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

T•• B••••• H••••••• G••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 281986SEC 801-109988IAPD
Latest filing Feb 4, 2019
First filing on the tape May 17, 2016 · 21 filings
RAUM
$4.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$4.4M 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
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$4.4M as of Feb 4, 2019
May 17, 2016$1.4M then
HNW client RAUM$2.4M as of Feb 4, 2019
Jan 2, 2018$1.8M then
State-registered IARs (5.B.3)1 as of Feb 4, 2019
May 17, 20160 then
Employees (5.A)1 as of Feb 4, 2019
May 17, 20161 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 4, 2019; every figure names its basis
RAUM per advisor
$4.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
18derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$242,302derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 individualsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$2.4M54%
  • Individuals$2.0M46%
Individual clients
17reported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
18reported
Financial planning clients
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••• A••••••••• E•••• · Chief Compliance Officercontrol
        since 09/2015 · owns less than 5%
      • P•••••• A••••••••• E•••• · Indirect Ownercontrol
        since 12/2014 · owns 75% or more of B••••• H••••••• H•••••••• I•••
      Entity owners
      • B••••• H••••••• H•••••••• I••• · Direct Owner
        direct · 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
      • Accounts · 17 to 18
        Dec 26, 2018 to Jan 14, 2019
      • Individual clients · 16 to 17
        Dec 26, 2018 to Jan 14, 2019
      • Discretionary RAUM · $3.9M to $4.4M
        Dec 26, 2018 to Jan 14, 2019
      • HNW RAUM · $2.1M to $2.4M
        Dec 26, 2018 to Jan 14, 2019
      • Individual RAUM · $1.8M to $2.0M
        Dec 26, 2018 to Jan 14, 2019
      • RAUM · $3.9M to $4.4M
        Dec 26, 2018 to Jan 14, 2019
      • Accounts · 15 to 17
        May 17, 2018 to Oct 29, 2018
      • Individual clients · 14 to 16
        May 17, 2018 to Oct 29, 2018
      • Discretionary RAUM · $3.5M to $3.9M
        May 17, 2018 to Oct 29, 2018
      • HNW RAUM · $1.8M to $2.1M
        May 17, 2018 to Oct 29, 2018
      • Individual RAUM · $2.0M to $1.8M
        May 17, 2018 to Oct 29, 2018
      • Non-discretionary RAUM · $271,566 to $0
        May 17, 2018 to Oct 29, 2018
      • RAUM · $3.8M to $3.9M
        May 17, 2018 to Oct 29, 2018
      • Accounts · 25 to 15
        Nov 3, 2017 to Jan 2, 2018
      • Advisory employees · 2 to 1
        Nov 3, 2017 to Jan 2, 2018
      • HNW clients · unset to 1.0
        Nov 3, 2017 to Jan 2, 2018
      • Individual clients · 12 to 14
        Nov 3, 2017 to Jan 2, 2018
      • Employees · 2 to 1
        Nov 3, 2017 to Jan 2, 2018
      • State-registered IARs · 2 to 1
        Nov 3, 2017 to Jan 2, 2018
      • Discretionary RAUM · $1.6M to $3.5M
        Nov 3, 2017 to Jan 2, 2018
      • HNW RAUM · unset to 1798516.0
        Nov 3, 2017 to Jan 2, 2018
      • Individual RAUM · $1.4M to $2.0M
        Nov 3, 2017 to Jan 2, 2018
      • Non-discretionary RAUM · $1.2M to $271,566
        Nov 3, 2017 to Jan 2, 2018
      • RAUM · $2.8M to $3.8M
        Nov 3, 2017 to Jan 2, 2018
      • Advisory employees · 1 to 2
        Oct 27, 2017 to Nov 3, 2017
      • Employees · 1 to 2
        Oct 27, 2017 to Nov 3, 2017
      • State-registered IARs · 1 to 2
        Oct 27, 2017 to Nov 3, 2017
      • Individual clients · unset to 12.0
        Sep 29, 2017 to Oct 27, 2017
      • Other offices · unset to 0.0
        Sep 29, 2017 to Oct 27, 2017
      • Individual RAUM · unset to 1399077.0
        Sep 29, 2017 to Oct 27, 2017
      • Accounts · 15 to 25
        May 8, 2017 to Jun 8, 2017
      • Discretionary RAUM · $213,699 to $1.6M
        May 8, 2017 to Jun 8, 2017
      • Non-discretionary RAUM · $1.3M to $1.2M
        May 8, 2017 to Jun 8, 2017
      • RAUM · $1.5M to $2.8M
        May 8, 2017 to Jun 8, 2017
      • HQ city · CHARLESTON to NEW YORK
        Mar 26, 2017 to May 8, 2017
      • HQ state · SC to NY
        Mar 26, 2017 to May 8, 2017
      • HQ city · unset to CHARLESTON
        Feb 7, 2017 to Feb 24, 2017
      • HQ state · unset to SC
        Feb 7, 2017 to Feb 24, 2017
      • Accounts · 8 to 15
        Jun 14, 2016 to Feb 7, 2017
      • Advisory activities · 7 to 1
        Jun 14, 2016 to Feb 7, 2017
      Signals
      1 dated events
      • T•• B••••• H••••••• G••••• I••• filed its initial SEC registration (Form ADV)
        May 17, 2016 · 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