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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Latest filing Mar 27, 2026
First filing on the tape Nov 25, 2014 · 32 filings
SEC status approved since Jan 2, 2015
RAUM
$352M
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
149
54 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$352M as of Mar 27, 2026
Mar 27, 2025$286M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 31, 20150 then
Employees (5.A)149 as of Mar 27, 2026
Mar 31, 201560 then
Private funds1 as of Mar 27, 2026
Mar 27, 20251 then
RAUM +23% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $176MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 42%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
- +23%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
- $26.1M, 7 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$203M58%
- Pension and profit-sharing plans$149M42%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $26.1M for 7 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.58 institutional_share=0.42 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
- B••••• G•••••• C••• · Manager And Senior Managing Directorcontrolsince 04/1999 · owns less than 5%
- C•••• Y••• J••• · Executive Vice Presidentcontrolsince 03/2019 · owns less than 5%
- C••••••••• L•••••••• J••••• · Manager, Chief Financial Officer, Treasurer And Secretarycontrolsince 01/2014 · owns less than 5%
- I•••••• L••••• S••••• · Executive Vice Presidentcontrolsince 07/2007 · owns less than 5%
- K••••• T••••••• · Managing Directorcontrolsince 01/2005 · owns less than 5%
- M•••••• C••••• D•••••• B•••••• · Managing Directorcontrolsince 06/2019 · owns less than 5%
- N••••••••• A•••• · Managing Directorcontrolsince 06/2023 · owns less than 5%
- S•••••••• H•••••• A••• · Managing Directorcontrolsince 11/2001 · owns less than 5%
- S••••••• A••••••• P•••• · Managing Directorcontrolsince 02/2018 · owns less than 5%
- S••••••• A•••••• · Head Of Compliance, Senior Managing Director And Chief Legal Officercontrolsince 04/2017 · owns less than 5%
- T••••••••• M••••• R••••• · Manager And Chief Executive Officercontrolsince 04/1999 · owns less than 5%
Entity owners
- H•••••• L•• · Sole Member Of H•••••• I••••••••• 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 sponsorn
- 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 sponsory
- H•••••• E••••••• R••••••••• I••••••••• G•pooled vehicle sponsory
- H•••••• G••••• R••• E••••• P••••••• G•• L••bankpooled vehicle sponsorn
- H•••••• I••••••••• H• L••••••investment adviserpooled vehicle sponsornRAUM $432M
- 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 sponsory
- R•• A•••• I• G•• L••pooled vehicle sponsorn
Advisers that list H•••••• I••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL18 employees
- Frankfurt, Germany9 employees
- Luxembourg, Luxembourg7 employees
- Tokyo, Japan5 employees
- Central, Hong Kong2 employees
- New York, NY2 employees
- J•••-Gu, Seoul, Korea, South1 employees
What changed
consecutive filings, newest first
- Advisory employees · 52 to 54Jan 21, 2026 to Mar 27, 2026
- BD registered reps · 13 to 14Jan 21, 2026 to Mar 27, 2026
- Corporate clients · unset to 1.0Jan 21, 2026 to Mar 27, 2026
- Pension plan clients · unset to 2.0Jan 21, 2026 to Mar 27, 2026
- Assets in custody · $26.9M to $26.1MJan 21, 2026 to Mar 27, 2026
- Discretionary RAUM · $286M to $352MJan 21, 2026 to Mar 27, 2026
- Pension RAUM · unset to 148930721.0Jan 21, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $172M to $203MJan 21, 2026 to Mar 27, 2026
- RAUM · $286M to $352MJan 21, 2026 to Mar 27, 2026
- Accounts · unset to 2.0Mar 27, 2024 to Mar 27, 2025
- Advisory employees · 57 to 52Mar 27, 2024 to Mar 27, 2025
- BD registered reps · 14 to 13Mar 27, 2024 to Mar 27, 2025
- Pooled vehicle clients · unset to 4.0Mar 27, 2024 to Mar 27, 2025
- Assets in custody · $64.1M to $26.9MMar 27, 2024 to Mar 27, 2025
- Employees · 159 to 149Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- HQ state · unset to Mar 27, 2024 to Mar 27, 2025
- Private funds · unset to 1Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · unset to 286365152.0Mar 27, 2024 to Mar 27, 2025
- Non-discretionary RAUM · unset to 0.0Mar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · unset to 171596516.0Mar 27, 2024 to Mar 27, 2025
- RAUM · unset to 286365152.0Mar 27, 2024 to Mar 27, 2025
- Advisory employees · 48 to 57Apr 24, 2023 to Mar 27, 2024
- BD registered reps · 16 to 14Apr 24, 2023 to Mar 27, 2024
- Assets in custody · $49.3M to $64.1MApr 24, 2023 to Mar 27, 2024
- Employees · 143 to 159Apr 24, 2023 to Mar 27, 2024
- Other offices · 6 to 7Apr 24, 2023 to Mar 27, 2024
- Advisory employees · 44 to 48Mar 31, 2022 to Mar 31, 2023
- BD registered reps · 18 to 16Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $53.4M to $49.3MMar 31, 2022 to Mar 31, 2023
- Employees · 136 to 143Mar 31, 2022 to Mar 31, 2023
- BD registered reps · 19 to 18Oct 11, 2021 to Mar 31, 2022
- Assets in custody · $124M to $53.4MOct 11, 2021 to Mar 31, 2022
- Advisory employees · 61 to 44Jul 15, 2020 to Mar 31, 2021
- Assets in custody · $109M to $124MJul 15, 2020 to Mar 31, 2021
- Custody of client assets · false to trueJul 15, 2020 to Mar 31, 2021
- Other offices · 5 to 6Jul 15, 2020 to Mar 31, 2021
- Advisory employees · 31 to 61Jul 16, 2019 to Mar 30, 2020
- BD registered reps · 15 to 19Jul 16, 2019 to Mar 30, 2020
- Assets in custody · $8.6M to $109MJul 16, 2019 to Mar 30, 2020
Signals
13 dated events
- Young Scott Chung (Executive Vice President) no longer on Schedule A of H•••••• I••••••••• L•• (listed 2023-04-24, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Paul Charles Robinson (Managing Director) no longer on Schedule A of H•••••• I••••••••• L•• (listed 2023-04-24, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- A•••• N•••••••• (Managing Director) appeared on Schedule A of H•••••• I••••••••• L••Mar 27, 2024 · Control person joined · fact
- Alan Harold Schwartz (Managing Director) appeared on Schedule A of H•••••• I••••••••• L••Mar 31, 2021 · Control person joined · fact
- Paul Charles Robinson (Managing Director) appeared on Schedule A of H•••••• I••••••••• L••Mar 31, 2021 · Control person joined · fact
- Ronan John O'Donoghue (Managing Director) no longer on Schedule A of H•••••• I••••••••• L•• (listed 2020-03-30, absent 2020-07-15)Jul 15, 2020 · Control person left · inference
- Douglas Burnett Caleb Mercer (Managing Director) appeared on Schedule A of H•••••• I••••••••• L••Mar 30, 2020 · Control person joined · fact
- Katherine Mary Ludgin (Investment Committee Member) no longer on Schedule A of H•••••• I••••••••• L•• (listed 2019-07-16, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Alan Harold Schwartz (Managing Director) no longer on Schedule A of H•••••• I••••••••• L•• (listed 2019-01-25, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Jung Yun Choi (Executive Vice President) appeared on Schedule A of H•••••• I••••••••• L••Mar 29, 2019 · Control person joined · fact
- Young Scott Chung (Executive Vice President) appeared on Schedule A of H•••••• I••••••••• L••Mar 29, 2019 · Control person joined · fact
- Joseph Jerome Claeys (Investment Committee Member) no longer on Schedule A of H•••••• I••••••••• L•• (listed 2018-08-21, absent 2019-01-25)Jan 25, 2019 · Control person left · inference
- H•••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Nov 25, 2014 · 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
- Website
- H••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- +44.20.7318.1030reportedpublic record, Form ADV, Mar 27, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026