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•••••••• P•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 17, 2021 · 19 filings
SEC status approved since Mar 18, 2021
RAUM
$1.4B
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
27
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
18
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.4B as of Mar 27, 2026
Mar 31, 2022$393M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 31, 20220 then
Employees (5.A)27 as of Mar 27, 2026
Mar 31, 202221 then
Private funds18 as of Mar 27, 2026
Mar 31, 20221 then
RAUM +6.7% over the last fiscal year+43% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $75.5MderivedRAUM 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
- +6.7%derivedbetween 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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.4B, 18 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 18reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.4B for 18 clientsreported
- 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
19 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••••• P••••••• I••• L••• | Private Equity Fund | $551M | 97 | Mar 30, 2018 |
| H•••••••• P••••••• I•• L• | Private Equity Fund | $506M | 110 | Feb 17, 2021 |
| H•••••••• P••••••• I•• L••• | Private Equity Fund | $239M | 128 | Feb 16, 2012 |
| C• Z•••• L•• | Private Equity Fund | $164M | 45 | Mar 21, 2016 |
| C• P•••• L•• | Private Equity Fund | $124M | 15 | Mar 29, 2021 |
| H•• G••••• L•• | Private Equity Fund | $105M | 16 | Mar 31, 2022 |
| C• M••••••••• L•• | Private Equity Fund | $96.8M | 30 | Mar 26, 2013 |
| C• H••••• L•• | Private Equity Fund | $94.2M | 31 | Mar 26, 2020 |
| C• T••••• L•• | Private Equity Fund | $76.8M | 25 | Mar 29, 2019 |
| H•• B••••• L•• | Private Equity Fund | $76.1M | 26 | Mar 31, 2023 |
| C• T•••• L•• | Private Equity Fund | $64.8M | 15 | Mar 29, 2019 |
| H•• S•••• L•• | Private Equity Fund | $63.0M | 17 | Mar 31, 2023 |
| H•• C•••• L•• | Private Equity Fund | $54.2M | 18 | Mar 31, 2022 |
| H•• P••••• L•• | Private Equity Fund | $36.9M | 13 | Mar 27, 2024 |
| H•• E••••• L•• | Private Equity Fund | $19.6M | 16 | Mar 29, 2021 |
| C• S•••••• L•• | Private Equity Fund | $3.7M | 33 | Mar 30, 2018 |
| C• T•••• L•• | Private Equity Fund | $2.1M | 16 | Mar 29, 2019 |
| C• P••••••• L•• | Private Equity Fund | $0 | 49 | Mar 21, 2016 |
| C• A••••• L•• | Private Equity Fund | $0 | 41 | Mar 31, 2015 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• M•••• D•••••• · Managing Membercontrolsince 02/2020 · owns 50% to 75%
- R•••••• B••••• N•• · Chief Compliance Officer/Chief Financial Officercontrolsince 10/2023 · owns less than 5%
- T•••••• R•••••• S•••• · Managing Membercontrolsince 02/2020 · owns 50% to 75%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 19 to 18Mar 28, 2025 to Mar 27, 2026
- Advisory employees · 20 to 22Mar 28, 2025 to Mar 27, 2026
- Pooled vehicle clients · 19 to 18Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $1.3B to $1.4BMar 28, 2025 to Mar 27, 2026
- Employees · 24 to 27Mar 28, 2025 to Mar 27, 2026
- Private funds · 19 to 18Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.3B to $1.4BMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.3B to $1.4BMar 28, 2025 to Mar 27, 2026
- RAUM · $1.3B to $1.4BMar 28, 2025 to Mar 27, 2026
- Assets in custody · $1.4B to $1.3BMar 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.4B to $1.3BMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.4B to $1.3BMar 27, 2024 to Mar 28, 2025
- RAUM · $1.4B to $1.3BMar 27, 2024 to Mar 28, 2025
- Accounts · 3 to 19Oct 25, 2023 to Mar 27, 2024
- Advisory employees · 21 to 20Oct 25, 2023 to Mar 27, 2024
- Pooled vehicle clients · 3 to 19Oct 25, 2023 to Mar 27, 2024
- Assets in custody · $462M to $1.4BOct 25, 2023 to Mar 27, 2024
- Employees · 25 to 24Oct 25, 2023 to Mar 27, 2024
- Private funds · 3 to 19Oct 25, 2023 to Mar 27, 2024
- Discretionary RAUM · $462M to $1.4BOct 25, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $462M to $1.4BOct 25, 2023 to Mar 27, 2024
- RAUM · $462M to $1.4BOct 25, 2023 to Mar 27, 2024
- Related adviser · true to falseOct 25, 2023 to Mar 27, 2024
- Accounts · 1 to 3Jul 6, 2022 to Mar 31, 2023
- Advisory employees · 18 to 21Jul 6, 2022 to Mar 31, 2023
- Pooled vehicle clients · 1 to 3Jul 6, 2022 to Mar 31, 2023
- Assets in custody · $393M to $462MJul 6, 2022 to Mar 31, 2023
- Employees · 21 to 25Jul 6, 2022 to Mar 31, 2023
- Financial planning clients · 0 to unsetJul 6, 2022 to Mar 31, 2023
- Private funds · 1 to 3Jul 6, 2022 to Mar 31, 2023
- Discretionary RAUM · $393M to $462MJul 6, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $393M to $462MJul 6, 2022 to Mar 31, 2023
- RAUM · $393M to $462MJul 6, 2022 to Mar 31, 2023
- Advisory employees · 20 to 18Jul 20, 2021 to Mar 31, 2022
- Assets in custody · $301M to $393MJul 20, 2021 to Mar 31, 2022
- Employees · 23 to 21Jul 20, 2021 to Mar 31, 2022
- Discretionary RAUM · $301M to $393MJul 20, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $301M to $393MJul 20, 2021 to Mar 31, 2022
- RAUM · $301M to $393MJul 20, 2021 to Mar 31, 2022
Signals
3 dated events
- H•••••••• P•••••••• L•• reported RAUM $1.4B, up 210% from $462.3M (2023-10-25 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Nmn Berat Rifati (Chief Compliance Officer) appeared on Schedule A of H•••••••• P•••••••• L••Oct 25, 2023 · Control person joined · fact
- H•••••••• P••••••• filed its initial SEC registration (Form ADV)Feb 17, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H•••••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- H•••••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- heartwoodpartners.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-625-0770reportedpublic record, Form ADV, Mar 27, 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