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••••••••• E••••• P•••••••• L••
Legal name H• M••••• L••
Latest filing Mar 31, 2026
First filing on the tape Sep 9, 2021 · 11 filings
SEC status approved since Oct 8, 2021
RAUM
$3.9B
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
45
45 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$3.9B as of Mar 31, 2026
Mar 31, 2022$199M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20220 then
Employees (5.A)45 as of Mar 31, 2026
Mar 31, 202218 then
Private funds5 as of Mar 31, 2026
Mar 31, 20221 then
RAUM +45% over the last fiscal year+44% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $554MderivedRAUM 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
- +45%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.9B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H• J••• I• L•• | Private Equity Fund | $792M | 1 | Nov 24, 2021 |
| H••••••••• R•••••••• M••••• F••• I• L••• | Private Equity Fund | $408M | 11 | Mar 30, 2023 |
| H••• G••••• E••••• S••••••• F•••• L••• | Private Equity Fund | $563,688 | 4 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• M••••••• K•••••• · Chief Financial Officercontrolsince 01/2022 · owns less than 5%
- M••••• C••••••••• E•••••••• · Chief Compliance Officercontrolsince 09/2021 · owns less than 5%
- P••••• P••••• J••• · Chief Operating Officercontrolsince 11/2023 · owns less than 5%
- S•••••• S•••••••• C••••• · Manager, Chief Executive Officercontrolsince 07/2021 · owns less than 5%
- S•••••• S•••••••• C••••• · Ownercontrolsince 01/2024 · owns 75% or more of H••••••••• E••••• P••••••• H•••••••• L••
- S•••••• S•••••••• C••••• · Ownercontrolsince 07/2021 · owns 75% or more of H••••••••• E••••• P•••••••• L••
Entity owners
- H••• H•••••• L•• · Memberdirect · owns 75% or more
- H••••••••• E••••• P••••••• H•••••••• L•• · Memberindirect · owns 75% or more of H••••••••• E••••• P•••••••• L••
- H••••••••• E••••• P•••••••• L•• · Memberindirect · owns 75% or more of H••• H•••••• L••
Related persons
Schedule D 7.A
- A• H• H•••••••• L•••investment adviserpooled vehicle sponsory
- H• G••••• O••••••••• G•• L••investment adviserpooled vehicle sponsory
- H• R•••••••• F••• I• G•• L••investment adviserpooled vehicle sponsory
- H••• C•••• H•••••• L••investment adviserpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-31, no on the filing of 2026-03-31peers: asset managers, $1B to $5B (1,506)
- private fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 3.0 to 5.0 (+67.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (1022 comparable advisers, 97.0th percentile of changes)peers: asset managers, $1B to $5B (1,022) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 5 to 7Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 36 to 45Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 7Mar 31, 2025 to Mar 31, 2026
- Custody of client assets · true to falseMar 31, 2025 to Mar 31, 2026
- Employees · 44 to 45Mar 31, 2025 to Mar 31, 2026
- Private funds · 3 to 5Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.7B to $3.9BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.7B to $3.9BMar 31, 2025 to Mar 31, 2026
- RAUM · $2.7B to $3.9BMar 31, 2025 to Mar 31, 2026
- Advisory employees · 26 to 36Jun 5, 2024 to Mar 31, 2025
- Employees · 31 to 44Jun 5, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jun 5, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.5B to $2.7BJun 5, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.5B to $2.7BJun 5, 2024 to Mar 31, 2025
- RAUM · $1.5B to $2.7BJun 5, 2024 to Mar 31, 2025
- Accounts · 3 to 5May 5, 2023 to Mar 28, 2024
- Advisory employees · 19 to 26May 5, 2023 to Mar 28, 2024
- Pooled vehicle clients · 3 to 5May 5, 2023 to Mar 28, 2024
- Assets in custody · $802M to $0May 5, 2023 to Mar 28, 2024
- Employees · 22 to 31May 5, 2023 to Mar 28, 2024
- Private funds · 2 to 3May 5, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.3B to $1.5BMay 5, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.3B to $1.5BMay 5, 2023 to Mar 28, 2024
- RAUM · $1.3B to $1.5BMay 5, 2023 to Mar 28, 2024
- Related adviser · false to trueMay 5, 2023 to Mar 28, 2024
- Accounts · 1 to 3May 4, 2022 to Mar 30, 2023
- Advisory employees · 15 to 19May 4, 2022 to Mar 30, 2023
- Pooled vehicle clients · 1 to 3May 4, 2022 to Mar 30, 2023
- Assets in custody · $376M to $802MMay 4, 2022 to Mar 30, 2023
- Employees · 18 to 22May 4, 2022 to Mar 30, 2023
- Other offices · 2 to 0May 4, 2022 to Mar 30, 2023
- Private funds · 1 to 2May 4, 2022 to Mar 30, 2023
- Discretionary RAUM · $493M to $1.3BMay 4, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $493M to $1.3BMay 4, 2022 to Mar 30, 2023
- RAUM · $493M to $1.3BMay 4, 2022 to Mar 30, 2023
- Assets in custody · $372M to $376MMar 31, 2022 to May 4, 2022
- Discretionary RAUM · $199M to $493MMar 31, 2022 to May 4, 2022
- Pooled vehicle RAUM · $199M to $493MMar 31, 2022 to May 4, 2022
- RAUM · $199M to $493MMar 31, 2022 to May 4, 2022
- Advisory employees · 2 to 15Nov 24, 2021 to Mar 31, 2022
Signals
8 dated events
- H••••••••• E••••• P•••••••• L•• reported RAUM $3.9B, up 45% from $2.7B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- H••••••••• E••••• P•••••••• L•• reported RAUM $2.7B, up 84% from $1.5B (2024-06-05 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- John Peter Phung (Chief Operating Officer) appeared on Schedule A of H••••••••• E••••• P•••••••• L••Mar 28, 2024 · Control person joined · fact
- H••••••••• E••••• P•••••••• L•• reported RAUM $1.3B, up 163% from $493.1M (2022-05-04 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- H••••••••• E••••• P•••••••• L•• reported RAUM $493.1M, up 148% from $198.9M (2022-03-31 to 2022-05-04)May 4, 2022 · RAUM change · derived
- X Michael Chen (Manager) no longer on Schedule A of H••••••••• E••••• P•••••••• L•• (listed 2022-03-31, absent 2022-05-04)May 4, 2022 · Control person left · inference
- Kabenla Michael Agyilirah (Chief Financial Officer) appeared on Schedule A of H••••••••• E••••• P•••••••• L••May 4, 2022 · Control person joined · fact
- H••••••••• E••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Sep 9, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••••••• E••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- H••••••••• E••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/harbourviewreportedpublic record, Form ADV, Sep 18, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 973-329-0285reportedpublic record, Form ADV, Mar 31, 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