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•••••••••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 304719SEC 801-119829IAPD
Legal name H••••••• I••••••••• L••
Latest filing Jun 16, 2021
First filing on the tape Oct 20, 2020 · 9 filings
RAUM
$33.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$31.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$33.2M as of Jun 16, 2021
Oct 20, 2020$58.0M then
HNW client RAUM$28.7M as of Jun 16, 2021
Oct 20, 2020$57.7M then
State-registered IARs (5.B.3)1 as of Jun 16, 2021
Oct 20, 20205 then
Employees (5.A)10 as of Jun 16, 2021
Oct 20, 202013 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 16, 2021; every figure names its basis
RAUM per advisor
$33.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
98derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$350,000derivedHNW RAUM over HNW clients
Average account
$230,556derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
10.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, hourly, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for investment companiesreportedItem 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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • a related person has custody of client cash (9.B.1.a)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$28.7M86%
  • Individuals$3.0M9.0%
  • Corporations and businesses$1.5M4.5%
Individual clients
16reported
HNW clients
82reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
144reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, hourly, 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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M•••••••• J••••• A••••• · Ceo & Ccocontrol
    since 06/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 3 to 1
    May 26, 2021 to Jun 16, 2021
  • Employees · 12 to 10
    May 26, 2021 to Jun 16, 2021
  • State-registered IARs · 3 to 1
    May 26, 2021 to Jun 16, 2021
  • Accounts · 95 to 144
    Mar 9, 2021 to Mar 12, 2021
  • Charity clients · unset to 0.0
    Mar 9, 2021 to Mar 12, 2021
  • Corporate clients · unset to 6.0
    Mar 9, 2021 to Mar 12, 2021
  • HNW clients · 86 to 82
    Mar 9, 2021 to Mar 12, 2021
  • Individual clients · 18 to 16
    Mar 9, 2021 to Mar 12, 2021
  • Pension plan clients · unset to 0.0
    Mar 9, 2021 to Mar 12, 2021
  • Pooled vehicle clients · unset to 0.0
    Mar 9, 2021 to Mar 12, 2021
  • Assets in custody · $58.0M to $0
    Mar 9, 2021 to Mar 12, 2021
  • Discretionary RAUM · $58.0M to $33.2M
    Mar 9, 2021 to Mar 12, 2021
  • HNW RAUM · $57.7M to $28.7M
    Mar 9, 2021 to Mar 12, 2021
  • Individual RAUM · $300,000 to $3.0M
    Mar 9, 2021 to Mar 12, 2021
  • Pension RAUM · unset to 0.0
    Mar 9, 2021 to Mar 12, 2021
  • Pooled vehicle RAUM · unset to 0.0
    Mar 9, 2021 to Mar 12, 2021
  • RAUM · $58.0M to $33.2M
    Mar 9, 2021 to Mar 12, 2021
  • Advisory employees · 5 to 3
    Nov 25, 2020 to Feb 25, 2021
  • Employees · 13 to 12
    Nov 25, 2020 to Feb 25, 2021
  • State-registered IARs · 5 to 3
    Nov 25, 2020 to Feb 25, 2021
Signals
2 dated events
  • Myrick Loreal Mcdonald (Cco) no longer on Schedule A of H••••••• I••••••••• (listed 2020-10-20, absent 2020-11-25)
    Nov 25, 2020 · Control person left · inference
  • H••••••• I••••••••• filed its initial SEC registration (Form ADV)
    Oct 20, 2020 · 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