19Jan 16, 2023 to Mar 30, 2023
- State-registered IARs · 3 to 10Jan 16, 2023 to Mar 30, 2023
- Legal name · T••••••• I••••••••• P•••••••• L• to H••••••• I••••••••• P•••••••• L•Jan 16, 2023 to Mar 30, 2023
- Private funds · 4 to 5Jan 16, 2023 to Mar 30, 2023
Signals
10 dated events
- I Yvonne Pytlik (Chief Compliance Officer) no longer on Schedule A of H••••••• I••••••••• P•••••••• L• (listed 2024-03-28, absent 2024-05-09)May 9, 2024 · Control person left · inference
- H••••••• I••••••••• P•••••••• L• reported RAUM $235.9M, down 65% from $669.6M (2023-05-30 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Francis M•••••• Lee (President Of Distribution) appeared on Schedule A of H••••••• I••••••••• P•••••••• L•Mar 28, 2024 · Control person joined · fact
- C••••• R•••••• N••••• left H••••••• I••••••••• P•••••••• L• for P•• W••••• M••••••••• (registered 2023-02-01)Feb 16, 2023 · Advisor changed firm · fact
- I Yvonne Pytlik (Chief Compliance Officer) appeared on Schedule A of H••••••• I••••••••• P•••••••• L•Nov 29, 2022 · Control person joined · fact
- H••••••• I••••••••• P•••••••• L• reported RAUM $729.9M, up 92% from $380.2M (2021-10-11 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Patrick Thomas Riegert (Chief Investment Officer) appeared on Schedule A of H••••••• I••••••••• P•••••••• L•Mar 29, 2021 · Control person joined · fact
- L••• B••••••• M••••••• (Director Of Operations) appeared on Schedule A of H••••••• I••••••••• P•••••••• L•Mar 29, 2021 · Control person joined · fact
- H••••••• F••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 23, 2016 · Succession (Item 4) · fact
- H••••••• F••• A••••••• L•• filed its initial SEC registration (Form ADV)Mar 3, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••••• I••••••••• P•••••••• L• · Independent Sponsorsshared crd · capital_provider
- H••••••• I••••••••• P•••••••• L• · Private Equityshared crd · organization
- H••••••• I••••••••• P•••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/hatteras-investment-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- hatterasinvestmentpartners.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-846-2324reportedpublic record, Form ADV, Sep 9, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $23.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026