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••• S••••••••• A•••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 288164SEC 801-110544IAPD
Latest filing Mar 29, 2019
First filing on the tape Apr 28, 2017 · 6 filings
RAUM
$4.1M
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
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$3.0M gross assets
History
6 filings and snapshots on the tape
RAUM$4.1M as of Mar 29, 2019
Mar 23, 2018$5.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 23, 20180 then
Employees (5.A)4 as of Mar 29, 2019
Mar 23, 20184 then
Private funds2 as of Mar 29, 2019
Mar 23, 20182 then
RAUM -20% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$1.4MderivedRAUM 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
-20%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$3.0M, 2 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$3.0M74%
  • Corporations and businesses$1.1M26%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$3.0M for 2 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••••• S••••• S••••••••• A••• F•••• L••Other Private Fund$1.9M10Mar 29, 2012
      H••••••• S••••• T••••••• R••• E••••• S••••••••• F•••• L•••Hedge Fund$1.1M20Apr 28, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• S••••••• M••• · M•••••• & Secretarycontrol
        since 03/2017 · owns less than 5%
      • K••••••• J••••• H••• · M••••••control
        since 03/2017 · owns less than 5%
      • M••••••• C••••••••• N••••• · M•••••• & Presidentcontrol
        since 03/2017 · owns less than 5%
      • M••••••• C••••••••• N••••• · Member M••••••control
        since 09/2005 · owns 25% to 50% of H••••••• S••••• R••• E••••• C••••••• L••
      • M•••••••• J••••• P•••••• · Director Trading & Operations
        since 03/2017 · owns less than 5%
      • N•••••• T••••• R• · Chief Compliance Officer
        since 03/2017 · owns less than 5%
      Entity owners
      • H••••••• S••••• R••• E••••• C••••••• L•• · Direct Owner
        direct · owns 25% to 50%
      • C••••••• I••••••••• G••••• I••• · Indirect Owner
        indirect · owns 75% or more of C••••••• I••••••••• H••••••• ••••• I••• · public reporting company
      • C••••••• I••••••••• H••••••• ••••• I••• · Indirect Owner
        indirect · owns 75% or more of C••••••• I••••••••• M••••••••• H•••••••• L••
      • C••••••• I••••••••• M••••••••• H•••••••• L•• · Indirect Owner
        indirect · owns 75% or more of H••••••• S••••• R••• E••••• C••••••• L••
      Related persons
      Schedule D 7.A
      • C••••••• C•••••• H••••••• L••••••
        broker-dealery
      • C••••••• I••••••••• G•••• I•••
        pooled vehicle sponsory
      • H••••••• S••••• A•••••••• L••
        investment adviserbanknRAUM $20B
      • H••••••• S••••• L•• M••••••• L••
        pooled vehicle sponsorn
      • H••••••• S••••• R••• E••••• C••••••• L••
        pooled vehicle sponsory
      • H•••• G• I• C••••••••• L••
        pooled vehicle sponsorn
      • H••• C••• F••• G• S•••••••
        pooled vehicle sponsorn
      • H••• C••• F••• G•• L••
        pooled vehicle sponsorn
      • H••• E••••••• P••••••• G• I•• L•••
        pooled vehicle sponsorn
      • H••• E••••••• P••••••• G•• L••
        pooled vehicle sponsorn
      • H••• E••••••• S• G• I• L•••
        pooled vehicle sponsorn
      • H••• G• I•• L••
        pooled vehicle sponsorn
      • H••• G• I••• L••
        pooled vehicle sponsorn
      • H••• G• I•• L••
        pooled vehicle sponsorn
      • H••• G• V• L••
        pooled vehicle sponsorn
      • H••• G• V• C••••••••• 2• L••
        pooled vehicle sponsorn
      • H••• G• V• C••••••••• 3• L••
        pooled vehicle sponsorn
      • H••• G• V•• L••
        bankpooled vehicle sponsorn
      • H••• G• V•• C••••••••• L••
        bankpooled vehicle sponsorn
      • H••• G• V••• L••
        pooled vehicle sponsorn
      • H••• S••••• I••••••••• F••• G•• L••
        pooled vehicle sponsorn
      • H••• T••••••• G• I• L••
        pooled vehicle sponsorn
      • H••• U• S• G• I• L••
        pooled vehicle sponsorn
      • H•••• G• I• C••••••••• L••
        pooled vehicle sponsorn
      • H•••• G• V• C••••••••• L••
        pooled vehicle sponsorn
      • H•••• G• V• C••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $3.9M to $3.0M
        Jul 13, 2018 to Mar 29, 2019
      • Discretionary RAUM · $5.0M to $4.1M
        Jul 13, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $3.9M to $3.0M
        Jul 13, 2018 to Mar 29, 2019
      • RAUM · $5.0M to $4.1M
        Jul 13, 2018 to Mar 29, 2019
      • Related bank · false to true
        May 3, 2018 to Jul 12, 2018
      • Related broker-dealer · false to true
        May 3, 2018 to Jul 12, 2018
      • Corporate clients · unset to 1.0
        Apr 28, 2017 to Mar 23, 2018
      • Pooled vehicle clients · unset to 2.0
        Apr 28, 2017 to Mar 23, 2018
      • Assets in custody · $2.5M to $3.9M
        Apr 28, 2017 to Mar 23, 2018
      • Other offices · unset to 1.0
        Apr 28, 2017 to Mar 23, 2018
      • Discretionary RAUM · $33.6M to $5.0M
        Apr 28, 2017 to Mar 23, 2018
      • Pooled vehicle RAUM · unset to 3902332.0
        Apr 28, 2017 to Mar 23, 2018
      • RAUM · $33.6M to $5.0M
        Apr 28, 2017 to Mar 23, 2018
      • Succession · true to false
        Apr 28, 2017 to Mar 23, 2018
      Signals
      2 dated events
      • H••• S••••••••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Apr 28, 2017 · Succession (Item 4) · fact
      • H••• S••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 28, 2017 · 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