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•••• I••••••••• A•••••••• L••

Former SEC-registered adviserNorthbrook, IllinoisCRD 300222SEC 801-114816IAPD
Latest filing Mar 27, 2023
First filing on the tape Feb 8, 2019 · 11 filings
RAUM
$143M
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
23
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$143M gross assets
History
11 filings and snapshots on the tape
RAUM$143M as of Mar 27, 2023
Mar 27, 2020$178M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2023
Mar 31, 20190 then
Employees (5.A)23 as of Mar 27, 2023
Mar 31, 20192 then
Private funds3 as of Mar 27, 2023
Mar 31, 20191 then
RAUM -41% over the last fiscal year-7.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2023; 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
$47.7MderivedRAUM 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
-41%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 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
  • Pooled investment vehicles$143M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••• F•••• L•Private Equity Fund$150M1Feb 8, 2019
      H•• S•••••••• O••••••••• F•••• L•••Private Equity Fund$55.9M2Mar 27, 2020
      H•••• G••••• S•••••••• O••••••••• L•••Private Equity Fund$29.7M2Mar 31, 2022
      H•• S•••••••• O••••••••• F••• •••• L•••Private Equity Fund$1.4M2Mar 27, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• J•••• P••••• · Coocontrol
        since 12/2018 · owns less than 5%
      • F•••••••• E••••• · Cfo, Managing Membercontrol
        since 03/2021 · owns less than 5%
      • K•••• E•••• W••• · Ccocontrol
        since 12/2018 · owns less than 5%
      • H•••••••• J••••••• B•••• · Shareholdercontrol
        since 08/1987 · owns 75% or more of H••••• I•••
      • H•••••••• J••••••• B•••• · Trusteecontrol
        since 03/1984 · owns 75% or more of J•••••• H••••••• T•••• U•••• 3••••••••
      • B••••• S••••• K••• · Secretary
        since 03/2021 · owns less than 5%
      Entity owners
      • H•••• T••••••• L•• · Member
        direct · owns 75% or more
      • C••• I••••••••• ••••• I••• · Member
        indirect · owns 25% to 50% of H•••• T••••••• L••
      • H•• A••••••••• L•• · Member
        indirect · owns 25% to 50% of H•••• T••••••• L••
      • H•••• H•••••••• L•• · Member
        indirect · owns 25% to 50% of H•••• T••••••• L••
      • H••••• I••• · Member
        indirect · owns 75% or more of H•••• H•••••••• L••
      • J•••••• H••••••• T•••• U•••• 3•••••••• · Member
        indirect · owns 25% to 50% of H•• A••••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Sep 15, 2022 to Mar 27, 2023
      • Advisory employees · 11 to 18
        Sep 15, 2022 to Mar 27, 2023
      • Pooled vehicle clients · 2 to 3
        Sep 15, 2022 to Mar 27, 2023
      • Assets in custody · unset to 0.0
        Sep 15, 2022 to Mar 27, 2023
      • Private funds · 4 to 3
        Sep 15, 2022 to Mar 27, 2023
      • Discretionary RAUM · $194M to $143M
        Sep 15, 2022 to Mar 27, 2023
      • Pooled vehicle RAUM · $194M to $143M
        Sep 15, 2022 to Mar 27, 2023
      • RAUM · $194M to $143M
        Sep 15, 2022 to Mar 27, 2023
      • Discretionary RAUM · $242M to $194M
        Mar 31, 2022 to May 10, 2022
      • Pooled vehicle RAUM · $242M to $194M
        Mar 31, 2022 to May 10, 2022
      • RAUM · $242M to $194M
        Mar 31, 2022 to May 10, 2022
      • Accounts · 3 to 4
        May 18, 2021 to Mar 31, 2022
      • Advisory employees · 1 to 11
        May 18, 2021 to Mar 31, 2022
      • BD registered reps · 0 to 2
        May 18, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 3 to 2
        May 18, 2021 to Mar 31, 2022
      • Employees · 2 to 23
        May 18, 2021 to Mar 31, 2022
      • Private funds · 3 to 4
        May 18, 2021 to Mar 31, 2022
      • Discretionary RAUM · $195M to $242M
        May 18, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $195M to $242M
        May 18, 2021 to Mar 31, 2022
      • RAUM · $195M to $242M
        May 18, 2021 to Mar 31, 2022
      • Discretionary RAUM · $178M to $195M
        Mar 27, 2020 to Mar 25, 2021
      • Pooled vehicle RAUM · $178M to $195M
        Mar 27, 2020 to Mar 25, 2021
      • RAUM · $178M to $195M
        Mar 27, 2020 to Mar 25, 2021
      • Accounts · 1 to 3
        Jul 11, 2019 to Mar 27, 2020
      • Advisory employees · 0 to 1
        Jul 11, 2019 to Mar 27, 2020
      • Pooled vehicle clients · 1 to 3
        Jul 11, 2019 to Mar 27, 2020
      • Private funds · 1 to 3
        Jul 11, 2019 to Mar 27, 2020
      • Discretionary RAUM · $150M to $178M
        Jul 11, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $150M to $178M
        Jul 11, 2019 to Mar 27, 2020
      • RAUM · $150M to $178M
        Jul 11, 2019 to Mar 27, 2020
      • Accounts · unset to 1.0
        Mar 31, 2019 to Jul 11, 2019
      • Discretionary RAUM · unset to 150000000.0
        Mar 31, 2019 to Jul 11, 2019
      • Non-discretionary RAUM · unset to 0.0
        Mar 31, 2019 to Jul 11, 2019
      • Pooled vehicle RAUM · $0 to $150M
        Mar 31, 2019 to Jul 11, 2019
      • RAUM · unset to 150000000.0
        Mar 31, 2019 to Jul 11, 2019
      Signals
      2 dated events
      • Ernest Fiorante (Cfo, Managing Member) appeared on Schedule A of H•••• I••••••••• A•••••••• L••
        Mar 31, 2022 · Control person joined · fact
      • H•••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 8, 2019 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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