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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SEC-registered adviser
H•••••••• S••••••••• ••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 13, 2015 · 19 filings
SEC status approved since Feb 9, 2016
RAUM
$276M
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
15
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$276M as of Mar 30, 2026
May 1, 2017$35.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
May 1, 20170 then
Employees (5.A)15 as of Mar 30, 2026
May 1, 20171 then
Private funds1 as of Mar 30, 2026
Mar 27, 20191 then
RAUM +17% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $69.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $128M, 1 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
- 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$128M46%
- Other investment advisers$102M37%
- Pension and profit-sharing plans$29.3M11%
- Charitable organizations$16.3M5.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $128M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.83 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••••• G••••• R••• E••••• C••• F•••• L••• | Real Estate Fund | $77.2M | 9 | Mar 27, 2019 |
Owners and control persons
Schedule A and B, latest filing
- F••••••••• T••••••• J•••• · Chief Compliance Officercontrolsince 08/2018 · owns less than 5%
- R••••• C••••••• R•••••• · Managing Partner & Head Of Global S•••••••••controlsince 09/2017 · owns less than 5%
- S•••• S•••••• J••••• · Managing Partner , Portfolio Managercontrolsince 01/2015 · owns less than 5%
- B•••••••• U••• •••• · Shareholdercontrolsince 04/2021 · owns 75% or more of C••••••• L••• ••••••••
Entity owners
- H•••••••• I••••••••• I••• · Managing Memberdirect · owns 75% or more
- C••••••• L••• •••••••• · Shareholderindirect · owns 75% or more of T•• L••• I••• ••••••••
- R•• M••••••••• I••• •••••••• · Shareholderindirect · owns 25% to 50% of H•••••••• I••••••••• I•••
- T•• L••• I••• •••••••• · Shareholderindirect · owns 50% to 75% of H•••••••• I••••••••• I•••
Related persons
Schedule D 7.A
- H•••••••• I••••••••• I•••y
- H•••••••• S••••••••• I•••investment adviserpooled vehicle sponsornRAUM $943M
Advisers that list H•••••••• S••••••••• ••• L•• as a related person
- 293469 n
Offices
Schedule D 1.F, the 25 largest
- Toronto, O••••••, Canada1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 30, 2026institutional share of RAUM of 17% against a peer median of 0% (1568 comparable advisers, 98.0th percentile, 5.6 robust deviations)peers: asset managers, $100M to $500M (1,568) · 98% percentile
What changed
consecutive filings, newest first
- Assets in custody · $102M to $128MMar 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $237M to $276MMar 25, 2025 to Mar 30, 2026
- Pension RAUM · $27.1M to $29.3MMar 25, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $102M to $128MMar 25, 2025 to Mar 30, 2026
- RAUM · $237M to $276MMar 25, 2025 to Mar 30, 2026
- Advisory employees · 8 to 9Mar 29, 2024 to Mar 25, 2025
- Charity clients · unset to 1.0Mar 29, 2024 to Mar 25, 2025
- Pension plan clients · unset to 1.0Mar 29, 2024 to Mar 25, 2025
- Assets in custody · $77.2M to $102MMar 29, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 25, 2025
- Discretionary RAUM · $192M to $237MMar 29, 2024 to Mar 25, 2025
- Pension RAUM · $26.2M to $27.1MMar 29, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $77.2M to $102MMar 29, 2024 to Mar 25, 2025
- RAUM · $192M to $237MMar 29, 2024 to Mar 25, 2025
- Charity clients · 1.0 to unsetMar 28, 2023 to Mar 29, 2024
- Pension plan clients · 1.0 to unsetMar 28, 2023 to Mar 29, 2024
- Assets in custody · $66.2M to $77.2MMar 28, 2023 to Mar 29, 2024
- Employees · 14 to 15Mar 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $169M to $192MMar 28, 2023 to Mar 29, 2024
- Pension RAUM · $20.1M to $26.2MMar 28, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $66.3M to $77.2MMar 28, 2023 to Mar 29, 2024
- RAUM · $169M to $192MMar 28, 2023 to Mar 29, 2024
- Advisory employees · 7 to 8Mar 18, 2022 to Mar 28, 2023
- Charity clients · unset to 1.0Mar 18, 2022 to Mar 28, 2023
- Pension plan clients · unset to 1.0Mar 18, 2022 to Mar 28, 2023
- Assets in custody · $70.9M to $66.2MMar 18, 2022 to Mar 28, 2023
- Employees · 13 to 14Mar 18, 2022 to Mar 28, 2023
- Discretionary RAUM · $171M to $169MMar 18, 2022 to Mar 28, 2023
- Pension RAUM · $18.0M to $20.1MMar 18, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $70.9M to $66.3MMar 18, 2022 to Mar 28, 2023
- RAUM · $171M to $169MMar 18, 2022 to Mar 28, 2023
- Accounts · 3 to 4Mar 26, 2021 to Mar 18, 2022
- Assets in custody · $40.3M to $70.9MMar 26, 2021 to Mar 18, 2022
- Discretionary RAUM · $106M to $171MMar 26, 2021 to Mar 18, 2022
- Pension RAUM · unset to 17968707.0Mar 26, 2021 to Mar 18, 2022
- Pooled vehicle RAUM · $40.3M to $70.9MMar 26, 2021 to Mar 18, 2022
- RAUM · $106M to $171MMar 26, 2021 to Mar 18, 2022
- Accounts · 4 to 3Nov 11, 2020 to Mar 26, 2021
- Business name · T••••••••• I••••••••• M••••••••• ••••• L•• to H•••••••• S••••••••• ••• L••Nov 11, 2020 to Mar 26, 2021
- Charity clients · 1.0 to unsetNov 11, 2020 to Mar 26, 2021
Signals
2 dated events
- Blair Robert Tamblyn (Shareholder) no longer on Schedule A of H•••••••• S••••••••• ••• L•• (listed 2019-03-27, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- T••••••••• A•••• M••••••••• ••••• L•• filed its initial SEC registration (Form ADV)Feb 13, 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.
How to reach
public business contact points only, each with its source
- Website
- H••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917-439-9192reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda 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•••••••• S••••••••• ••• L•• 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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