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••••••• C•••••• A••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Nov 1, 2019 · 15 filings
SEC status approved since Dec 4, 2019
RAUM
$581M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
25%
$143M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
41
18 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$581M as of Mar 31, 2026
Mar 23, 2020$289M then
HNW client RAUM$143M as of Mar 31, 2026
Mar 23, 2020$282M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 23, 20200 then
Employees (5.A)41 as of Mar 31, 2026
Mar 23, 202041 then
Private funds3 as of Mar 31, 2026
Mar 23, 20203 then
RAUM +15% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $8.4MderivedHNW RAUM over HNW clients
- Average account
- $16.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%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 individuals, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$368M63%
- High-net-worth individuals$143M25%
- Corporations and businesses$42.5M7.3%
- Charitable organizations$28.5M4.9%
- Individual clients
- n/areported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 36reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.25 fund_share=0.63 institutional_share=0.05 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••• F••• L• | Hedge Fund | $208M | 42 | Mar 30, 2022 |
| H••••••• M••••• F••• L• | Hedge Fund | $72.6M | 37 | Jan 6, 2020 |
| H••••••• F••• L•no longer reported | Hedge Fund | $7.1M | 9 | Jan 6, 2020 |
| H••••••• I••••••••• F••• L•no longer reported | Hedge Fund | $0 | 0 | Jan 6, 2020 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• G•••••• · Limited Partnercontrolsince 10/2019 · owns 10% to 25%
- B•••••• J•••••••• L••••••• · Limited Partnercontrolsince 10/2019 · owns 5% to 10%
- D•••••• P••••••• L•••• · Chief Financial Officercontrolsince 10/2019 · owns less than 5%
- G••••••••• A••••• C••••• · Limited Partnercontrolsince 10/2019 · owns 10% to 25%
- H•••••• J•••• B••••• · Presidentcontrolsince 10/2019 · owns less than 5%
- L••••••••• Y•• D•• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- M•••••• T•••••• R••• · Limited Partnercontrolsince 10/2019 · owns 10% to 25%
- P••• W••••••• C• · Limited Partnercontrolsince 10/2019 · owns 5% to 10%
- R•••• J•••••••• E• · Chief Operating Officercontrolsince 09/2023 · owns less than 5%
- S••••••••• G•••••• · Limited Partnercontrolsince 10/2019 · owns 10% to 25%
- A••••••••• G•••••• · Management Committee Membercontrolsince 10/2019 · owns F of H••••••• C•••••• A••••••• G• L••
- G••••••••• A••••• C••••• · Management Committee Membercontrolsince 10/2019 · owns F of H••••••• C•••••• A••••••• G• L••
- H•••••• J•••• B••••• · Trusteecontrolsince 10/2019 · owns F of J••• B• H••••• 1••• T••••
- H•••••• J•••• B••••• · Management Committee Membercontrolsince 10/2019 · owns F of H••••••• C•••••• A••••••• G• L••
- M•••••• T•••••• R••• · Management Committee Membercontrolsince 10/2019 · owns F of H••••••• C•••••• A••••••• G• L••
- S•••••••• D••••• C•••• · Management Committee Membercontrolsince 10/2019 · owns F of H••••••• C•••••• A••••••• G• L••
- H•••••• K•••• W•••••• W••••••• · Trusteesince 10/2019 · owns F of J••• B• H••••• 1••• T••••
Entity owners
- H••••••• C•••••• A••••••• G• L•• · General Partnerdirect · owns less than 5%
- J••• B• H••••• 1••• T•••• · Limited Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- H••••••• A••••••• G• L••pooled vehicle sponsorn
- R•••• C•••••• L•••investment advisernRAUM $11B
Advisers that list H••••••• C•••••• A••••••• L• as a related person
- 285971 n
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL4 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (72 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $500M to $1B (72) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 34 to 36Mar 31, 2025 to Mar 31, 2026
- Charity clients · 3 to 2Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 4 to 8Mar 31, 2025 to Mar 31, 2026
- HNW clients · 21 to 17Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 6 to 9Mar 31, 2025 to Mar 31, 2026
- Private funds · 2 to 3Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $505M to $570MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $172M to $143MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.2M to $10.9MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $270M to $368MMar 31, 2025 to Mar 31, 2026
- RAUM · $506M to $581MMar 31, 2025 to Mar 31, 2026
- Advisory employees · 19 to 18Mar 27, 2024 to Mar 31, 2025
- Charity clients · 1 to 3Mar 27, 2024 to Mar 31, 2025
- HNW clients · 23 to 21Mar 27, 2024 to Mar 31, 2025
- Employees · 43 to 41Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $503M to $505MMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $170M to $172MMar 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $1.2MMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $281M to $270MMar 27, 2024 to Mar 31, 2025
- RAUM · $503M to $506MMar 27, 2024 to Mar 31, 2025
- Accounts · 37 to 34Dec 11, 2023 to Mar 27, 2024
- HNW clients · 26 to 23Dec 11, 2023 to Mar 27, 2024
- Employees · 48 to 43Dec 11, 2023 to Mar 27, 2024
- Discretionary RAUM · $428M to $503MDec 11, 2023 to Mar 27, 2024
- HNW RAUM · $203M to $170MDec 11, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $191M to $281MDec 11, 2023 to Mar 27, 2024
- RAUM · $428M to $503MDec 11, 2023 to Mar 27, 2024
- Advisory employees · 21 to 19Mar 30, 2022 to Mar 31, 2023
- Employees · 50 to 48Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $634M to $428MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $425M to $203MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $166M to $191MMar 30, 2022 to Mar 31, 2023
- RAUM · $634M to $428MMar 30, 2022 to Mar 31, 2023
- Accounts · 34 to 37Jan 6, 2022 to Mar 30, 2022
- Advisory employees · 16 to 21Jan 6, 2022 to Mar 30, 2022
- Pooled vehicle clients · 3 to 6Jan 6, 2022 to Mar 30, 2022
- Employees · 43 to 50Jan 6, 2022 to Mar 30, 2022
- Private funds · 1 to 2Jan 6, 2022 to Mar 30, 2022
- Discretionary RAUM · $433M to $634MJan 6, 2022 to Mar 30, 2022
Signals
9 dated events
- E Jennifer R••• (Chief Operating Officer) appeared on Schedule A of H••••••• C•••••• A••••••• L•Mar 27, 2024 · Control person joined · fact
- Dearholt Wendy Goodrich (Chief Operating Officer) no longer on Schedule A of H••••••• C•••••• A••••••• L• (listed 2023-12-11, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- H••••••• C•••••• A••••••• L• reported RAUM $427.9M, down 32% from $633.6M (2022-03-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- C W•••••• Pan (Limited Partner) appeared on Schedule A of H••••••• C•••••• A••••••• L•Mar 31, 2023 · Control person joined · fact
- H••••••• C•••••• A••••••• L• reported RAUM $633.6M, up 46% from $432.7M (2022-01-06 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Yau Dun Lee (Chief Compliance Officer) appeared on Schedule A of H••••••• C•••••• A••••••• L•Mar 30, 2022 · Control person joined · fact
- N••••• M•••••• S••••• (Chief Compliance Officer) no longer on Schedule A of H••••••• C•••••• A••••••• L• (listed 2022-01-06, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- H••••••• C•••••• A••••••• L• reported RAUM $432.7M, up 50% from $289.0M (2020-06-30 to 2021-03-18)Mar 18, 2021 · RAUM change · derived
- H••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Nov 1, 2019 · 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
- 212-832-5280reportedpublic record, Form ADV, Mar 31, 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
- Wealth manager with institutional or fund businessderiveda 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