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

H••••••••• G••••• I••••••••• L•

Former SEC-registered adviserMadison, WisconsinCRD 171295SEC 801-79676IAPD
Latest filing Jun 16, 2020
First filing on the tape Apr 22, 2014 · 20 filings
RAUM
$407M
reported, Item 5.F
Discretionary
53%
of RAUM
Private clients
20%
$82.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$407M as of Mar 25, 2020
Mar 25, 2015$1.3B then
HNW client RAUM$28.7M as of Mar 25, 2020
Mar 27, 2018$12.5M then
State-registered IARs (5.B.3)2 as of Mar 25, 2020
Mar 25, 20150 then
Employees (5.A)4 as of Mar 25, 2020
Mar 25, 201512 then
Private funds: no history
RAUM +0.8% over the last fiscal year-1.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 16, 2020; every figure names its basis
RAUM per advisor
$203MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
113derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
53%derivedof RAUM
Institutional
21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+0.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$193M47%
  • Charitable organizations$83.4M20%
  • Individuals$53.7M13%
  • Corporations and businesses$46.8M12%
  • High-net-worth individuals$28.7M7.1%
  • Pension and profit-sharing plans$1.2M0.3%
Individual clients
215reported
HNW clients
11reported
Pension plan clients
4reported
Charitable clients
23reported
Accounts
299reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $143M managedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F••••• K••••••••• L••••• · Member Of Governing Board Of LPcontrol
    since 04/2014 · owns less than 5%
  • F••••••••• S•••••• J••••• · Chief Legal Officercontrol
    since 03/2020 · owns less than 5%
  • T••••••• T•••••• R•••• H•••• · Chief Executive Officer; Chief Investment Officer; Member Of Governing Board Of LPcontrol
    since 04/2014 · owns 5% to 10%
  • B••••••• F••••• E••••• · Majority Shareholdercontrol
    since 04/2014 · owns 50% to 75% of M•••••• I••••••••• H•••••••• I••
  • T••••••• T•••••• R•••• H•••• · Shareholdercontrol
    since 04/2014 · owns 25% to 50% of O••••••• M••••••••• G••••• I•••
  • R••••••• A•••••• C•••••••• · Chief Compliance Officer
    since 06/2016 · owns less than 5%
Entity owners
  • M•••••• A•••• M••••••••• · General Partner And Class A And Class B Limited Partner
    direct · owns 25% to 50%
  • M•••••• I••••••••• H•••••••• I•• · Holding Company
    indirect · owns 75% or more of M•••••• A•••• M••••••••• L••
  • O••••••• M••••••••• G••••• I••• · Class A And Class C Limited Partner
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
Advisers that list H••••••••• G••••• I••••••••• L• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Toronto, Canada4 employees
What changed
consecutive filings, newest first
  • Accounts · 320 to 299
    Nov 8, 2019 to Mar 25, 2020
  • BD registered reps · 1 to 0
    Nov 8, 2019 to Mar 25, 2020
  • Charity clients · 27 to 23
    Nov 8, 2019 to Mar 25, 2020
  • Corporate clients · 33 to 31
    Nov 8, 2019 to Mar 25, 2020
  • HNW clients · 6 to 11
    Nov 8, 2019 to Mar 25, 2020
  • Individual clients · 232 to 215
    Nov 8, 2019 to Mar 25, 2020
  • Pension plan clients · 7 to 4
    Nov 8, 2019 to Mar 25, 2020
  • Employees · 6 to 4
    Nov 8, 2019 to Mar 25, 2020
  • Discretionary RAUM · $294M to $214M
    Nov 8, 2019 to Mar 25, 2020
  • HNW RAUM · $17.5M to $28.7M
    Nov 8, 2019 to Mar 25, 2020
  • Individual RAUM · $60.3M to $53.7M
    Nov 8, 2019 to Mar 25, 2020
  • Non-discretionary RAUM · $109M to $193M
    Nov 8, 2019 to Mar 25, 2020
  • Pension RAUM · $94.1M to $1.2M
    Nov 8, 2019 to Mar 25, 2020
  • RAUM · $403M to $407M
    Nov 8, 2019 to Mar 25, 2020
  • Wrap assets (manager) · $130M to $143M
    Nov 8, 2019 to Mar 25, 2020
  • Accounts · 228 to 320
    Oct 5, 2018 to Mar 28, 2019
  • BD registered reps · 2 to 1
    Oct 5, 2018 to Mar 28, 2019
  • Charity clients · 24 to 27
    Oct 5, 2018 to Mar 28, 2019
  • Corporate clients · 30 to 33
    Oct 5, 2018 to Mar 28, 2019
  • HNW clients · 11 to 6
    Oct 5, 2018 to Mar 28, 2019
  • Individual clients · 146 to 232
    Oct 5, 2018 to Mar 28, 2019
  • Pension plan clients · unset to 7.0
    Oct 5, 2018 to Mar 28, 2019
  • Insurance-licensed employees · 2 to 1
    Oct 5, 2018 to Mar 28, 2019
  • State-registered IARs · 3 to 2
    Oct 5, 2018 to Mar 28, 2019
  • Discretionary RAUM · $324M to $294M
    Oct 5, 2018 to Mar 28, 2019
  • HNW RAUM · $12.5M to $17.5M
    Oct 5, 2018 to Mar 28, 2019
  • Individual RAUM · $47.3M to $60.3M
    Oct 5, 2018 to Mar 28, 2019
  • Non-discretionary RAUM · $121M to $109M
    Oct 5, 2018 to Mar 28, 2019
  • Pension RAUM · $126M to $94.1M
    Oct 5, 2018 to Mar 28, 2019
  • RAUM · $445M to $403M
    Oct 5, 2018 to Mar 28, 2019
  • Wrap assets (manager) · $224M to $130M
    Oct 5, 2018 to Mar 28, 2019
  • Accounts · 198 to 228
    Jun 20, 2017 to Mar 27, 2018
  • Advisory employees · 5 to 4
    Jun 20, 2017 to Mar 27, 2018
  • Advisory activities · 2 to 3
    Jun 20, 2017 to Mar 27, 2018
  • Charity clients · unset to 24.0
    Jun 20, 2017 to Mar 27, 2018
  • Corporate clients · unset to 30.0
    Jun 20, 2017 to Mar 27, 2018
  • HNW clients · unset to 11.0
    Jun 20, 2017 to Mar 27, 2018
  • Individual clients · unset to 146.0
    Jun 20, 2017 to Mar 27, 2018
  • Employees · 7 to 6
    Jun 20, 2017 to Mar 27, 2018
  • State-registered IARs · 4 to 3
    Jun 20, 2017 to Mar 27, 2018
Signals
4 dated events
  • Sean Kevin Thompson (Chief Legal Officer) no longer on Schedule A of H••••••••• G••••• I••••••••• L• (listed 2019-11-08, absent 2020-03-25)
    Mar 25, 2020 · Control person left · inference
  • Joseph Steven Fredricks (Chief Legal Officer) appeared on Schedule A of H••••••••• G••••• I••••••••• L•
    Mar 25, 2020 · Control person joined · fact
  • Anne Elizabeth Dettman (Chief Financial Officer, Member Of Governing Board Of Lp) no longer on Schedule A of H••••••••• G••••• I••••••••• L• (listed 2019-03-29, absent 2019-11-08)
    Nov 8, 2019 · Control person left · inference
  • M•••••• F•••••• L••• filed its initial SEC registration (Form ADV)
    Apr 22, 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.
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