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••••••••• C••••••

Former SEC-registered adviserAtlanta, GeorgiaCRD 305678SEC 801-117431IAPD
Legal name H•••• I••••••••• C••••••• L••
Latest filing Mar 22, 2022
First filing on the tape Sep 3, 2019 · 12 filings
RAUM
$274M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$266M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$274M as of Mar 18, 2022
Jan 30, 2020$210M then
HNW client RAUM$263M as of Mar 18, 2022
Jan 30, 2020$205M then
State-registered IARs (5.B.3)2 as of Mar 18, 2022
Jan 30, 20202 then
Employees (5.A)5 as of Mar 18, 2022
Jan 30, 20204 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Mar 22, 2022; every figure names its basis
RAUM per advisor
$137MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
17derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$10.1MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.1%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$60.4M, 17 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$263M96%
  • Charitable organizations$7.9M2.9%
  • Individuals$3.1M1.1%
Individual clients
7reported
HNW clients
26reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
192reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$60.4M for 17 clientsreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••• C•••• A••• · Managing Director And Chief Compliance Officercontrol
      since 10/2019 · 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
    • Accounts · 175 to 192
      Apr 2, 2021 to Mar 18, 2022
    • HNW clients · 25 to 26
      Apr 2, 2021 to Mar 18, 2022
    • Assets in custody · $43.9M to $60.4M
      Apr 2, 2021 to Mar 18, 2022
    • State-registered IARs · 3 to 2
      Apr 2, 2021 to Mar 18, 2022
    • Discretionary RAUM · $229M to $267M
      Apr 2, 2021 to Mar 18, 2022
    • HNW RAUM · $225M to $263M
      Apr 2, 2021 to Mar 18, 2022
    • Individual RAUM · $3.1M to $3.1M
      Apr 2, 2021 to Mar 18, 2022
    • Non-discretionary RAUM · $5.1M to $7.2M
      Apr 2, 2021 to Mar 18, 2022
    • RAUM · $234M to $274M
      Apr 2, 2021 to Mar 18, 2022
    • Accounts · 167 to 175
      Jan 26, 2021 to Mar 17, 2021
    • Individual clients · 6 to 7
      Jan 26, 2021 to Mar 17, 2021
    • Assets in custody · $28.6M to $43.9M
      Jan 26, 2021 to Mar 17, 2021
    • Employees · 4 to 5
      Jan 26, 2021 to Mar 17, 2021
    • State-registered IARs · 2 to 3
      Jan 26, 2021 to Mar 17, 2021
    • Discretionary RAUM · $205M to $229M
      Jan 26, 2021 to Mar 17, 2021
    • HNW RAUM · $205M to $225M
      Jan 26, 2021 to Mar 17, 2021
    • Individual RAUM · $3.6M to $3.1M
      Jan 26, 2021 to Mar 17, 2021
    • Non-discretionary RAUM · $5.6M to $5.1M
      Jan 26, 2021 to Mar 17, 2021
    • RAUM · $210M to $234M
      Jan 26, 2021 to Mar 17, 2021
    • Accounts · 0 to 167
      Dec 4, 2019 to Jan 30, 2020
    • Charity clients · unset to 2.0
      Dec 4, 2019 to Jan 30, 2020
    • HNW clients · unset to 25.0
      Dec 4, 2019 to Jan 30, 2020
    • Individual clients · unset to 6.0
      Dec 4, 2019 to Jan 30, 2020
    • Assets in custody · unset to 28623532.0
      Dec 4, 2019 to Jan 30, 2020
    • Custody of client assets · false to true
      Dec 4, 2019 to Jan 30, 2020
    • Insurance-licensed employees · 1 to 0
      Dec 4, 2019 to Jan 30, 2020
    • State-registered IARs · 1 to 2
      Dec 4, 2019 to Jan 30, 2020
    • Discretionary RAUM · $0 to $205M
      Dec 4, 2019 to Jan 30, 2020
    • HNW RAUM · unset to 204862043.0
      Dec 4, 2019 to Jan 30, 2020
    • Individual RAUM · unset to 3608999.0
      Dec 4, 2019 to Jan 30, 2020
    • Non-discretionary RAUM · $0 to $5.6M
      Dec 4, 2019 to Jan 30, 2020
    • RAUM · $0 to $210M
      Dec 4, 2019 to Jan 30, 2020
    Signals
    4 dated events
    • C••••••••• B•••• S•••• left H•••• I••••••••• C•••••• for N•• R••••••• P••••••• (registered 2022-11-28)
      Dec 31, 2022 · Advisor changed firm · fact
    • C••• A••• H•••• left H•••• I••••••••• C•••••• for N•• R••••••• P••••••• (registered 2022-11-06)
      Dec 31, 2022 · Advisor changed firm · fact
    • 2 advisors left H•••• I••••••••• C•••••• (Atlanta, GA) for N•• R••••••• P••••••• on the same day
      Dec 31, 2022 · Team lift-out · derived
    • H•••• I••••••••• C•••••• filed its initial SEC registration (Form ADV)
      Sep 3, 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.
    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