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••••• A•• I••••• F••• I• M••••••• L••
Latest filing Jul 15, 2026
First filing on the tape Dec 17, 2019 · 10 filings
SEC status approved since Jan 21, 2020
RAUM
$490M
reported, Item 5.F
Discretionary
1.9%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$490M as of Jul 15, 2026
Mar 30, 2021$110M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 15, 2026
Mar 30, 20210 then
Employees (5.A)1 as of Jul 15, 2026
Mar 30, 20216 then
Private funds2 as of Jul 15, 2026
Mar 30, 20211 then
RAUM +18% over the last fiscal year+23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
Archetypes, each a printed rule
- institutional asset m•••••• · 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
- $163MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 1.9%derivedof RAUM
- Institutional
- 82%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
- +18%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$402M82%
- Pooled investment vehicles$88.0M18%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- 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=0.18 institutional_share=0.82 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••••• E••••••• Y•••• • I••••• F••• I• L• | Real Estate Fund | $99.1M | 9 | Mar 31, 2022 |
| H•••••••• C••••• A•• I••••• F••• I•• L••• | Real Estate Fund | $9.5M | 33 | Jan 22, 2018 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• K•••••••• F•••••••• · Presidentcontrolsince 12/2017 · owns less than 5%
- M•••••• S••••• A•• · Chief Compliance Officer, Co-Chief Executive Officer And Managing Partnercontrolsince 12/2017 · owns less than 5%
- C•••••• K•••••••• F•••••••• · Managing Membercontrolsince 01/2017 · owns 75% or more of K• I••••••••• L••
- M•••••• S••••• A•• · Managing Membercontrolsince 05/2017 · owns 75% or more of S••• H••••••• L••
Entity owners
- H•••••••• F••••••• L•• · Sole Memberdirect · owns 75% or more
- H•••••••• F•••••• H••••••• L•• · Memberindirect · owns 75% or more of H•••••••• F••••••• L••
- K• I••••••••• L•• · Managing Memberindirect · owns 50% to 75% of H•••••••• F•••••• H••••••• L••
- S••• H••••••• L•• · Managing Memberindirect · owns 50% to 75% of H•••••••• F•••••• H••••••• L••
Related persons
Schedule D 7.A
- H•••••••• C••••• A•• I••••• F••• I• G•• L••pooled vehicle sponsorn
- H•••••••• E••••••• Y•••• • I••••• F••• I• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 12.0 to 2.0 (-83.0%) between the annual amendments of 2025-03-30 and 2026-03-31; the peer median change was 0.0% (17 comparable advisers, 0.0th percentile of changes)peers: institutional managers, $100M to $500M (17) · 0.0% percentile
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1Mar 31, 2026 to Jul 15, 2026
- Employees · 2 to 1Mar 31, 2026 to Jul 15, 2026
- Custody of client assets · true to falseJun 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $9.1M to $9.1MJun 26, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $406M to $481MJun 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $96.5M to $88.0MJun 26, 2025 to Mar 31, 2026
- RAUM · $415M to $490MJun 26, 2025 to Mar 31, 2026
- Advisory employees · 7 to 2Mar 30, 2025 to Jun 26, 2025
- Advisory activities · 1 to 2Mar 30, 2025 to Jun 26, 2025
- Employees · 12 to 2Mar 30, 2025 to Jun 26, 2025
- Financial planning clients · unset to Mar 30, 2025 to Jun 26, 2025
- Advisory employees · 5 to 7Mar 29, 2024 to Mar 30, 2025
- Employees · 8 to 12Mar 29, 2024 to Mar 30, 2025
- Discretionary RAUM · $109M to $9.1MMar 29, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $173M to $406MMar 29, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · $109M to $96.5MMar 29, 2024 to Mar 30, 2025
- RAUM · $282M to $415MMar 29, 2024 to Mar 30, 2025
- Employees · 7 to 8Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $60.6M to $109MMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $201M to $173MMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $60.6M to $109MMar 30, 2023 to Mar 29, 2024
- RAUM · $262M to $282MMar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $61.7M to $60.6MMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $176M to $201MMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $61.7M to $60.6MMar 31, 2022 to Mar 30, 2023
- RAUM · $238M to $262MMar 31, 2022 to Mar 30, 2023
- Accounts · 2 to 3Mar 30, 2021 to Mar 31, 2022
- Advisory employees · 4 to 5Mar 30, 2021 to Mar 31, 2022
- Pooled vehicle clients · 1 to 2Mar 30, 2021 to Mar 31, 2022
- Employees · 6 to 7Mar 30, 2021 to Mar 31, 2022
- Private funds · 1 to 2Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $14.0M to $61.7MMar 30, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $96.2M to $176MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $14.0M to $61.7MMar 30, 2021 to Mar 31, 2022
- RAUM · $110M to $238MMar 30, 2021 to Mar 31, 2022
- Accounts · 1 to 2Feb 24, 2021 to Mar 30, 2021
- Advisory employees · 6 to 4Feb 24, 2021 to Mar 30, 2021
- Employees · 8 to 6Feb 24, 2021 to Mar 30, 2021
- Discretionary RAUM · $44.9M to $14.0MFeb 24, 2021 to Mar 30, 2021
- Non-discretionary RAUM · $0 to $96.2MFeb 24, 2021 to Mar 30, 2021
Signals
3 dated events
- H•••••••• C••••• A•• I••••• F••• I• M••••••• L•• reported RAUM $414.9M, up 47% from $282.0M (2024-03-29 to 2025-03-30)Mar 30, 2025 · RAUM change · derived
- H•••••••• C••••• A•• I••••• F••• I• M••••••• L•• reported RAUM $238.0M, up 116% from $110.2M (2021-03-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- H•••••••• C••••• A•• I••••• F••• I• M••••••• L•• filed its initial SEC registration (Form ADV)Dec 17, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H•••••••• C••••• a•• I••••• F••• I• M••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 646-889-2699reportedpublic record, Form ADV, Jul 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
- INSTITUTIONAL M••••••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
Across the graphs
H•••••••• C••••• A•• I••••• F••• I• M••••••• 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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