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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
H•••••••• F••••••••• L••
Latest filing Jun 23, 2021
First filing on the tape Jun 22, 2020 · 7 filings
RAUM
$6.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$6.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$6.3M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$6.3M as of Jun 23, 2021
Jun 22, 2020$0 then
HNW client RAUM$0 as of Jun 23, 2021
Feb 3, 2021$0 then
State-registered IARs (5.B.3)1 as of Jun 23, 2021
Jun 22, 20201 then
Employees (5.A)1 as of Jun 23, 2021
Jun 22, 20201 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 23, 2021; every figure names its basis
- RAUM per advisor
- $6.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $88,065derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$6.3M100%
- Individual clients
- 71reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 71reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• A••••• P••••••• | Redding, Ct | Dec 5, 2024 | 20 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• M•••• A••••• · Managing Member & Chief Compliance Officercontrolsince 05/2020 · owns 75% or more
Related persons
Schedule D 7.A
- M••• A••••• P•••••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 71Aug 24, 2020 to Feb 3, 2021
- Advisory employees · 2 to 1Aug 24, 2020 to Feb 3, 2021
- Charity clients · unset to 0.0Aug 24, 2020 to Feb 3, 2021
- Corporate clients · unset to 0.0Aug 24, 2020 to Feb 3, 2021
- HNW clients · unset to 0.0Aug 24, 2020 to Feb 3, 2021
- Individual clients · unset to 71.0Aug 24, 2020 to Feb 3, 2021
- Pension plan clients · unset to 0.0Aug 24, 2020 to Feb 3, 2021
- Pooled vehicle clients · unset to 0.0Aug 24, 2020 to Feb 3, 2021
- Employees · 2 to 1Aug 24, 2020 to Feb 3, 2021
- State-registered IARs · 2 to 1Aug 24, 2020 to Feb 3, 2021
- Discretionary RAUM · $5.4M to $6.3MAug 24, 2020 to Feb 3, 2021
- HNW RAUM · unset to 0.0Aug 24, 2020 to Feb 3, 2021
- Individual RAUM · $5.4M to $6.3MAug 24, 2020 to Feb 3, 2021
- Pension RAUM · unset to 0.0Aug 24, 2020 to Feb 3, 2021
- Pooled vehicle RAUM · unset to 0.0Aug 24, 2020 to Feb 3, 2021
- RAUM · $5.4M to $6.3MAug 24, 2020 to Feb 3, 2021
- Accounts · 0 to 1Jul 22, 2020 to Aug 24, 2020
- Advisory employees · 1 to 2Jul 22, 2020 to Aug 24, 2020
- Employees · 1 to 2Jul 22, 2020 to Aug 24, 2020
- Financial planning clients · unset to 0Jul 22, 2020 to Aug 24, 2020
- State-registered IARs · 1 to 2Jul 22, 2020 to Aug 24, 2020
- Discretionary RAUM · $0 to $5.4MJul 22, 2020 to Aug 24, 2020
- Individual RAUM · unset to 5400000.0Jul 22, 2020 to Aug 24, 2020
- RAUM · $0 to $5.4MJul 22, 2020 to Aug 24, 2020
Signals
1 dated events
- H•••••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Jun 22, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/H••••••••-FINANCIALreportedpublic record, Form ADV, Sep 19, 2026
- Website
- thetape.reportreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $6.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026