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••••• F••••••••

Former SEC-registered adviserNew York, New YorkCRD 282081SEC 801-107123IAPD
Legal name H••••• I••••••••• U• L••
Latest filing Mar 31, 2022
First filing on the tape Jan 4, 2016 · 9 filings
RAUM
$227M
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
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
14
$227M gross assets
History
9 filings and snapshots on the tape
RAUM$227M as of Mar 31, 2022
Feb 10, 2017$24.5M then
HNW client RAUM$6.8M as of Mar 30, 2020
Mar 29, 2019$5.8M then
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Feb 10, 20170 then
Employees (5.A)3 as of Mar 31, 2022
Feb 10, 201760 then
Private funds14 as of Mar 31, 2022
Feb 10, 20171 then
RAUM +45% over the last fiscal year+239% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; 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
$18.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+45%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$227M, 12 clientsreportedItem 9.A
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
  • Pooled investment vehicles$227M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$227M for 12 clientsreported
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
      15 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••• G••••• L••• S••••••••• F••• S•Other Private Fund$67.4M248Jul 31, 2020
      H••••• G••••• S••••••••• F••• S••no longer reportedHedge Fund$44.5M38Feb 10, 2017
      H••••• C••••••• L••• S••••••••• F•••Other Private Fund$35.8M40Jul 31, 2020
      H••••• O••• F••• S•Other Private Fund$32.5M66Mar 31, 2022
      H••••• P• F••• I• S•Other Private Fund$18.4M45Mar 31, 2022
      H••••• Y• F••• S•Other Private Fund$17.1M1Mar 31, 2022
      H••••• P• F••• I• S•Other Private Fund$16.3M44Mar 31, 2022
      G••• M••• G••••• O••••••••• F••• S•Other Private Fund$15.3M6Jul 31, 2020
      H••••• S•••••• Q••••••••• F••• S•Other Private Fund$6.5M29Mar 31, 2022
      H••••• G••••• P•••••••• F••• S•Other Private Fund$5.2M18Mar 31, 2022
      H••••• L••• S••••••••• O••••••••• F••• S•Other Private Fund$4.3M15Mar 31, 2022
      H••••• F••••• F••• I• S•Other Private Fund$3.6M8Mar 31, 2022
      H••••• I•• O••••••••• F••• S•Other Private Fund$1.7M2Mar 31, 2022
      H••••• G••••• A••••• I••••• F••• S•Other Private Fund$00Mar 31, 2022
      H••••• G••••• A••••••• Q••••••••• F••• S•Other Private Fund$00Jul 31, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• G•••••• G•••••• · Managing Member & Chief Compliance Officercontrol
        since 10/2015 · owns 5% to 10%
      • Y•• C•••••••• N•• · Managing Membercontrol
        since 10/2015 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Zhejiang Province, China1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 12
        Mar 25, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 4 to 12
        Mar 25, 2021 to Mar 31, 2022
      • Assets in custody · unset to 226524898.0
        Mar 25, 2021 to Mar 31, 2022
      • Custody of client assets · false to true
        Mar 25, 2021 to Mar 31, 2022
      • Private funds · 4 to 14
        Mar 25, 2021 to Mar 31, 2022
      • Discretionary RAUM · $156M to $227M
        Mar 25, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $156M to $227M
        Mar 25, 2021 to Mar 31, 2022
      • RAUM · $156M to $227M
        Mar 25, 2021 to Mar 31, 2022
      • Advisory employees · 4 to 3
        Jul 31, 2020 to Mar 25, 2021
      • Employees · 5 to 3
        Jul 31, 2020 to Mar 25, 2021
      • Discretionary RAUM · $185M to $156M
        Jul 31, 2020 to Mar 25, 2021
      • Pooled vehicle RAUM · $185M to $156M
        Jul 31, 2020 to Mar 25, 2021
      • RAUM · $185M to $156M
        Jul 31, 2020 to Mar 25, 2021
      • Accounts · 135 to 4
        Mar 30, 2020 to Jul 31, 2020
      • Advisory employees · 82 to 4
        Mar 30, 2020 to Jul 31, 2020
      • Advisory activities · 4 to 3
        Mar 30, 2020 to Jul 31, 2020
      • HNW clients · 135.0 to unset
        Mar 30, 2020 to Jul 31, 2020
      • Pooled vehicle clients · unset to 4.0
        Mar 30, 2020 to Jul 31, 2020
      • Employees · 126 to 5
        Mar 30, 2020 to Jul 31, 2020
      • Financial planning clients · 101-250 to 0
        Mar 30, 2020 to Jul 31, 2020
      • HQ city · BEIJING to NEW YORK
        Mar 30, 2020 to Jul 31, 2020
      • HQ state · unset to NY
        Mar 30, 2020 to Jul 31, 2020
      • Private funds · unset to 4
        Mar 30, 2020 to Jul 31, 2020
      • Discretionary RAUM · $0 to $185M
        Mar 30, 2020 to Jul 31, 2020
      • HNW RAUM · 6850000.0 to unset
        Mar 30, 2020 to Jul 31, 2020
      • Non-discretionary RAUM · $6.8M to $0
        Mar 30, 2020 to Jul 31, 2020
      • Pooled vehicle RAUM · unset to 185026000.0
        Mar 30, 2020 to Jul 31, 2020
      • RAUM · $6.8M to $185M
        Mar 30, 2020 to Jul 31, 2020
      • Accounts · 120 to 135
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 45 to 82
        Mar 29, 2019 to Mar 30, 2020
      • HNW clients · 120 to 135
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 105 to 126
        Mar 29, 2019 to Mar 30, 2020
      • Financial planning clients · 51-100 to 101-250
        Mar 29, 2019 to Mar 30, 2020
      • Other offices · 4 to 1
        Mar 29, 2019 to Mar 30, 2020
      • HNW RAUM · $5.8M to $6.8M
        Mar 29, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $5.8M to $6.8M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $5.8M to $6.8M
        Mar 29, 2019 to Mar 30, 2020
      • Related adviser · true to false
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 280 to 120
        Mar 24, 2018 to Mar 29, 2019
      • Advisory employees · 12 to 45
        Mar 24, 2018 to Mar 29, 2019
      Signals
      1 dated events
      • H••••• I••••••••• U• L•• filed its initial SEC registration (Form ADV)
        Jan 4, 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.
      How to reach
      public business contact points only, each with its source
      Website
      H•••••.COMreportedpublic record, Form ADV, Sep 18, 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
      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