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••••• A•••• M••••••••• ••• L••••••
Latest filing Mar 4, 2026
First filing on the tape May 13, 2021 · 6 filings
SEC status approved since Jun 14, 2021
RAUM
$290M
reported, Item 5.F
Discretionary
88%
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$290M as of Mar 4, 2026
Mar 18, 2022$211M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 4, 2026
Mar 18, 20220 then
Employees (5.A)3 as of Mar 4, 2026
Mar 18, 20223 then
Private funds: no history
RAUM n/a over the last fiscal year+6.9% a year over three
Practice profile
derived from the filing of Mar 4, 2026; 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
- $145MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%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
- 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, 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$290M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- 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
- S•••• D•• · Chief Financial Officer/ Chief Compliance Officer/ Executive Directorcontrolsince 06/2017 · owns less than 5%
- T•••• Y•• · Chief Executive Officer / Executive Directorcontrolsince 06/2017 · owns less than 5%
- X••••• Y•• · Non-Executive Directorcontrolsince 06/2017 · owns 50% to 75%
- S•••• D•• · Shareholder Of M••••••• H••••••• L••••••controlsince 07/2015 · owns 75% or more of M••••••• H••••••• L••••••
- T•••• Y•• · Shareholder Of M••••••• H••••••• L••••••controlsince 07/2015 · owns F of M••••••• H••••••• L••••••
Entity owners
- M••••••• H••••••• L•••••• · Holding Company Of H••••• A•••• M••••••••• ••• L••••••direct · owns 50% to 75%
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
- Discretionary RAUM · $33.0M to $255MMay 1, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $253M to $35.0MMay 1, 2025 to Mar 4, 2026
- Pooled vehicle RAUM · $286M to $290MMay 1, 2025 to Mar 4, 2026
- RAUM · $286M to $290MMay 1, 2025 to Mar 4, 2026
- Financial planning clients · unset to Mar 22, 2024 to May 1, 2025
- HQ state · unset to Mar 22, 2024 to May 1, 2025
- Discretionary RAUM · $25.5M to $33.0MMar 22, 2024 to May 1, 2025
- Non-discretionary RAUM · $182M to $253MMar 22, 2024 to May 1, 2025
- Pooled vehicle RAUM · $207M to $286MMar 22, 2024 to May 1, 2025
- RAUM · $207M to $286MMar 22, 2024 to May 1, 2025
- Discretionary RAUM · $27.8M to $25.5MMar 22, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $210M to $182MMar 22, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $238M to $207MMar 22, 2023 to Mar 22, 2024
- RAUM · $238M to $207MMar 22, 2023 to Mar 22, 2024
- Discretionary RAUM · $19.4M to $27.8MMar 18, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $192M to $210MMar 18, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $211M to $238MMar 18, 2022 to Mar 22, 2023
- RAUM · $211M to $238MMar 18, 2022 to Mar 22, 2023
- Accounts · 1 to 2May 13, 2021 to Mar 18, 2022
- Pooled vehicle clients · 1 to 2May 13, 2021 to Mar 18, 2022
- Discretionary RAUM · $0 to $19.4MMay 13, 2021 to Mar 18, 2022
- Non-discretionary RAUM · $147M to $192MMay 13, 2021 to Mar 18, 2022
- Pooled vehicle RAUM · $147M to $211MMay 13, 2021 to Mar 18, 2022
- RAUM · $147M to $211MMay 13, 2021 to Mar 18, 2022
Signals
1 dated events
- H••••• A•••• M••••••••• ••• L•••••• filed its initial SEC registration (Form ADV)May 13, 2021 · 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
- (852) 2293 2215/ 2293 2216reportedpublic record, Form ADV, Mar 4, 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