DFX Intelligence
RIA Intelligence
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SEC-registered adviser
H••••••• C••••• I••••••••• L••
Latest filing Jul 16, 2026
First filing on the tape Jun 25, 2025 · 4 filings
SEC status approved since Jul 25, 2025
RAUM
$563M
reported, Item 5.F
Discretionary
100%
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
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$563M as of Jul 16, 2026
Jun 25, 2025$452M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 16, 2026
Jun 25, 20250 then
Employees (5.A)9 as of Jul 16, 2026
Jun 25, 20257 then
Private funds4 as of Jul 16, 2026
Jun 25, 20257 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 16, 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
- $51.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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 businesses and institutions, 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
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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$560M100%
- Corporations and businesses$2.4M0.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••••• C••••• I••••••••• L• | Hedge Fund | $97.2M | 25 | Aug 20, 2020 |
| H••••••• C••••• S•••••• O••••••••• L• | Hedge Fund | $6.1M | 4 | Mar 4, 2024 |
| A•••••• ••• | Hedge Fund | $4.2M | 2 | Mar 4, 2024 |
| A•••••• ••• | Hedge Fund | $3.1M | 2 | Mar 4, 2024 |
| A•••••• ••• | Hedge Fund | $2.5M | 2 | Mar 16, 2023 |
Owners and control persons
Schedule A and B, latest filing
- M••••••••• D•••• · Chief Financial Officer/ Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- R••••• G•••••• E• · Chief Operating Officercontrolsince 01/2021 · owns less than 5%
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 · 10 to 11Oct 16, 2025 to Mar 31, 2026
- Advisory employees · 5 to 4Oct 16, 2025 to Mar 31, 2026
- Advisory activities · 1 to 2Oct 16, 2025 to Mar 31, 2026
- Corporate clients · unset to 2.0Oct 16, 2025 to Mar 31, 2026
- Pooled vehicle clients · 10 to 9Oct 16, 2025 to Mar 31, 2026
- Assets in custody · 445882115.0 to unsetOct 16, 2025 to Mar 31, 2026
- Custody of client assets · true to falseOct 16, 2025 to Mar 31, 2026
- Employees · 7 to 9Oct 16, 2025 to Mar 31, 2026
- Private funds · 7 to 4Oct 16, 2025 to Mar 31, 2026
- Discretionary RAUM · $452M to $563MOct 16, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $452M to $560MOct 16, 2025 to Mar 31, 2026
- RAUM · $452M to $563MOct 16, 2025 to Mar 31, 2026
- Related adviser · false to trueJun 25, 2025 to Oct 16, 2025
Signals
No event on the tape.
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/harraden-circle-investments-llcreportedpublic record, Form ADV, Sep 21, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (212) 832-0112reportedpublic record, Form ADV, Jul 16, 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