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 adviserCRD 175076SEC 801-108817IAPD
Latest filing May 24, 2018
First filing on the tape Dec 7, 2016 · 4 filings
RAUM
$100M
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$100M as of May 24, 2018
May 8, 2017$100M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 24, 2018
Dec 7, 20160 then
Employees (5.A)1 as of May 24, 2018
Dec 7, 20162 then
Private funds1 as of May 24, 2018
Dec 7, 20161 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 24, 2018; 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
$100MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$100M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••••••• I••••••••• F•••• L•Private Equity Fund$00Dec 7, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • H••••• S••••• G••• · Elected Manager, Member, Chief Compliance Officercontrol
        since 09/2016 · owns 75% or more
      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
      • Corporate clients · unset to 1.0
        May 8, 2017 to May 24, 2018
      • Employees · 2 to 1
        May 8, 2017 to May 24, 2018
      • Other offices · unset to 0.0
        May 8, 2017 to May 24, 2018
      • Discretionary RAUM · $100M to $0
        May 8, 2017 to May 24, 2018
      • Non-discretionary RAUM · $0 to $100M
        May 8, 2017 to May 24, 2018
      • Accounts · unset to 1.0
        Jan 3, 2017 to May 8, 2017
      • Discretionary RAUM · unset to 100000000.0
        Jan 3, 2017 to May 8, 2017
      • Non-discretionary RAUM · unset to 0.0
        Jan 3, 2017 to May 8, 2017
      • RAUM · unset to 100000000.0
        Jan 3, 2017 to May 8, 2017
      Signals
      1 dated events
      • H••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 7, 2016 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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