DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
H••••• H••••• C•••••• M••••••••• L•••
Latest filing Jul 13, 2026
First filing on the tape Jun 17, 2019 · 12 filings
SEC status approved since Sep 12, 2019
RAUM
$2.2B
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
32
32 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$2.2B as of Jul 13, 2026
Mar 29, 2020$264M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 13, 2026
Mar 29, 20200 then
Employees (5.A)32 as of Jul 13, 2026
Mar 29, 202012 then
Private funds9 as of Jul 13, 2026
Mar 29, 20202 then
RAUM +4.5% over the last fiscal year+43% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 13, 2026; 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
- $249MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.0%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 vehiclesreportedItem 5.G
- Custody
- $2.2B, 9 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.2B for 9 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• H••••• C•••••• P••••••• I•••• L••• | Private Equity Fund | $403M | 22 | Mar 18, 2022 |
| H••••• H••••• C•••••• P••••••• I•• L••• | Private Equity Fund | $325M | 59 | Mar 18, 2022 |
| H••••• H••••• C•••••• P••••••• I••• L••• | Private Equity Fund | $161M | 12 | Mar 24, 2017 |
| H••••• H••••• C•••••• P••••••• I• L••• | Private Equity Fund | $117M | 49 | Mar 24, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B••••• D••••• A•••• · Partnercontrolsince 01/2017 · owns 25% to 50%
- C••••• J•••• B••• · Partnercontrolsince 01/2017 · owns 25% to 50%
- J••• A•••••• G••• · Partnercontrolsince 07/2021 · owns 10% to 25%
- P••••••• C••••••••• F•••• · Partnercontrolsince 01/2017 · owns 25% to 50%
- T••••• T••••••• A••• · Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- B••••• D••••• A•••• · Partnercontrolsince 01/2017 · owns 25% to 50% of H••••• H••••• A•••••••• L••
- C••••• J•••• B••• · Partnercontrolsince 01/2017 · owns 25% to 50% of H••••• H••••• A•••••••• L••
- P••••••• C••••••••• F•••• · Partnercontrolsince 01/2017 · owns 25% to 50% of H••••• H••••• A•••••••• L••
Entity owners
- H••••• H••••• A•••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- H••••• H••••• C•••••• P••••••• G• I• L•••pooled vehicle sponsorn
- H••••• H••••• C•••••• P••••••• G• I•• L•••pooled vehicle sponsorn
- H••••• H••••• C•••••• P••••••• G• I••• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 9Mar 25, 2026 to Jul 13, 2026
- Pooled vehicle clients · 7 to 9Mar 25, 2026 to Jul 13, 2026
- Assets in custody · $2.2B to $2.2BMar 25, 2026 to Jul 13, 2026
- Private funds · 7 to 9Mar 25, 2026 to Jul 13, 2026
- Discretionary RAUM · $2.2B to $2.2BMar 25, 2026 to Jul 13, 2026
- Pooled vehicle RAUM · $2.2B to $2.2BMar 25, 2026 to Jul 13, 2026
- RAUM · $2.2B to $2.2BMar 25, 2026 to Jul 13, 2026
- Accounts · 6 to 7Mar 26, 2025 to Mar 25, 2026
- Advisory employees · 27 to 32Mar 26, 2025 to Mar 25, 2026
- Pooled vehicle clients · 6 to 7Mar 26, 2025 to Mar 25, 2026
- Assets in custody · $2.1B to $2.2BMar 26, 2025 to Mar 25, 2026
- Employees · 27 to 32Mar 26, 2025 to Mar 25, 2026
- Private funds · 6 to 7Mar 26, 2025 to Mar 25, 2026
- Discretionary RAUM · $2.1B to $2.2BMar 26, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $2.1B to $2.2BMar 26, 2025 to Mar 25, 2026
- RAUM · $2.1B to $2.2BMar 26, 2025 to Mar 25, 2026
- Accounts · 4 to 6Sep 4, 2024 to Mar 26, 2025
- Advisory employees · 24 to 27Sep 4, 2024 to Mar 26, 2025
- Pooled vehicle clients · 4 to 6Sep 4, 2024 to Mar 26, 2025
- Assets in custody · $1.0B to $2.1BSep 4, 2024 to Mar 26, 2025
- Employees · 24 to 27Sep 4, 2024 to Mar 26, 2025
- Financial planning clients · unset to Sep 4, 2024 to Mar 26, 2025
- Private funds · 4 to 6Sep 4, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.0B to $2.1BSep 4, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $1.0B to $2.1BSep 4, 2024 to Mar 26, 2025
- RAUM · $1.0B to $2.1BSep 4, 2024 to Mar 26, 2025
- Advisory employees · 21 to 24Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $768M to $1.0BMar 29, 2023 to Mar 28, 2024
- Employees · 21 to 24Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $768M to $1.0BMar 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $768M to $1.0BMar 29, 2023 to Mar 28, 2024
- RAUM · $768M to $1.0BMar 29, 2023 to Mar 28, 2024
- Advisory employees · 16 to 21Mar 18, 2022 to Mar 29, 2023
- Assets in custody · $620M to $768MMar 18, 2022 to Mar 29, 2023
- Employees · 16 to 21Mar 18, 2022 to Mar 29, 2023
- Discretionary RAUM · $620M to $768MMar 18, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $620M to $768MMar 18, 2022 to Mar 29, 2023
- RAUM · $620M to $768MMar 18, 2022 to Mar 29, 2023
- Accounts · 2 to 4Mar 23, 2021 to Mar 18, 2022
- Advisory employees · 11 to 16Mar 23, 2021 to Mar 18, 2022
Signals
5 dated events
- H••••• H••••• C•••••• M••••••••• L••• reported RAUM $2.1B, up 114% from $1.0B (2024-09-04 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- H••••• H••••• C•••••• M••••••••• L••• reported RAUM $1.0B, up 31% from $767.5M (2023-03-29 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- H••••• H••••• C•••••• M••••••••• L••• reported RAUM $620.3M, up 85% from $334.6M (2021-03-23 to 2022-03-18)Mar 18, 2022 · RAUM change · derived
- Gary Andrew Joy (Partner) appeared on Schedule A of H••••• H••••• C•••••• M••••••••• L•••Mar 18, 2022 · Control person joined · fact
- H••••• H••••• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Jun 17, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••• H••••• C•••••• M••••••••• L••• · Independent Sponsorsshared crd · capital_provider
- H••••• H••••• C•••••• M••••••••• L••• · Private Equityshared crd · organization
- H••••• H••••• C•••••• M••••••••• L••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- w••.h••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (954) 400-1140reportedpublic record, Form ADV, Jul 13, 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
- Asset manager (funds and pooled vehicles)deriveda 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