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••••
Legal name H••••••• G•••• A•••••••• L••
Latest filing Apr 25, 2024
First filing on the tape Feb 14, 2015 · 37 filings
RAUM
$2.8B
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
2.2%
$62.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
8
$162M gross assets
History
37 filings and snapshots on the tape
RAUM$2.8B as of Mar 14, 2024
Mar 14, 2016$254M then
HNW client RAUM$62.0M as of Mar 14, 2024
Mar 21, 2018$3.5M then
State-registered IARs (5.B.3)1 as of Mar 14, 2024
Mar 14, 20160 then
Employees (5.A)7 as of Mar 14, 2024
Mar 14, 20164 then
Private funds6 as of Mar 14, 2024
Mar 14, 20162 then
RAUM +361% over the last fiscal year+63% a year over threeIARs 1 to 1offices 2 to 1
Practice profile
derived from the filing of Apr 25, 2024; every figure names its basis
- RAUM per advisor
- $2.8BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.4MderivedHNW RAUM over HNW clients
- Average account
- $123MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 51%derivedof RAUM
- Institutional
- 39%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +360%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$1.4B51%
- Charitable organizations$1.1B39%
- Pooled investment vehicles$210M7.4%
- High-net-worth individuals$62.0M2.2%
- Insurance companies$17.6M0.6%
- Individual clients
- n/areported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 23reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
- J••••• R•••••• J••••• to A•••• C••••••• L••Aug 27, 2024 · Other
Joined, latest
- J••••• R•••••• J••••• from O••••••••• • C•• I•••Aug 25, 2015 · Other
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••••• T•••• F•••••• F•••• L• | Other Private Fund | $18.8M | 56 | Mar 28, 2019 |
| H••••••• E••••• O••••••••• F•••• L•no longer reported | Hedge Fund | $12.6M | 2 | Mar 14, 2016 |
| H••••••• C••••• H••••••• F•••• L• | Hedge Fund | $10.0M | 2 | Mar 28, 2017 |
| H••••••• O••••••••• F••• ••••••••• L•••no longer reported | Other Private Fund | $9.4M | 6 | Mar 26, 2021 |
| H••••••• C••••• O••••••••• F•••• L• | Hedge Fund | $7.7M | 2 | Mar 14, 2016 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• B••••• M•••••• · Partnercontrolsince 10/2014 · owns less than 5%
- J••••• D••••• P••••••••• · Partnercontrolsince 10/2014 · owns less than 5%
- J•••••• J•••••• R•••••• · Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
- A••••••••• B••••• M•••••• · Limited Partnercontrolsince 10/2014 · owns 25% to 50% of H••••••• G•••• G• L••
- J••••• D••••• P••••••••• · Limited Partnercontrolsince 10/2014 · owns 25% to 50% of H••••••• G•••• H••••••• L•
Entity owners
- H••••••• G•••• H••••••• L• · Managing Memberdirect · owns 75% or more
- H••••••• G•••• G• L•• · General Partnerindirect · owns F of H••••••• G•••• H••••••• L•
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Private funds · 6 to 8Mar 14, 2024 to Apr 16, 2024
- Discretionary RAUM · $1.4B to $1.4BMar 14, 2024 to Apr 16, 2024
- Pooled vehicle RAUM · $206M to $210MMar 14, 2024 to Apr 16, 2024
- RAUM · $2.8B to $2.8BMar 14, 2024 to Apr 16, 2024
- Accounts · 27 to 23May 8, 2023 to Mar 14, 2024
- Charity clients · 1 to 2May 8, 2023 to Mar 14, 2024
- HNW clients · 11 to 5May 8, 2023 to Mar 14, 2024
- Assets in custody · $221M to $4.7MMay 8, 2023 to Mar 14, 2024
- Other offices · 2 to 1May 8, 2023 to Mar 14, 2024
- Discretionary RAUM · $315M to $1.4BMay 8, 2023 to Mar 14, 2024
- HNW RAUM · $321M to $62.0MMay 8, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $299M to $1.4BMay 8, 2023 to Mar 14, 2024
- Pooled vehicle RAUM · $221M to $206MMay 8, 2023 to Mar 14, 2024
- RAUM · $614M to $2.8BMay 8, 2023 to Mar 14, 2024
- Accounts · 25 to 27Mar 16, 2022 to Mar 14, 2023
- HNW clients · 12 to 11Mar 16, 2022 to Mar 14, 2023
- Pooled vehicle clients · 8 to 11Mar 16, 2022 to Mar 14, 2023
- Assets in custody · $145M to $221MMar 16, 2022 to Mar 14, 2023
- Employees · 8 to 7Mar 16, 2022 to Mar 14, 2023
- Private funds · 4 to 6Mar 16, 2022 to Mar 14, 2023
- Discretionary RAUM · $350M to $315MMar 16, 2022 to Mar 14, 2023
- HNW RAUM · $321M to $321MMar 16, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $299M to $299MMar 16, 2022 to Mar 14, 2023
- Pooled vehicle RAUM · $191M to $221MMar 16, 2022 to Mar 14, 2023
- RAUM · $650M to $614MMar 16, 2022 to Mar 14, 2023
- Accounts · 27 to 25Aug 19, 2021 to Mar 16, 2022
- HNW clients · 13 to 12Aug 19, 2021 to Mar 16, 2022
- Pooled vehicle clients · 9 to 8Aug 19, 2021 to Mar 16, 2022
- Assets in custody · $209M to $145MAug 19, 2021 to Mar 16, 2022
- Discretionary RAUM · $356M to $350MAug 19, 2021 to Mar 16, 2022
- HNW RAUM · $309M to $321MAug 19, 2021 to Mar 16, 2022
- Non-discretionary RAUM · $299M to $299MAug 19, 2021 to Mar 16, 2022
- Pooled vehicle RAUM · $209M to $191MAug 19, 2021 to Mar 16, 2022
- RAUM · $655M to $650MAug 19, 2021 to Mar 16, 2022
- Accounts · 24 to 27Dec 22, 2020 to Mar 26, 2021
- HNW clients · 12 to 13Dec 22, 2020 to Mar 26, 2021
- Assets in custody · $177M to $209MDec 22, 2020 to Mar 26, 2021
- Private funds · 5 to 4Dec 22, 2020 to Mar 26, 2021
- Discretionary RAUM · $256M to $356MDec 22, 2020 to Mar 26, 2021
- HNW RAUM · $321M to $309MDec 22, 2020 to Mar 26, 2021
Signals
5 dated events
- J••••• R•••••• J••••• left H••••••• G•••• for A•••• C••••••• L•• (registered 2025-01-21)Aug 27, 2024 · Advisor changed firm · fact
- H••••••• G•••• reported RAUM $2.8B, up 360% from $613.8M (2023-05-08 to 2024-03-14)Mar 14, 2024 · RAUM change · derived
- H••••••• G•••• reported RAUM $632.6M, up 54% from $411.7M (2018-09-04 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- H••••••• G•••• reported RAUM $411.7M, up 82% from $225.6M (2018-05-03 to 2018-06-26)Jun 26, 2018 · RAUM change · derived
- H••••••• G••••• L•• filed its initial SEC registration (Form ADV)Feb 14, 2015 · 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
Across the graphs
H••••••• G•••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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