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••••• A•••• M••••••••• •••• L•••
Latest filing Aug 3, 2026
First filing on the tape Jun 1, 2017 · 26 filings
SEC status approved since Jul 3, 2017
RAUM
$4.0B
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
22
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$4.0B as of Aug 3, 2026
Mar 28, 2018$566M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 3, 2026
Mar 28, 20180 then
Employees (5.A)22 as of Aug 3, 2026
Mar 28, 20185 then
Private funds2 as of Aug 3, 2026
Mar 19, 20241 then
RAUM +91% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $999MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 86%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
- +91%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
- $110M, 1 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
- Insurance companies$3.4B86%
- Pooled investment vehicles$343M8.6%
- Banks and thrifts$221M5.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $110M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.09 institutional_share=0.86 related_bd=true 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• N••• G••••••••• O••••••••• F••• I• L• | Venture Capital Fund | $210M | 2 | Jan 2, 2024 |
Owners and control persons
Schedule A and B, latest filing
- I•• D••• J••• N•• · Chief Executive Officer / Chief Investment Officercontrolsince 03/2022 · owns less than 5%
- J•••• Y•••••• N•• · Chief Operating Officer / Chief Financial Officercontrolsince 08/2022 · owns less than 5%
- L••• M•••••• N•• · G•••••• Counsel / Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
Entity owners
- H••••• A•••• M••••••••• C•• L••• · Direct Ownerdirect · owns 75% or more
- H••••• L••• I•••••••• C•• L••• · Direct Ownerindirect · owns 75% or more of H••••• A•••• M••••••••• C•• L•••
Related persons
Schedule D 7.A
- H••••• A•••• M••••••••• C••• L•••investment advisery
- H••••• G•••••• I•••••••• C••• L•••real estaten
- H••••• L••• I•••••••• C••• L•••real estatey
- H••••• U•• P••••••• I• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Apr 30, 2026RAUM (Item 5.F) moved from $2,088,086,232 to $3,995,640,574 (+91.0%) between the annual amendments of 2025-03-21 and 2026-04-30; the peer median change was +15.0% (105 comparable advisers, 98.0th percentile of changes)peers: institutional managers, $1B to $5B (105) · 98% percentile
What changed
consecutive filings, newest first
- Private funds · 1 to 2Apr 30, 2026 to Aug 3, 2026
- Assets in custody · $118M to $110MMar 19, 2026 to Apr 30, 2026
- Accounts · 3 to 4Jan 15, 2026 to Mar 19, 2026
- Pooled vehicle clients · 1 to 2Jan 15, 2026 to Mar 19, 2026
- Assets in custody · $53.8M to $118MJan 15, 2026 to Mar 19, 2026
- Employees · 18 to 22Jan 15, 2026 to Mar 19, 2026
- Discretionary RAUM · $2.1B to $4.0BJan 15, 2026 to Mar 19, 2026
- Pooled vehicle RAUM · $210M to $343MJan 15, 2026 to Mar 19, 2026
- RAUM · $2.1B to $4.0BJan 15, 2026 to Mar 19, 2026
- Accounts · 2 to 3Apr 11, 2024 to Mar 21, 2025
- Advisory employees · 13 to 15Apr 11, 2024 to Mar 21, 2025
- Advisory activities · 3 to 2Apr 11, 2024 to Mar 21, 2025
- Assets in custody · $5.0M to $53.8MApr 11, 2024 to Mar 21, 2025
- Employees · 16 to 18Apr 11, 2024 to Mar 21, 2025
- Financial planning clients · unset to Apr 11, 2024 to Mar 21, 2025
- Discretionary RAUM · $2.3B to $2.1BApr 11, 2024 to Mar 21, 2025
- RAUM · $2.3B to $2.1BApr 11, 2024 to Mar 21, 2025
- Accounts · 3 to 2Jan 2, 2024 to Mar 19, 2024
- Advisory employees · 14 to 13Jan 2, 2024 to Mar 19, 2024
- Employees · 17 to 16Jan 2, 2024 to Mar 19, 2024
- Discretionary RAUM · $2.3B to $2.3BJan 2, 2024 to Mar 19, 2024
- RAUM · $2.3B to $2.3BJan 2, 2024 to Mar 19, 2024
- Accounts · 8 to 3Mar 30, 2023 to Jan 2, 2024
- Advisory employees · 7 to 14Mar 30, 2023 to Jan 2, 2024
- Advisory activities · 1 to 3Mar 30, 2023 to Jan 2, 2024
- Pooled vehicle clients · unset to 1.0Mar 30, 2023 to Jan 2, 2024
- Assets in custody · unset to 4999990.0Mar 30, 2023 to Jan 2, 2024
- Custody of client assets · false to trueMar 30, 2023 to Jan 2, 2024
- Employees · 10 to 17Mar 30, 2023 to Jan 2, 2024
- Private funds · unset to 1Mar 30, 2023 to Jan 2, 2024
- Discretionary RAUM · $1.3B to $2.3BMar 30, 2023 to Jan 2, 2024
- Non-discretionary RAUM · $1.6B to $0Mar 30, 2023 to Jan 2, 2024
- Pooled vehicle RAUM · unset to 210000000.0Mar 30, 2023 to Jan 2, 2024
- RAUM · $2.9B to $2.3BMar 30, 2023 to Jan 2, 2024
- Advisory employees · 6 to 7Dec 7, 2022 to Mar 30, 2023
- Employees · 8 to 10Dec 7, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.6B to $1.3BDec 7, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $1.4B to $1.6BDec 7, 2022 to Mar 30, 2023
- RAUM · $3.0B to $2.9BDec 7, 2022 to Mar 30, 2023
- HQ city · NEW YORK to SAN FRANCISCOMar 30, 2022 to Dec 7, 2022
Signals
14 dated events
- H••••• A•••• M••••••••• •••• L••• reported RAUM $4.0B, up 91% from $2.1B (2026-01-15 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- Nicole Heather Slate (Chief Compliance Officer) no longer on Schedule A of H••••• A•••• M••••••••• •••• L••• (listed 2023-03-30, absent 2024-01-02)Jan 2, 2024 · Control person left · inference
- Nmn Minshu Liu (General Counsel) appeared on Schedule A of H••••• A•••• M••••••••• •••• L•••Mar 30, 2023 · Control person joined · fact
- Nicole Heather Slate (Chief Compliance Officer) appeared on Schedule A of H••••• A•••• M••••••••• •••• L•••Dec 7, 2022 · Control person joined · fact
- Nmn Yuntek Jung (Chief Operating Officer / Chief Financial Officer) appeared on Schedule A of H••••• A•••• M••••••••• •••• L•••Dec 7, 2022 · Control person joined · fact
- Darius Cameron Iraj (Chief Compliance Officer) no longer on Schedule A of H••••• A•••• M••••••••• •••• L••• (listed 2022-03-30, absent 2022-12-07)Dec 7, 2022 · Control person left · inference
- H••••• A•••• M••••••••• •••• L••• reported RAUM $3.0B, up 41% from $2.1B (2021-04-16 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Jung Woo Sung (Chief Executive Officer/ Treasurer) no longer on Schedule A of H••••• A•••• M••••••••• •••• L••• (listed 2021-04-16, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Nmn Dong Jun Im (Chief Executive Officer / Treasurer) appeared on Schedule A of H••••• A•••• M••••••••• •••• L•••Mar 30, 2022 · Control person joined · fact
- H••••• A•••• M••••••••• •••• L••• reported RAUM $2.1B, up 58% from $1.3B (2019-03-29 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- H••••• A•••• M••••••••• •••• L••• reported RAUM $1.3B, up 133% from $566.2M (2019-01-03 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Min Park (Vice President, Treasurer, Secretary) no longer on Schedule A of H••••• A•••• M••••••••• •••• L••• (listed 2019-01-03, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Darius Cameron Iraj (Chief Compliance Officer) appeared on Schedule A of H••••• A•••• M••••••••• •••• L•••Jan 3, 2019 · Control person joined · fact
- H••••• A•••• M••••••••• •••• L••• filed its initial SEC registration (Form ADV)Jun 1, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••• A•••• M••••••••• •••• L••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- hamventuresusa.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (415) 534-1190reportedpublic record, Form ADV, Aug 3, 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
- Institutional managerderiveda 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