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

P••• 8• A•••• M••••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 289144SEC 801-111628IAPD
Latest filing Apr 12, 2021
First filing on the tape Aug 7, 2017 · 12 filings
RAUM
$234M
reported, Item 5.F
Discretionary
0.0%
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
8
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$234M as of Mar 30, 2021
Mar 28, 2018$312M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 28, 20180 then
Employees (5.A)8 as of Mar 30, 2021
Mar 28, 20188 then
Private funds: no history
RAUM +30% over the last fiscal year-9.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 12, 2021; 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
$234MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
100%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
+30%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, fixed fees, performance-basedreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Insurance companies$234M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M••••• D••••• M•••••• · Chief Executive Officer, Chief Investment Officer, Chief Financial Officercontrol
        since 12/2016 · owns less than 5%
      • H•••• J•••••• W•••••• · Trusteecontrol
        since 11/2013 · owns F of W•• D•••••• T••••
      • H•••• W••••••• L••••• · Shareholdercontrol
        since 03/2010 · owns 25% to 50% of H••• C••••••••• L••
      • H••••••• M••••••• S••••• · Chief Compliance Officer
        since 03/2019 · owns less than 5%
      Entity owners
      • H••• C•••••• H••••••• I••••••••• L•• · Member
        direct · owns 75% or more
      • H• G•• L•• · General Partner
        indirect · owns F of H••• E••• L•••
      • H••• C••••••••• L•• · Member
        indirect · owns 75% or more of H••• C••••••• L••
      • H••• C••••••• L•• · Member
        indirect · owns 75% or more of H••• E••• L•••
      • H••• E••• L••• · Member
        indirect · owns 75% or more of H••• C•••••• H••••••• I••••••••• L••
      • W•• D•••••• T•••• · Shareholder
        indirect · owns 25% to 50% of H••• C••••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Non-discretionary RAUM · $180M to $234M
        Oct 30, 2020 to Mar 30, 2021
      • RAUM · $180M to $234M
        Oct 30, 2020 to Mar 30, 2021
      • Related broker-dealer · false to true
        May 8, 2020 to Oct 30, 2020
      • Advisory employees · 6 to 8
        Mar 30, 2019 to Mar 28, 2020
      • Employees · 7 to 8
        Mar 30, 2019 to Mar 28, 2020
      • Financial planning clients · 1-10 to unset
        Mar 30, 2019 to Mar 28, 2020
      • Non-discretionary RAUM · $198M to $180M
        Mar 30, 2019 to Mar 28, 2020
      • RAUM · $198M to $180M
        Mar 30, 2019 to Mar 28, 2020
      • Advisory employees · 7 to 6
        Feb 20, 2019 to Mar 30, 2019
      • Employees · 8 to 7
        Feb 20, 2019 to Mar 30, 2019
      • Other offices · 0 to 1
        Feb 20, 2019 to Mar 30, 2019
      • Non-discretionary RAUM · $312M to $198M
        Feb 20, 2019 to Mar 30, 2019
      • RAUM · $312M to $198M
        Feb 20, 2019 to Mar 30, 2019
      • Financial planning clients · 0 to 1-10
        Jan 3, 2018 to Mar 28, 2018
      • Non-discretionary RAUM · $300M to $312M
        Jan 3, 2018 to Mar 28, 2018
      • RAUM · $300M to $312M
        Jan 3, 2018 to Mar 28, 2018
      • Accounts · unset to 1.0
        Aug 7, 2017 to Jan 3, 2018
      • Employees · 7 to 8
        Aug 7, 2017 to Jan 3, 2018
      • Other offices · unset to 0.0
        Aug 7, 2017 to Jan 3, 2018
      • Discretionary RAUM · unset to 0.0
        Aug 7, 2017 to Jan 3, 2018
      • Non-discretionary RAUM · unset to 300000000.0
        Aug 7, 2017 to Jan 3, 2018
      • RAUM · unset to 300000000.0
        Aug 7, 2017 to Jan 3, 2018
      Signals
      4 dated events
      • P••• 8• A•••• M••••••••• L•• reported RAUM $198.4M, down 36% from $312.4M (2019-02-20 to 2019-03-30)
        Mar 30, 2019 · RAUM change · derived
      • William Joshua H••• (Trustee) appeared on Schedule A of P••• 8• A•••• M••••••••• L••
        Feb 20, 2019 · Control person joined · fact
      • W•••••• H••• (Shareholder) appeared on Schedule A of P••• 8• A•••• M••••••••• L••
        Feb 20, 2019 · Control person joined · fact
      • P••• 8• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 7, 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