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••••••••• P•••••••• L••

Former SEC-registered adviserElkhart, IndianaCRD 173269SEC 801-80589IAPD
Latest filing May 17, 2017
First filing on the tape Nov 6, 2014 · 7 filings
RAUM
$85.4M
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
7
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$171M gross assets
History
7 filings and snapshots on the tape
RAUM$85.4M as of Mar 29, 2017
Mar 31, 2015$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 29, 2017
Mar 31, 20153 then
Employees (5.A)7 as of Mar 29, 2017
Mar 31, 20156 then
Private funds3 as of Mar 29, 2017
Mar 29, 20163 then
RAUM +8.7% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of May 17, 2017; every figure names its basis
RAUM per advisor
$28.5MderivedRAUM 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
$28.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.7%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 vehiclesreportedItem 5.G
Custody
$85.4M, 3 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)
  • 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 cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$85.4M for 3 clientsreported
Compensation
% of AUM, performancereported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••••••• M••••• F•••• L•••Hedge Fund$85.4M2Mar 29, 2016
      H••••••••• U• F•••• L•Hedge Fund$75.2M20Mar 29, 2016
      H••••••••• O••••••• F•••• L•••Hedge Fund$10.2M5Mar 29, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• F••••• K••••••• · Managing Partnercontrol
        since 10/2014 · owns less than 5%
      • W•••• Y• L••• · Managing Partnercontrol
        since 10/2014 · owns less than 5%
      • M•••••• F••••• K••••••• · Managing Membercontrol
        since 01/2012 · owns 75% or more of M••••• C•••••• M••••••••• L••
      • W•••• Y• L••• · Managing Membercontrol
        since 06/2015 · owns 25% to 50% of P••• L••
      • M•••••• D•••••• A•• · Chief Financial Officer
        since 10/2014 · owns less than 5%
      • R••••••• J••••••• T••• · Chief Operating Officer
        since 01/2016 · owns less than 5%
      Entity owners
      • M••••• C•••••• M••••••••• L•• · Member
        direct · owns 50% to 75%
      • P••• L•• · Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 5
        Jun 10, 2016 to Mar 29, 2017
      • Assets in custody · $78.5M to $85.4M
        Jun 10, 2016 to Mar 29, 2017
      • Employees · 5 to 7
        Jun 10, 2016 to Mar 29, 2017
      • Discretionary RAUM · $78.5M to $85.4M
        Jun 10, 2016 to Mar 29, 2017
      • RAUM · $78.5M to $85.4M
        Jun 10, 2016 to Mar 29, 2017
      • Accounts · 0 to 3
        Mar 31, 2015 to Mar 29, 2016
      • Assets in custody · $0 to $78.5M
        Mar 31, 2015 to Mar 29, 2016
      • Custody of client assets · false to true
        Mar 31, 2015 to Mar 29, 2016
      • Employees · 6 to 5
        Mar 31, 2015 to Mar 29, 2016
      • Private funds · unset to 3
        Mar 31, 2015 to Mar 29, 2016
      • Discretionary RAUM · $0 to $78.5M
        Mar 31, 2015 to Mar 29, 2016
      • RAUM · $0 to $78.5M
        Mar 31, 2015 to Mar 29, 2016
      • Employees · 7 to 6
        Nov 24, 2014 to Mar 31, 2015
      Signals
      1 dated events
      • H••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 6, 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