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••••• P••• M••••••••• L••
Latest filing Mar 31, 2025
First filing on the tape Jan 13, 2022 · 8 filings
SEC status approved since Feb 11, 2022
RAUM
$57.0M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
95%
$54.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$57.0M as of Mar 31, 2025
Mar 27, 2023$116M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2025
Mar 27, 20231 then
Employees (5.A)2 as of Mar 31, 2025
Mar 27, 20235 then
Private funds1 as of Feb 27, 2025
Mar 27, 20231 then
RAUM -48% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
- RAUM per advisor
- $57.0MderivedRAUM 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
- $792,297derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -48%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
- 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$54.0M96%
- Pension and profit-sharing plans$1.3M2.3%
- Charitable organizations$1.1M1.9%
- Individual clients
- 59reported
- HNW clients
- n/areported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 72reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• P••• C•••••• I• L• | Private Equity Fund | $55.5M | 63 | Jan 13, 2022 |
Owners and control persons
Schedule A and B, latest filing
- J•••••• S•••••• P• · Managing Partner And Chief Compliance Officercontrolsince 01/2022 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Wappingers Falls, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 84 to 72Feb 27, 2025 to Mar 31, 2025
- Advisory employees · 2 to 1Feb 27, 2025 to Mar 31, 2025
- Advisory activities · 5 to 4Feb 27, 2025 to Mar 31, 2025
- Individual clients · 68 to 59Feb 27, 2025 to Mar 31, 2025
- Pooled vehicle clients · 1.0 to unsetFeb 27, 2025 to Mar 31, 2025
- Assets in custody · 55457302.0 to unsetFeb 27, 2025 to Mar 31, 2025
- Custody of client assets · true to falseFeb 27, 2025 to Mar 31, 2025
- Employees · 3 to 2Feb 27, 2025 to Mar 31, 2025
- Private funds · 1 to unsetFeb 27, 2025 to Mar 31, 2025
- Discretionary RAUM · $108M to $56.4MFeb 27, 2025 to Mar 31, 2025
- Individual RAUM · $49.2M to $54.0MFeb 27, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $591,458 to $683,785Feb 27, 2025 to Mar 31, 2025
- Pension RAUM · $2.8M to $1.3MFeb 27, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · 55457302.0 to unsetFeb 27, 2025 to Mar 31, 2025
- RAUM · $109M to $57.0MFeb 27, 2025 to Mar 31, 2025
- Accounts · 83 to 84Mar 27, 2023 to Mar 28, 2024
- Advisory employees · 3 to 2Mar 27, 2023 to Mar 28, 2024
- Advisory activities · 3 to 5Mar 27, 2023 to Mar 28, 2024
- Charity clients · unset to 1.0Mar 27, 2023 to Mar 28, 2024
- Individual clients · 67 to 68Mar 27, 2023 to Mar 28, 2024
- Pension plan clients · unset to 3.0Mar 27, 2023 to Mar 28, 2024
- Assets in custody · $61.7M to $55.5MMar 27, 2023 to Mar 28, 2024
- Employees · 5 to 3Mar 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $115M to $108MMar 27, 2023 to Mar 28, 2024
- Individual RAUM · $49.9M to $49.2MMar 27, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $488,725 to $591,458Mar 27, 2023 to Mar 28, 2024
- Pension RAUM · $2.6M to $2.8MMar 27, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $61.7M to $55.5MMar 27, 2023 to Mar 28, 2024
- RAUM · $116M to $109MMar 27, 2023 to Mar 28, 2024
- Accounts · 63 to 83Nov 22, 2022 to Mar 27, 2023
- Charity clients · 1.0 to unsetNov 22, 2022 to Mar 27, 2023
- Individual clients · 58 to 67Nov 22, 2022 to Mar 27, 2023
- Pension plan clients · 3.0 to unsetNov 22, 2022 to Mar 27, 2023
- Assets in custody · $67.0M to $61.7MNov 22, 2022 to Mar 27, 2023
- Discretionary RAUM · $133M to $115MNov 22, 2022 to Mar 27, 2023
- Individual RAUM · $61.8M to $49.9MNov 22, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $0 to $488,725Nov 22, 2022 to Mar 27, 2023
- Pension RAUM · $3.0M to $2.6MNov 22, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $67.0M to $61.7MNov 22, 2022 to Mar 27, 2023
- RAUM · $133M to $116MNov 22, 2022 to Mar 27, 2023
Signals
3 dated events
- H••••• P••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $57.0M)Aug 1, 2025 · Left the SEC roster · derived
- John William Worfolk (Chief Compliance Officer) no longer on Schedule A of H••••• P••• M••••••••• L•• (listed 2023-03-27, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- H••••• P••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 13, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••• P••• M••••••••• L•• · Private Equityshared crd · organization
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