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••••••• N•••••• R•••••••• G••••• L••
Latest filing Jul 5, 2018
First filing on the tape Jul 5, 2018 · 1 filings
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
22
20 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $0
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 22
Private funds: 1
Practice profile
derived from the filing of Jul 5, 2018; 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 1 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••••• N•••••• R•••••••• F••• L•••••• P••••••••• | Real Estate Fund | $0 | 0 | Jul 5, 2018 |
Owners and control persons
Schedule A and B, latest filing
- D••••• K•••••••• T••••• · Senior Vice President - Ecological Servicescontrolsince 01/2018 · owns less than 5%
- F••••••• A•••• J• · Chief Forestercontrolsince 01/2018 · owns less than 5%
- H••••••• M••••••• A• · Senior Vice President - Forest Operationscontrolsince 01/2018 · owns less than 5%
- J••••••• H•••••• R• · Managing Director; Manager (09/2017)controlsince 01/2018 · owns less than 5%
- S•••••••• B••••• H• · Chief Executive Officer And President; Managing Director (01/2018); Manager (09/2017)controlsince 07/2018 · owns less than 5%
- T••••••••• B•••••••• R• · Vice President - Investor Relationscontrolsince 01/2018 · owns less than 5%
- T•••••••• L••••••• C• · Senior Vice President And Chief Financial Officer; Manager (09/2017)controlsince 01/2018 · owns less than 5%
- W••••••• C•• G•••• · Senior Director Of Risk Management And Taxation; Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
- Z••••••• F•• C•••••••• · Chairman; Manager (09/2017)controlsince 07/2018 · owns less than 5%
- B••••• L••••• M•••• · Membercontrolsince 01/2018 · owns 75% or more of K•••••• F••••• I••••••••• L••
- D••••• K•••••••• T••••• · Managercontrolsince 01/2018 · owns F of H••••••• R•••••••• P•••••••• L••
- H••••••• M••••••• A• · Managercontrolsince 01/2018 · owns F of H••••••• R•••••••• P•••••••• L••
- J••••••• H•••••• R• · Managercontrolsince 01/2018 · owns F of H••••••• R•••••••• P•••••••• L••
- S•••••••• B••••• H• · Managercontrolsince 01/2018 · owns F of H••••••• R•••••••• P•••••••• L••
- T•••••••• L••••••• C• · Managercontrolsince 01/2018 · owns F of H••••••• R•••••••• P•••••••• L••
- Z••••••• F•• C•••••••• · Managercontrolsince 01/2018 · owns F of H••••••• R•••••••• P•••••••• L••
- L••••• V••••••• H••• · Financial Reporting Directorsince 01/2018 · owns less than 5%
- V••••• E••••• M• · Chief Accounting Officersince 01/2018 · owns less than 5%
- F••••••• A•••• J• · Managersince 01/2018 · owns F of H••••••• R•••••••• P•••••••• L••
- T••••••••• B•••••••• R• · Managersince 01/2018 · owns F of H••••••• R•••••••• P•••••••• L••
Entity owners
- H••••••• R•••••••• P•••••••• L•• · Memberdirect · owns 50% to 75%
- K•••••• P••••••• L•• · Memberdirect · owns 25% to 50%
- K•••••• F••••• I••••••••• L•• · Memberindirect · owns 75% or more of K•••••• P••••••• L••
Related persons
Schedule D 7.A
- H•••••••• F••••••••• A••••••• I• L••pooled vehicle sponsorn
- H•••••••• F••••••••• A••••••• I•• L••pooled vehicle sponsorn
- H•••••••• F••••••••• A••••••• I••• L••pooled vehicle sponsorn
- H•••••••• F••••••••• A••••••• I•• L••pooled vehicle sponsorn
- H•••••••• F••••••••• A••••••• V• L••pooled vehicle sponsorn
- H•••••••• F••••••••• A••••••• V•• L••pooled vehicle sponsorn
- H•••••••• F••••••••• A••••••• V••• L••pooled vehicle sponsorn
- H•••••••• F••••••••• A••••••• V•••• L••pooled vehicle sponsorn
- H•••••••• N•••••• R•••••••• G••••••••• L••pooled vehicle sponsorn
- Q•••••• F••••••••• A•••••••• L••n
- T•• F••••••••• G•••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- H••••••• N•••••• R•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Jul 5, 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.
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
Across the graphs
H••••••• N•••••• R•••••••• G••••• 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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