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••••••••• I••••••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jan 3, 2018 · 10 filings
SEC status approved since Feb 6, 2018
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$0 as of Mar 27, 2026
Mar 25, 2019$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 25, 20197 then
Employees (5.A)4 as of Mar 27, 2026
Mar 25, 201910 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- selection of other advisers, otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• P••••••• P•••••••• · Chairmancontrolsince 05/2017 · owns less than 5%
- H••••• L•••• C••••••• · Chief Operating Officercontrolsince 05/2017 · owns less than 5%
- L•••••• K•••• A•• · Chief Compliance Officercontrolsince 05/2017 · owns less than 5%
- S••••••••• V••••• •••• · President & Chief Executive Officercontrolsince 05/2017 · owns less than 5%
- E••••••••• B••••• R•••• · Sole Ownercontrolsince 08/2014 · owns 75% or more of F•••••••• I•••
Entity owners
- H•••••• G•••• I••••••••• L•••••• •••••••• L••• · Memberdirect · owns 50% to 75%
- C•• C•••••• H••••••• I••• · Managing Memberindirect · owns 75% or more of L••• I••••••••• A•••••••• L••
- F•••••••• I••• · Sole Ownerindirect · owns 75% or more of C•• C•••••• H••••••• I•••
- L••• I••••••••• A•••••••• L•• · Memberdirect · owns 25% to 50%
- H• S••• T•••• · Sole Ownerindirect · owns 75% or more of H•••••• G•••• I••••••••• L•••••• •••••••• L•••
Related persons
Schedule D 7.A
- L••• I••••••••• A•••••••• L••investment adviserpooled vehicle sponsornRAUM $1.1B
- S••••• I••••••••• S••••••••• L••investment advisernRAUM $37.1M
Advisers that list H••••••••• I••••••••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · unset to Mar 13, 2024 to Mar 7, 2025
- Advisory employees · 5 to 1Mar 29, 2023 to Mar 13, 2024
- Employees · 12 to 4Mar 29, 2023 to Mar 13, 2024
- Insurance-licensed employees · 8 to 3Mar 29, 2023 to Mar 13, 2024
- Insurance-licensed employees · 7 to 8Mar 11, 2022 to Mar 29, 2023
- State-registered IARs · 7 to 0Mar 11, 2022 to Mar 29, 2023
- Employees · 11 to 12Mar 4, 2021 to Mar 11, 2022
- Advisory employees · 4 to 5Mar 25, 2019 to Mar 24, 2020
- Employees · 10 to 11Mar 25, 2019 to Mar 24, 2020
- Insurance-licensed employees · 8 to 7Jan 18, 2018 to Mar 25, 2019
- State-registered IARs · 8 to 7Jan 18, 2018 to Mar 25, 2019
Signals
2 dated events
- Joseph Peter Tanous (Vice Chairman) no longer on Schedule A of H••••••••• I••••••••• A•••••••• L•• (listed 2021-03-04, absent 2022-03-11)Mar 11, 2022 · Control person left · inference
- H••••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jan 3, 2018 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 202-833-3700reportedpublic record, Form ADV, Mar 27, 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
- No RAUM reportedderiveda 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