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•••••• I••••••••• L••

Former SEC-registered adviserDallas, TexasCRD 284658SEC 801-108768IAPD
Latest filing May 23, 2017
First filing on the tape Nov 29, 2016 · 5 filings
RAUM
$7.3M
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
7
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$29.0M gross assets
History
5 filings and snapshots on the tape
RAUM$7.3M as of May 23, 2017
Nov 29, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of May 23, 2017
Nov 29, 20161 then
Employees (5.A)7 as of May 23, 2017
Nov 29, 20167 then
Private funds3 as of May 23, 2017
Nov 29, 20163 then
Practice profile
derived from the filing of May 23, 2017; every figure names its basis
RAUM per advisor
$7.3MderivedRAUM 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
$813,858derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.0derivedItem 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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, pension consultingreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H•••••• I•••••••• F••• I• L••Real Estate Fund$22.0M5Nov 29, 2016
      H•••••• I•••••••• F••• I• L••Real Estate Fund$7.0M5Nov 29, 2016
      H•••••• I•••••••• F••• I•• L••Real Estate Fund$05Nov 29, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• K••••••• W•••••• · Member, Ccocontrol
        since 06/2016 · owns 25% to 50%
      • D••••••• J••• H••••• · Membercontrol
        since 06/2016 · owns 25% to 50%
      • K••••••• B••••• W•••••• · Membercontrol
        since 06/2016 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • B•••• W• K••••••
        investment companyy
      • C•• R••••• A•••••••• L•
        investment advisernRAUM $101M
      • H•••••• I•••••••• M••••••••• I• L••
        pooled vehicle sponsorn
      • H•••••• I•••••••• M••••••••• I•• L••
        pooled vehicle sponsorn
      • H•••••• I•••••••• M••••••••• I••• L••
        pooled vehicle sponsorn
      • K•••••• W• C•••••
        investment companyy
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 9
        Mar 30, 2017 to May 15, 2017
      • Discretionary RAUM · $0 to $7.3M
        Mar 30, 2017 to May 15, 2017
      • RAUM · $0 to $7.3M
        Mar 30, 2017 to May 15, 2017
      • Business name · H•••••• I••••••••• L• to H•••••• I••••••••• L••
        Nov 29, 2016 to Mar 30, 2017
      • Legal name · H•••••• I••••••••• L• to H•••••• I••••••••• L••
        Nov 29, 2016 to Mar 30, 2017
      Signals
      1 dated events
      • H•••••• I••••••••• L• filed its initial SEC registration (Form ADV)
        Nov 29, 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
      Across the graphs

      H•••••• I••••••••• 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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