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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
H•••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 8, 2023 · 9 filings
SEC status approved since Sep 11, 2023
RAUM
$239M
reported, Item 5.F
Discretionary
29%
of RAUM
Private clients
71%
$170M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$239M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$239M as of Mar 31, 2026
Apr 1, 2024$193M then
HNW client RAUM$170M as of Mar 31, 2026
Apr 1, 2024$134M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Apr 1, 20241 then
Employees (5.A)3 as of Mar 31, 2026
Apr 1, 20242 then
Private funds3 as of Mar 31, 2026
Apr 1, 20243 then
RAUM +16% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $239MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $15.5MderivedHNW RAUM over HNW clients
- Average account
- $17.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 29%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +83%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $62.3M, 3 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)
- 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)
- 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
- High-net-worth individuals$170M71%
- Pooled investment vehicles$69.0M29%
- Individual clients
- 0reported
- HNW clients
- 11reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $62.3M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.71 fund_share=0.29 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••••• D•••• C•••• | Los Angeles, Ca | Jan 1, 2025 | 19 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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•••••• F••• I• L• | Venture Capital Fund | $51.7M | 32 | Aug 8, 2023 |
| M•••••• H•••••• L•• | Private Equity Fund | $4.4M | 28 | Aug 8, 2023 |
| D••• P•••••• L•• | Venture Capital Fund | $2.8M | 44 | Aug 8, 2023 |
Owners and control persons
Schedule A and B, latest filing
- C••••• A•••••••• · Chief Executive Officercontrolsince 05/2021 · owns less than 5%
- A••••• J•••••• J•••••• · Managercontrolsince 03/2024 · owns 75% or more of I•• H•••••• G•• L••
- C••••• A••••••••• D•••• · Shareholdercontrolsince 05/2021 · owns 75% or more of H•••••• C••••
- P•••••••• W••••••• B•••• · Chief Compliance Officersince 04/2024 · owns less than 5%
Entity owners
- H•••••• C•••• · Managing Memberdirect · owns 75% or more
- I•• H•••••• G•• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- C••• L••pooled vehicle sponsory
- H•••••• F••• I• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 15 to 14Mar 31, 2025 to Mar 31, 2026
- HNW clients · 6 to 11Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $62.3M to $69.0MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $143M to $170MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $143M to $170MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $62.3M to $69.0MMar 31, 2025 to Mar 31, 2026
- RAUM · $206M to $239MMar 31, 2025 to Mar 31, 2026
- Accounts · 9 to 15Sep 12, 2024 to Mar 31, 2025
- Assets in custody · $59.0M to $62.3MSep 12, 2024 to Mar 31, 2025
- Employees · 4 to 3Sep 12, 2024 to Mar 31, 2025
- Financial planning clients · unset to Sep 12, 2024 to Mar 31, 2025
- State-registered IARs · 2 to 1Sep 12, 2024 to Mar 31, 2025
- Discretionary RAUM · $69.0M to $62.3MSep 12, 2024 to Mar 31, 2025
- HNW RAUM · $134M to $143MSep 12, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $124M to $143MSep 12, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $59.0M to $62.3MSep 12, 2024 to Mar 31, 2025
- RAUM · $193M to $206MSep 12, 2024 to Mar 31, 2025
- BD registered reps · 0 to 2Apr 26, 2024 to Sep 12, 2024
- Employees · 2 to 4Apr 26, 2024 to Sep 12, 2024
- Insurance-licensed employees · 0 to 1Apr 26, 2024 to Sep 12, 2024
- State-registered IARs · 1 to 2Apr 26, 2024 to Sep 12, 2024
- Accounts · 7 to 9Jan 25, 2024 to Apr 1, 2024
- BD registered reps · 1 to 0Jan 25, 2024 to Apr 1, 2024
- HNW clients · 4 to 6Jan 25, 2024 to Apr 1, 2024
- Assets in custody · unset to 58952159.0Jan 25, 2024 to Apr 1, 2024
- Custody of client assets · false to trueJan 25, 2024 to Apr 1, 2024
- Discretionary RAUM · $43.9M to $69.0MJan 25, 2024 to Apr 1, 2024
- HNW RAUM · $109M to $134MJan 25, 2024 to Apr 1, 2024
- Non-discretionary RAUM · $109M to $124MJan 25, 2024 to Apr 1, 2024
- Pooled vehicle RAUM · $43.9M to $59.0MJan 25, 2024 to Apr 1, 2024
- RAUM · $153M to $193MJan 25, 2024 to Apr 1, 2024
Signals
1 dated events
- H•••••• L•• filed its initial SEC registration (Form ADV)Aug 8, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H•••••• L•• · Independent Sponsorsshared crd · capital_provider
- H•••••• L•• · Private Equityshared crd · organization
- H•••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 310-640-7647reportedpublic 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $239Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026