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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
H•••••••• S••••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape May 9, 2018 · 13 filings
SEC status approved since Jun 6, 2018
RAUM
$943M
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
15
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$943M as of Mar 30, 2026
Mar 27, 2019$938M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 27, 20190 then
Employees (5.A)15 as of Mar 30, 2026
Mar 27, 201913 then
Private funds: no history
RAUM -16% over the last fiscal year-34% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $135MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- -16%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-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
- is a broker-dealer (6.A.1)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$580M61%
- Other investment advisers$363M39%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- 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=1.0 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
- B•••••••• U••• •••• · Chief Executive Officer, Directorcontrolsince 11/2020 · owns less than 5%
- F••••••••• T••••••• J•••• · Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- G••••••••• C••••••• B••• · Directorcontrolsince 06/2017 · owns less than 5%
- H•••••••• P••••• M•••••• · General Counselcontrolsince 03/2018 · owns less than 5%
- M•••••• C•••••• L••• · Directorcontrolsince 06/2008 · owns less than 5%
- R••••• C••••••• R•••••• · Directorcontrolsince 06/2017 · owns less than 5%
- W•••• G•••• C•••• H•• · Chief Financial Officercontrolsince 06/2016 · owns less than 5%
- B•••••••• U••• •••• · Shareholdercontrolsince 04/2021 · owns 75% or more of C••••••• L••• ••••••••
Entity owners
- H•••••••• I••••••••• I••• · Shareholderdirect · owns 75% or more
- C••••••• L••• •••••••• · Shareholderindirect · owns 75% or more of T•• L••• I••• ••••••••
- R•• M••••••••• I••• •••••••• · Shareholderindirect · owns 25% to 50% of H•••••••• I••••••••• I•••
- T•• L••• I••• •••••••• · Shareholderindirect · owns 50% to 75% of H•••••••• I••••••••• I•••
Related persons
Schedule D 7.A
- H•••••••• I••••••••• I•••y
- H•••••••• S••••••••• ••• L••investment advisernRAUM $276M
Advisers that list H•••••••• S••••••••• I••• as a related person
- 174811 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 10 to 7Mar 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.1B to $943MMar 25, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $679M to $580MMar 25, 2025 to Mar 30, 2026
- RAUM · $1.1B to $943MMar 25, 2025 to Mar 30, 2026
- Accounts · 14 to 10Mar 29, 2024 to Mar 25, 2025
- Advisory employees · 8 to 9Mar 29, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 25, 2025
- HQ state · unset to Mar 29, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.7B to $1.1BMar 29, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $921M to $679MMar 29, 2024 to Mar 25, 2025
- RAUM · $1.7B to $1.1BMar 29, 2024 to Mar 25, 2025
- Accounts · 13 to 14Mar 28, 2023 to Mar 29, 2024
- Pooled vehicle clients · 2 to 3Mar 28, 2023 to Mar 29, 2024
- Employees · 14 to 15Mar 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $3.3B to $1.7BMar 28, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.3B to $921MMar 28, 2023 to Mar 29, 2024
- RAUM · $3.3B to $1.7BMar 28, 2023 to Mar 29, 2024
- Advisory employees · 7 to 8Mar 18, 2022 to Mar 28, 2023
- Employees · 13 to 14Mar 18, 2022 to Mar 28, 2023
- Discretionary RAUM · $2.7B to $3.3BMar 18, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $1.3B to $1.3BMar 18, 2022 to Mar 28, 2023
- RAUM · $2.7B to $3.3BMar 18, 2022 to Mar 28, 2023
- Accounts · 12 to 13Jun 8, 2021 to Mar 18, 2022
- Discretionary RAUM · $2.1B to $2.7BJun 8, 2021 to Mar 18, 2022
- Pooled vehicle RAUM · $1.1B to $1.3BJun 8, 2021 to Mar 18, 2022
- RAUM · $2.1B to $2.7BJun 8, 2021 to Mar 18, 2022
- Accounts · 10 to 12Nov 11, 2020 to Mar 26, 2021
- Pooled vehicle clients · 3 to 2Nov 11, 2020 to Mar 26, 2021
- Discretionary RAUM · $1.7B to $2.1BNov 11, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $919M to $1.1BNov 11, 2020 to Mar 26, 2021
- RAUM · $1.7B to $2.1BNov 11, 2020 to Mar 26, 2021
- Business name · T••••••••• I••••••••• M••••••••• I••• to H•••••••• S••••••••• I•••Nov 11, 2020 to Nov 11, 2020
- Legal name · T••••••••• I••••••••• M••••••••• I••• to H•••••••• S••••••••• I•••Nov 11, 2020 to Nov 11, 2020
- Accounts · 11 to 10Mar 27, 2019 to Mar 26, 2020
- Corporate clients · 1.0 to unsetMar 27, 2019 to Mar 26, 2020
- Discretionary RAUM · $938M to $1.7BMar 27, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $503M to $919MMar 27, 2019 to Mar 26, 2020
- RAUM · $938M to $1.7BMar 27, 2019 to Mar 26, 2020
- Pooled vehicle clients · 4 to 3May 9, 2018 to Mar 27, 2019
- Assets in custody · 128318100.0 to unsetMay 9, 2018 to Mar 27, 2019
Signals
8 dated events
- H•••••••• S••••••••• I••• reported RAUM $1.1B, down 33% from $1.7B (2024-03-29 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- H•••••••• S••••••••• I••• reported RAUM $1.7B, down 50% from $3.3B (2023-03-28 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- H•••••••• S••••••••• I••• reported RAUM $3.3B, up 26% from $2.7B (2022-03-18 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- H•••••••• S••••••••• I••• reported RAUM $2.7B, up 27% from $2.1B (2021-06-08 to 2022-03-18)Mar 18, 2022 · RAUM change · derived
- (Nmn) Ugo Bizzarri (Shareholder) appeared on Schedule A of H•••••••• S••••••••• I•••Nov 11, 2020 · Control person joined · fact
- Blair Robert Tamblyn (Chief Executive Officer, Director) no longer on Schedule A of H•••••••• S••••••••• I••• (listed 2020-03-26, absent 2020-11-11)Nov 11, 2020 · Control person left · inference
- H•••••••• S••••••••• I••• reported RAUM $1.7B, up 84% from $938.1M (2019-03-27 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- T••••••••• I••••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)May 9, 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
- Website
- H••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 1.888.949.8439reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)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