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••••••••• A•••••••

Former SEC-registered adviserPortland, MaineCRD 173012SEC 801-80307IAPD
Legal name H••••••••• A•••••••• L••
Latest filing Apr 23, 2021
First filing on the tape Aug 29, 2014 · 20 filings
RAUM
$225M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
99%
$224M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$225M as of Mar 29, 2021
Feb 18, 2015$111M then
HNW client RAUM$146M as of Mar 29, 2021
Mar 22, 2018$77.2M then
State-registered IARs (5.B.3)6 as of Mar 29, 2021
Feb 18, 20155 then
Employees (5.A)6 as of Mar 29, 2021
Feb 18, 20155 then
Private funds: no history
RAUM +24% over the last fiscal year+9.8% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Apr 23, 2021; every figure names its basis
RAUM per advisor
$37.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
60derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$274,459derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.4%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$146M65%
  • Individuals$78.0M35%
  • Charitable organizations$1.6M0.7%
  • Corporations and businesses$140,1330.1%
  • Pension and profit-sharing plans$94,5040.0%
Individual clients
274reported
HNW clients
87reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
821reported
Financial planning clients
n/areported
Wrap fee programs
noreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K••••••• H••••• M••• · Principalcontrol
      since 09/2014 · owns less than 5%
    • S••••• D••••• T•••••• · Chief Operating Officer And Managercontrol
      since 09/2014 · owns less than 5%
    • T•••• W••••••• R••••• · Presidentcontrol
      since 09/2014 · owns less than 5%
    • S••••••• D•••• E••• · Managing Membercontrol
      since 09/2014 · owns 75% or more of H• H•••••••• L••
    • G••••••• P••••• R•••••• · Chief Compliance Officer
      since 01/2020 · owns less than 5%
    • K••••••• H••••• M••• · Owner
      since 11/2015 · owns 25% to 50% of H••••••••• Investments LLC
    • S••••• D••••• T•••••• · Owner
      since 11/2015 · owns 25% to 50% of H••••••••• Investments LLC
    • T•••• W••••••• R••••• · Owner
      since 11/2015 · owns 25% to 50% of H••••••••• Investments LLC
    Entity owners
    • H••••••••• I••••••••• L•• · Managing Member
      direct · owns 75% or more
    • H• H•••••••• L•• · Member
      indirect · owns 25% to 50% of H••••••••• I••••••••• L••
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 795 to 821
      Jun 29, 2020 to Mar 29, 2021
    • HNW clients · 77 to 87
      Jun 29, 2020 to Mar 29, 2021
    • Individual clients · 289 to 274
      Jun 29, 2020 to Mar 29, 2021
    • Assets in custody · $572,632 to $625,583
      Jun 29, 2020 to Mar 29, 2021
    • Discretionary RAUM · $169M to $209M
      Jun 29, 2020 to Mar 29, 2021
    • HNW RAUM · $108M to $146M
      Jun 29, 2020 to Mar 29, 2021
    • Individual RAUM · $71.8M to $78.0M
      Jun 29, 2020 to Mar 29, 2021
    • Non-discretionary RAUM · $12.5M to $16.4M
      Jun 29, 2020 to Mar 29, 2021
    • Pension RAUM · $55,712 to $94,504
      Jun 29, 2020 to Mar 29, 2021
    • RAUM · $182M to $225M
      Jun 29, 2020 to Mar 29, 2021
    • Accounts · 762 to 795
      Jan 9, 2020 to Mar 24, 2020
    • Advisory activities · 2 to 1
      Jan 9, 2020 to Mar 24, 2020
    • HNW clients · 58 to 77
      Jan 9, 2020 to Mar 24, 2020
    • Individual clients · 291 to 289
      Jan 9, 2020 to Mar 24, 2020
    • Assets in custody · $572,460 to $572,632
      Jan 9, 2020 to Mar 24, 2020
    • Custody of client assets · true to false
      Jan 9, 2020 to Mar 24, 2020
    • Discretionary RAUM · $161M to $169M
      Jan 9, 2020 to Mar 24, 2020
    • HNW RAUM · $93.2M to $108M
      Jan 9, 2020 to Mar 24, 2020
    • Individual RAUM · $79.5M to $71.8M
      Jan 9, 2020 to Mar 24, 2020
    • Non-discretionary RAUM · $13.0M to $12.5M
      Jan 9, 2020 to Mar 24, 2020
    • Pension RAUM · $33,424 to $55,712
      Jan 9, 2020 to Mar 24, 2020
    • RAUM · $174M to $182M
      Jan 9, 2020 to Mar 24, 2020
    • Accounts · 705 to 762
      Mar 22, 2018 to Mar 27, 2019
    • HNW clients · 50 to 58
      Mar 22, 2018 to Mar 27, 2019
    • Individual clients · 298 to 291
      Mar 22, 2018 to Mar 27, 2019
    • Assets in custody · $450,000 to $572,460
      Mar 22, 2018 to Mar 27, 2019
    • Discretionary RAUM · $153M to $161M
      Mar 22, 2018 to Mar 27, 2019
    • HNW RAUM · $77.2M to $93.2M
      Mar 22, 2018 to Mar 27, 2019
    • Individual RAUM · $85.7M to $79.5M
      Mar 22, 2018 to Mar 27, 2019
    • Non-discretionary RAUM · $17.3M to $13.0M
      Mar 22, 2018 to Mar 27, 2019
    • Pension RAUM · $5.9M to $33,424
      Mar 22, 2018 to Mar 27, 2019
    • RAUM · $170M to $174M
      Mar 22, 2018 to Mar 27, 2019
    • Accounts · 677 to 705
      Mar 17, 2017 to Mar 22, 2018
    • HNW clients · unset to 50.0
      Mar 17, 2017 to Mar 22, 2018
    • Individual clients · unset to 298.0
      Mar 17, 2017 to Mar 22, 2018
    • Assets in custody · unset to 450000.0
      Mar 17, 2017 to Mar 22, 2018
    • Custody of client assets · false to true
      Mar 17, 2017 to Mar 22, 2018
    • Other offices · unset to 0.0
      Mar 17, 2017 to Mar 22, 2018
    • Discretionary RAUM · $125M to $153M
      Mar 17, 2017 to Mar 22, 2018
    • HNW RAUM · unset to 77210566.0
      Mar 17, 2017 to Mar 22, 2018
    Signals
    1 dated events
    • B••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Aug 29, 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