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

S•••••

Former SEC-registered adviserChicago, IllinoisCRD 277164SEC 801-119001IAPD
Legal name H•••••• A•••••••• L••
Latest filing Nov 28, 2022
First filing on the tape Jun 1, 2020 · 6 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 31, 2022
Mar 26, 20213 then
Employees (5.A)5 as of Mar 31, 2022
Mar 26, 20215 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Nov 28, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
2,500derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+67%derived
Compensation
fixed feesreportedItem 5.E
Advisory activities
financial planningreportedItem 5.G
Financial planning clients
10,000reportedItem 5.H
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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
10,000reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
10,000reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••• J•••••• E••••••• · Manager, Chief Executive Officer, And Chief Compliance Officercontrol
      since 10/2019 · owns 75% or more
    • C•••••• J••• · Managercontrol
      since 12/2016 · owns F of W••• L••• V••••••• M••••••••• L••
    • E••••• K••••••• C••••••••• · Managercontrol
      since 12/2016 · owns F of W••• L••• V••••••• M••••••••• L••
    • H••••••• J•••••• E••••••• · Ceo; Stockholder (Common Stock)control
      since 07/2018 · owns 75% or more of H•••••• F••••••••
    Entity owners
    • H•••••• F•••••••• · Member
      direct · owns 75% or more
    • W••• L••• V••••••• L•• · Stockholder (Preferred Stock)
      indirect · owns 50% to 75% of H•••••• F••••••••
    • W••• L••• V••••••• M••••••••• L•• · Manager
      indirect · owns F of W••• L••• V••••••• 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
    • Advisory employees · 3 to 4
      Mar 26, 2021 to Mar 31, 2022
    • Business name · H•••••• F•••••••• to S•••••
      Mar 26, 2021 to Mar 31, 2022
    • Individual clients · 6,000 to 10,000
      Mar 26, 2021 to Mar 31, 2022
    • State-registered IARs · 3 to 4
      Mar 26, 2021 to Mar 31, 2022
    • Advisory employees · 2 to 3
      Jul 9, 2020 to Mar 26, 2021
    • Individual clients · 4,000 to 6,000
      Jul 9, 2020 to Mar 26, 2021
    • Employees · 6 to 5
      Jul 9, 2020 to Mar 26, 2021
    • State-registered IARs · 2 to 3
      Jul 9, 2020 to Mar 26, 2021
    • Legal name · H•••••• F••••••••, INC. to H•••••• A•••••••• L••
      Jun 27, 2020 to Jul 9, 2020
    • Succession · true to false
      Jun 27, 2020 to Jul 9, 2020
    • Organization form · Corporation to Limited Liability Company
      Jun 1, 2020 to Jun 27, 2020
    • Succession · false to true
      Jun 1, 2020 to Jun 27, 2020
    Signals
    4 dated events
    • C•••• L••••• O•••• left Spring for Mariner (registered 2023-03-29)
      Mar 30, 2023 · Advisor changed firm · fact
    • H••••••• W•••••• S••••••• left Spring for Retirable (registered 2022-01-25)
      Nov 16, 2022 · Advisor changed firm · fact
    • H•••••• F•••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jun 27, 2020 · Succession (Item 4) · fact
    • H•••••• F•••••••• filed its initial SEC registration (Form ADV)
      Jun 1, 2020 · 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