DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

H•••• A•••• M••••••••• ••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Greenwich, Connecticut

Former SEC-registered adviser, based in Greenwich, Connecticut, reporting $107M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$107M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 8 Form ADV filings for this adviser, the latest 7.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 292711 · SEC 801-113804 · 8 filingsShow
CRD 292711SEC 801-113804First filing on the tape Feb 8, 2018, latest Mar 29, 2019IAPD
RAUM
$107M
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$107M as of Mar 29, 2019
Feb 8, 2018$0 then
HNW client RAUM$0 as of Mar 29, 2019
Feb 8, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Feb 8, 20180 then
Employees (5.A)6 as of Mar 29, 2019
Feb 8, 20183 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 2019; 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
$53.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%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
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 businesses and institutions, otherreportedItem 5.G
Custody
$107M, 2 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Insurance companies$107M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$107M for 2 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••• J•••••••• T••• · Chief Operating Officer And Presidentcontrol
        since 01/2018 · owns 25% to 50%
      • F••••••• T•••••• X••••• · Chief Compliance Officer And General Counselcontrol
        since 07/2018 · owns less than 5%
      • H•••••• A••••• M••••••••• · Chief Executive Officer, Chief Investment Officercontrol
        since 01/2018 · owns 25% to 50%
      • S•••••• K•••••••• N••• · Chief Financial Officer, Treasurer, And Secretarycontrol
        since 01/2018 · owns less than 5%
      Entity owners
      • H•••• A•••• M••••••••• L•• · Non-Member Manager
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • H•••• H••••••• I•••
        real estaten
      • T••• I•••••••• C•••••• I•
        real estaten
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $115M to $107M
        Dec 7, 2018 to Mar 29, 2019
      • Discretionary RAUM · $115M to $107M
        Dec 7, 2018 to Mar 29, 2019
      • RAUM · $115M to $107M
        Dec 7, 2018 to Mar 29, 2019
      • Accounts · 0 to 2
        Jul 10, 2018 to Dec 7, 2018
      • Assets in custody · unset to 114926385.0
        Jul 10, 2018 to Dec 7, 2018
      • Custody of client assets · false to true
        Jul 10, 2018 to Dec 7, 2018
      • Discretionary RAUM · $0 to $115M
        Jul 10, 2018 to Dec 7, 2018
      • RAUM · $0 to $115M
        Jul 10, 2018 to Dec 7, 2018
      • Advisory employees · 3 to 6
        May 18, 2018 to Jul 10, 2018
      • Employees · 3 to 6
        May 18, 2018 to Jul 10, 2018
      Signals
      1 dated events
      • ••• Locked
        Feb 8, 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