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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SEC-registered adviser
H••••••••• C•••••• M••••••••• L••
Latest filing May 15, 2026
First filing on the tape Jun 27, 2022 · 14 filings
SEC status approved since Jul 28, 2022
RAUM
$451M
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
14
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$451M as of May 15, 2026
Mar 7, 2023$495M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 15, 2026
Mar 7, 20230 then
Employees (5.A)14 as of May 15, 2026
Mar 7, 202311 then
Private funds2 as of May 15, 2026
Mar 7, 20232 then
RAUM -11% over the last fiscal year-3.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 15, 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
- $225MderivedRAUM 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
- -11%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
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$451M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=2.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••••••• H••••••••• P••••••• I•• L• | Private Equity Fund | $346M | 55 | Mar 30, 2022 |
| H••••••••• H••••••••• P•••••••• L••• | Private Equity Fund | $155M | 30 | Aug 11, 2017 |
Owners and control persons
Schedule A and B, latest filing
- K•••••• C••••••••• W••••• · Ownercontrolsince 06/2017 · owns 50% to 75%
- C••••••• J••••• R• · Managercontrolsince 12/2018 · owns F of H•• P•••••••• L••
- D••••••• V••••••• J••• · Managercontrolsince 11/2024 · owns F of H•• P•••••••• L••
- H••••• K••••••• A•••• · Member-Managercontrolsince 12/2018 · owns 50% to 75% of H•• P•••••••• L••
- P••••••• R•••• W••••• · Chief Compliance Officersince 10/2023 · owns less than 5%
- S••••••• M•••• D•••• · Partnersince 06/2017 · owns less than 5%
Entity owners
- C•• M••••••••• P•••••••• L•• · Ownerdirect · owns 10% to 25%
- H•• P•••••••• L•• · Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- H••••••••• H••••••••• P••••••• G•• L••pooled vehicle sponsorn
- H••••••••• H••••••••• P••••••• I• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 11 to 9Mar 28, 2025 to Mar 30, 2026
- BD registered reps · 0 to 2Mar 28, 2025 to Mar 30, 2026
- Employees · 13 to 14Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $504M to $451MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $504M to $451MMar 28, 2025 to Mar 30, 2026
- RAUM · $504M to $451MMar 28, 2025 to Mar 30, 2026
- Employees · 12 to 13Nov 19, 2024 to Mar 28, 2025
- Financial planning clients · unset to Nov 19, 2024 to Mar 28, 2025
- Discretionary RAUM · $501M to $504MNov 19, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $501M to $504MNov 19, 2024 to Mar 28, 2025
- RAUM · $501M to $504MNov 19, 2024 to Mar 28, 2025
- Advisory employees · 10 to 11Dec 7, 2023 to Mar 25, 2024
- Employees · 11 to 12Dec 7, 2023 to Mar 25, 2024
- Discretionary RAUM · $495M to $501MDec 7, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $495M to $501MDec 7, 2023 to Mar 25, 2024
- RAUM · $495M to $501MDec 7, 2023 to Mar 25, 2024
- Advisory employees · 8 to 10Jun 29, 2022 to Mar 7, 2023
- Employees · 9 to 11Jun 29, 2022 to Mar 7, 2023
- Discretionary RAUM · $525M to $495MJun 29, 2022 to Mar 7, 2023
- Pooled vehicle RAUM · $525M to $495MJun 29, 2022 to Mar 7, 2023
- RAUM · $525M to $495MJun 29, 2022 to Mar 7, 2023
- Private funds · 4 to 2Jun 27, 2022 to Jun 29, 2022
Signals
5 dated events
- J Rick O'Brien (Manager) no longer on Schedule A of H••••••••• C•••••• M••••••••• L•• (listed 2024-07-11, absent 2024-11-19)Nov 19, 2024 · Control person left · inference
- J••• V•••••• D•••••• (Manager) appeared on Schedule A of H••••••••• C•••••• M••••••••• L••Nov 19, 2024 · Control person joined · fact
- Rick O'Brien (Manager) appeared on Schedule A of H••••••••• C•••••• M••••••••• L••Jun 18, 2024 · Control person joined · fact
- R James Chappel (Manager) appeared on Schedule A of H••••••••• C•••••• M••••••••• L••Jun 18, 2024 · Control person joined · fact
- H••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 27, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- H••••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
- H••••••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-420-3492reportedpublic record, Form ADV, May 15, 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