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•••••• M•••••••••
Legal name H••••• P•••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 15, 2020 · 12 filings
SEC status approved since May 15, 2020
RAUM
$1.1B
reported, Item 5.F
Discretionary
68%
of RAUM
Private clients
69%
$751M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$156M
derived; firm RAUM over IAPD count
Employees
12
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2026
Mar 30, 2021$801M then
HNW client RAUM$751M as of Mar 31, 2026
Mar 30, 2021$646M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 30, 20212 then
Employees (5.A)12 as of Mar 31, 2026
Mar 30, 20215 then
Private funds1 as of Mar 31, 2026
Mar 30, 20211 then
RAUM +6.7% over the last fiscal year+8.6% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $156MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 68%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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 vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- $1.3BreportedItem 5.I
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$751M69%
- Corporations and businesses$102M9.4%
- Charitable organizations$90.8M8.3%
- Pooled investment vehicles$85.6M7.9%
- State and municipal entities$55.4M5.1%
- Investment companies$2.9M0.3%
- Pension and profit-sharing plans$1.4M0.1%
- Individual clients
- n/areported
- HNW clients
- 485reported
- Pension plan clients
- 4reported
- Charitable clients
- 19reported
- Accounts
- 537reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $660M sponsored, $660M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.69 fund_share=0.08 institutional_share=0.14 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• L•• W•••••Chartered Financial Consultant | Lombard, Il | Jun 2, 2020 | 24 y | 1 |
| R••••• H••••• P•••••• | Lombard, Il | Jun 2, 2020 | 44 y | 4 |
| P•••• L••••• | Lombard, Il | Apr 20, 2021 | 23 y | 1 |
| G•••••• E••••• W••• | Lombard, Il | May 24, 2021 | 45 y | 2 |
| J•••••• R••••• K••••Chartered Financial Analyst | Lombard, Il | Feb 20, 2026 | 30 y | 1 |
| C•••• P• P•••••••Chartered Financial Analyst | Lombard, Il | Feb 27, 2026 | 20 y | 4 |
| R•••••• W•••••• H••••• | Lombard, Il | Feb 27, 2026 | 33 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R•••••• W•••••• H••••• from Q•• E••••• I•••••••• L••Feb 27, 2026 · Other
- C•••• P• P••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 27, 2026 · Wirehouse to independent RIA
- J•••••• R••••• K•••• from Q•• E••••• I•••••••• L••Feb 20, 2026 · Other
- G•••••• E••••• W••• from P•••••• I••••••••• M••••••••• L••May 24, 2021 · Other
- P•••• L••••• from R••••• W• B•••• • C•• I•••••••••Apr 20, 2021 · Other
- B••••••• L•• W••••• from P••••• L••Jun 2, 2020 · RIA to a newly registered adviser
- R••••• H••••• P•••••• from P••••• L••Jun 2, 2020 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Q•• E••••• I•••••••• L••Feb 5, 2026 · Naperville, Il
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• D••••••••• F•••• L•• | Private Equity Fund | $16.3M | 12 | Mar 30, 2021 |
Owners and control persons
Schedule A and B, latest filing
- P••••••• A•••• H••••• · Ceocontrolsince 04/2020 · owns 25% to 50%
- M••••••••• T•••••• A••••• · Membersince 04/2020 · owns 5% to 10%
- P••••••• T•••••• M••• · Membersince 01/2021 · owns 5% to 10%
- R••••••• R••••••• P•••••• · Chief Compliance Officersince 04/2020 · owns less than 5%
- W•••••• B•••••••• L•• · Presidentsince 04/2020 · owns less than 5%
Entity owners
- P•••••• M••• H••••• F••••••••• · Charitable Foundationdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lombard, Il · principal | 7 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 470 to 537Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 5 to 8Mar 28, 2025 to Mar 31, 2026
- Charity clients · 10 to 19Mar 28, 2025 to Mar 31, 2026
- Corporate clients · unset to 20.0Mar 28, 2025 to Mar 31, 2026
- HNW clients · 458 to 485Mar 28, 2025 to Mar 31, 2026
- Pension plan clients · unset to 4.0Mar 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · unset to 2.0Mar 28, 2025 to Mar 31, 2026
- Employees · 10 to 12Mar 28, 2025 to Mar 31, 2026
- Financial planning clients · to 0Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $741M to $743MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $769M to $751MMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $280M to $346MMar 28, 2025 to Mar 31, 2026
- Pension RAUM · unset to 1410057.0Mar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · unset to 85620016.0Mar 28, 2025 to Mar 31, 2026
- RAUM · $1.0B to $1.1BMar 28, 2025 to Mar 31, 2026
- Accounts · 374 to 470Mar 28, 2024 to Mar 28, 2025
- Charity clients · 13 to 10Mar 28, 2024 to Mar 28, 2025
- Corporate clients · 5.0 to unsetMar 28, 2024 to Mar 28, 2025
- HNW clients · 352 to 458Mar 28, 2024 to Mar 28, 2025
- Employees · 8 to 10Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $645M to $741MMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $680M to $769MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $245M to $280MMar 28, 2024 to Mar 28, 2025
- RAUM · $890M to $1.0BMar 28, 2024 to Mar 28, 2025
- Wrap assets (manager) · $645M to $660MMar 28, 2024 to Mar 28, 2025
- Wrap assets (sponsor) · $645M to $660MMar 28, 2024 to Mar 28, 2025
- Accounts · 380 to 374Mar 21, 2023 to Mar 28, 2024
- BD registered reps · 1 to 0Mar 21, 2023 to Mar 28, 2024
- HNW clients · 362 to 352Mar 21, 2023 to Mar 28, 2024
- Assets in custody · 39112379.0 to unsetMar 21, 2023 to Mar 28, 2024
- Custody of client assets · true to falseMar 21, 2023 to Mar 28, 2024
- Discretionary RAUM · $617M to $645MMar 21, 2023 to Mar 28, 2024
- HNW RAUM · $694M to $680MMar 21, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $234M to $245MMar 21, 2023 to Mar 28, 2024
- RAUM · $850M to $890MMar 21, 2023 to Mar 28, 2024
- Wrap assets (manager) · $617M to $645MMar 21, 2023 to Mar 28, 2024
- Wrap assets (sponsor) · $617M to $645MMar 21, 2023 to Mar 28, 2024
- Accounts · 358 to 380Mar 29, 2022 to Mar 21, 2023
- Advisory activities · 2 to 3Mar 29, 2022 to Mar 21, 2023
Signals
4 dated events
- 2 advisors left Q•• E••••• I•••••••• L•• (Naperville, IL) for H••••• C•••••• M••••••••• on the same dayFeb 5, 2026 · Team lift-out · derived
- H••••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 15, 2020 · Succession (Item 4) · fact
- H••••• A••• P•••••• (Ceo) appeared on Schedule A of H••••• C•••••• M•••••••••Apr 15, 2020 · Control person joined · fact
- H••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 15, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••• C•••••• M••••••••• · Independent Sponsorsshared crd · capital_provider
- H••••• C•••••• M••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 312-341-9727reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 415-872-7003reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 833-835-1171reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- hunterfunds.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-341-9727reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- hunterfunds.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $156Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026