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

P•••••••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 314783SEC 801-122949IAPD
Legal name H•••••• R•• S••• L••
Latest filing Sep 6, 2024
First filing on the tape Nov 30, 2021 · 9 filings
RAUM
$2.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$2.2M as of Mar 27, 2024
Mar 31, 2023$420,920 then
HNW client RAUM$350,012 as of Mar 27, 2024
Mar 31, 2023$23,071 then
State-registered IARs (5.B.3)2 as of Mar 27, 2024
Mar 31, 20232 then
Employees (5.A)11 as of Mar 27, 2024
Mar 31, 20239 then
Private funds: no history
RAUM +416% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Sep 6, 2024; every figure names its basis
RAUM per advisor
$1.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
1,527derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3,366derivedHNW RAUM over HNW clients
Average account
$711derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+416%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+181%derived
Compensation
otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$1.8M84%
  • High-net-worth individuals$350,01216%
Individual clients
2,949reported
HNW clients
104reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3,053reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••• D••••• J••• · Chief Executive Officercontrol
        since 04/2021 · owns less than 5%
      • K••••••••• T•••••••• N••••••• · Chief Compliance Officercontrol
        since 04/2021 · owns less than 5%
      • A••••••• J•••• P•••••• · Membercontrol
        since 05/2013 · owns 75% or more of F•• I••••••••• L••
      • H••••••• D••••• J••• · Trusteecontrol
        since 08/2019 · owns F of C••• H•••••• R•••••••• T••••
      • H••••••• S••••••• C••• · Trusteecontrol
        since 08/2019 · owns F of C••• H•••••• R•••••••• T••••
      Entity owners
      • H•••••• L•••• I••• · Member
        direct · owns 75% or more
      • C••• H•••••• R•••••••• T•••• · Member
        indirect · owns 25% to 50% of H•••••• L•••• I•••
      • F•• I••••••••• L•• · Member
        indirect · owns 25% to 50% of H•••••• L•••• I•••
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list P••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Business name · H•••••• R•• S••• L•• to P•••••••
        Mar 27, 2024 to Sep 6, 2024
      • Accounts · 2,486 to 3,053
        Jul 10, 2023 to Mar 27, 2024
      • HNW clients · 38 to 104
        Jul 10, 2023 to Mar 27, 2024
      • Individual clients · 1,049 to 2,949
        Jul 10, 2023 to Mar 27, 2024
      • Employees · 9 to 11
        Jul 10, 2023 to Mar 27, 2024
      • Discretionary RAUM · $420,920 to $2.2M
        Jul 10, 2023 to Mar 27, 2024
      • HNW RAUM · $23,071 to $350,012
        Jul 10, 2023 to Mar 27, 2024
      • Individual RAUM · $397,849 to $1.8M
        Jul 10, 2023 to Mar 27, 2024
      • RAUM · $420,920 to $2.2M
        Jul 10, 2023 to Mar 27, 2024
      • Accounts · 0 to 2,486
        Nov 7, 2022 to Mar 31, 2023
      • Advisory employees · 2 to 3
        Nov 7, 2022 to Mar 31, 2023
      • HNW clients · unset to 38.0
        Nov 7, 2022 to Mar 31, 2023
      • Individual clients · unset to 1049.0
        Nov 7, 2022 to Mar 31, 2023
      • Employees · 14 to 9
        Nov 7, 2022 to Mar 31, 2023
      • Discretionary RAUM · $0 to $420,920
        Nov 7, 2022 to Mar 31, 2023
      • HNW RAUM · unset to 23071.0
        Nov 7, 2022 to Mar 31, 2023
      • Individual RAUM · unset to 397849.0
        Nov 7, 2022 to Mar 31, 2023
      • RAUM · $0 to $420,920
        Nov 7, 2022 to Mar 31, 2023
      • Business name · P••••••• to H•••••• R•• S••• L••
        Dec 21, 2021 to Feb 16, 2022
      Signals
      1 dated events
      • Playbook filed its initial SEC registration (Form ADV)
        Nov 30, 2021 · 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.
      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